[Title 49 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 1999 Edition]
[From the U.S. Government Printing Office]


          49



          Transportation



[[Page i]]

          PARTS 200 TO 399

                         Revised as of October 1, 1999

          CONTAINING
          A CODIFICATION OF DOCUMENTS
          OF GENERAL APPLICABILITY
          AND FUTURE EFFECT

          AS OF OCTOBER 1, 1999
          With Ancillaries
          Published by
          the Office of the Federal Register
          National Archives and Records
          Administration

          as a Special Edition of
          the Federal Register



[[Page ii]]

                                      




                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 1999



               For sale by U.S. Government Printing Office
 Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328



[[Page iii]]




                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 49:
    Subtitle B--Other Regulations Relating to Transportation--
      (Continued):
          Chapter II--Federal Railroad Administration, 
          Department of Transportation                               5
          Chapter III--Federal Highway Administration, 
          Department of Transportation                             639
  Finding Aids:
      Material Approved for Incorporation by Reference........    1041
      Table of CFR Titles and Chapters........................    1045
      Alphabetical List of Agencies Appearing in the CFR......    1063
      List of CFR Sections Affected...........................    1073



[[Page iv]]


      


                     ----------------------------

                     Cite this Code:  CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus,  49 CFR 200.1 refers 
                       to title 49, part 200, 
                       section 1.

                     ----------------------------

[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, October 1, 1999), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
exercised by the user in determining the actual effective date. In 
instances where the effective date is beyond the cut-off date for the 
Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
requirements.

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For 
the period beginning January 1, 1986, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
reference, please contact the agency that issued the regulation 
containing that incorporation. If, after contacting the agency, you find 
the material is not available, please notify the Director of the Federal 
Register, National Archives and Records Administration, Washington DC 
20408, or call (202) 523-4534.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
Authorities and Agency Rules. A list of CFR titles, chapters, and parts 
and an alphabetical list of agencies publishing in the CFR are also 
included in this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

[[Page vii]]


REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-523-5227 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408.

SALES

    The Government Printing Office (GPO) processes all sales and 
distribution of the CFR. For payment by credit card, call 202-512-1800, 
M-F, 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2233, 24 hours 
a day. For payment by check, write to the Superintendent of Documents, 
Attn: New Orders, P.O. Box 371954, Pittsburgh, PA 15250-7954. For GPO 
Customer Service call 202-512-1803.

ELECTRONIC SERVICES

    The full text of the Code of Federal Regulations, The United States 
Government Manual, the Federal Register, Public Laws, Weekly Compilation 
of Presidential Documents and the Privacy Act Compilation are available 
in electronic format at www.access.gpo.gov/nara (``GPO Access''). For 
more information, contact Electronic Information Dissemination Services, 
U.S. Government Printing Office. Phone 202-512-1530, or 888-293-6498 
(toll-free). E-mail, [email protected].
    The Office of the Federal Register also offers a free service on the 
National Archives and Records Administration's (NARA) World Wide Web 
site for public law numbers, Federal Register finding aids, and related 
information. Connect to NARA's web site at www.nara.gov/fedreg. The NARA 
site also contains links to GPO Access.

                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

October 1, 1999.



[[Page ix]]



                               THIS TITLE

    Title 49--Transportation is composed of seven volumes. The parts in 
these volumes are arranged in the following order: Parts 1-99, parts 
100-185, parts 186-199, parts 200-399, parts 400-999, parts 1000-1199, 
part 1200 to End. The first volume (parts 1-99) contains current 
regulations issued under subtitle A--Office of the Secretary of 
Transportation; the second volume (parts 100-185) and the third volume 
(parts 186-199) contain the current regulations issued under chapter I--
Research and Special Programs Administration (DOT); the fourth volume 
(parts 200-399) contains the current regulations issued under chapter 
II--Federal Railroad Administration (DOT), and chapter III--Federal 
Highway Administration (DOT); the fifth volume (parts 400-999) contains 
the current regulations issued under chapter IV--Coast Guard (DOT), 
chapter V--National Highway Traffic Safety Administration (DOT), chapter 
VI--Federal Transit Administration (DOT), chapter VII--National Railroad 
Passenger Corporation (AMTRAK), and chapter VIII--National 
Transportation Safety Board; the sixth volume (parts 1000-1199) contains 
the current regulations issued under chapter X--Surface Transportation 
Board and the seventh volume (part 1200 to End) contains the current 
regulations issued under chapter X--Surface Transportation Board and 
chapter XI--Bureau of Transportation Statistics, Department of 
Transportation. The contents of these volumes represent all current 
regulations codified under this title of the CFR as of October 1, 1999.

    In the volume containing parts 100-185, see Sec. 172.101 for the 
Hazardous Materials Table, and Sec. 172.102 for the Optional Hazardous 
Materials Table. An Identification Number Cross Reference Index to 
Proper Shipping Names in Secs. 172.101 and 172.102 appears at the 
beginning of part 172. The Federal Motor Vehicle Safety Standards appear 
in part 571.

    Redesignation tables for chapter X--Surface Transportation Board, 
Department of Transportation appear in the Finding Aids section of the 
sixth and seventh volumes.

    For this volume, Melanie L. Marcec was the Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Frances D. McDonald, assisted by Alomha S. Morris.

[[Page x]]





[[Page 1]]



                        TITLE 49--TRANSPORTATION




                  (This book contains parts 200 to 399)

  --------------------------------------------------------------------
                                                                    Part

  SUBTITLE B--Other Regulations Relating To Transportation--(Continued)

chapter ii--Federal Railroad Administration, Department of 
  Transportation............................................         200

chapter iii--Federal Highway Administration, Department of 
  Transportation............................................         301

[[Page 3]]

  Subtitle B--Other Regulations Relating To Transportation (Continued)

[[Page 5]]



       CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF 
                             TRANSPORTATION




  --------------------------------------------------------------------
Part                                                                Page
200             Informal rules of practice for passenger 
                    service.................................           7
201             Formal rules of practice for passenger 
                    service.................................           9
207             Railroad police officers....................          15
209             Railroad safety enforcement procedures......          16
210             Railroad noise emission compliance 
                    regulations.............................          53
211             Rules of practice...........................          59
212             State safety participation regulations......          66
213             Track safety standards......................          77
214             Railroad workplace safety...................         121
215             Railroad freight car safety standards.......         143
216             Special notice and emergency order 
                    procedures: Railroad track, locomotive 
                    and equipment...........................         158
217             Railroad operating rules....................         162
218             Railroad operating practices................         166
219             Control of alcohol and drug use.............         179
220             Railroad communications.....................         256
221             Rear end marking device--passenger, commuter 
                    and freight trains......................         264
223             Safety glazing standards--locomotives, 
                    passenger cars and cabooses.............         269
225             Railroad accidents/incidents: Reports 
                    classification, and investigations......         274
228             Hours of service of railroad employees......         292
229             Railroad locomotive safety standards........         305
230             Locomotive inspection.......................         328
231             Railroad safety appliance standards.........         328
232             Railroad power brakes and drawbars..........         370
233             Signal systems reporting requirements.......         386
234             Grade crossing signal system safety.........         388
235             Instructions governing applications for 
                    approval of a discontinuance or material 
                    modification of a signal system or 
                    relief from the requirements of part 236         398

[[Page 6]]

236             Rules, standards, and instructions governing 
                    the installation, inspection, 
                    maintenance, and repair of signal and 
                    train control systems, devices, and 
                    appliances..............................         402
238             Passenger equipment safety standards........         438
239             Passenger train emergency preparedness......         509
240             Qualification and certification of 
                    locomotive engineers....................         520
245             Railroad user fees..........................         561
250             Guarantee of certificates of trustees of 
                    railroads in reorganization.............         566
256             Financial assistance for railroad passenger 
                    terminals...............................         571
260             Regulations governing section 511 of the 
                    Railroad Revitalization and Regulatory 
                    Reform Act of 1976, as amended..........         581
261             Credit assistance for surface transportation 
                    projects................................         605
265             Nondiscrimination in federally assisted 
                    railroad programs.......................         605
266             Assistance to States for local rail service 
                    under section 5 of the Department of 
                    Transportation Act......................         617
268             Magnetic levitation transportation 
                    technology deployment program...........         632

[[Page 7]]



PART 200--INFORMAL RULES OF PRACTICE FOR PASSENGER SERVICE--Table of Contents




Sec.
200.1  Genera1.
200.3  Definitions.
200.5  Applications.
200.7  Objections.
200.9  Hearings.
200.11  Orders, approvals, and determinations.
200.13  Publication.

    Authority: Secs. 402(e) and 406 of Pub. L. 91-518, 84 Stat. 1327, as 
amended by sec. 10(2) of Pub. L. 93-146, 87 Stat. 548 and sec. 121 of 
Pub. L. 96-73, 93 Stat. 537 (45 U.S.C. 562(e), 566); 49 CFR 1.49.

    Source: 45 FR 64192, Sept. 29, 1980, unless otherwise noted.



Sec. 200.1  General.

    This part prescribes procedures under which applications will be 
received and heard and by which rules and orders will be issued under 
subsection 402(e) and section 406 of the Rail Passenger Service Act (45 
U.S.C. 562(e) and 566).



Sec. 200.3  Definitions.

    (a) Act means the Rail Passenger Service Act (45 U.S.C. 500 et 
seq.).
    (b) Administrator means the Federal Railroad Administrator, the 
Deputy Administrator of FRA, or the delegate of either.
    (c) Amtrak means the National Railroad Passenger Corporation.
    (d) Amtrak trains means trains operated by or on behalf of Amtrak.
    (e) Chief Counsel means the Chief Counsel or Acting Chief Counsel of 
the FRA.
    (f) Downgrading of a facility means a reduction in track 
classification as specified in FRA track safety standards (49 CFR part 
213), or any other change in facilities which may increase the time 
required for a passenger train to operate over the route on which such 
facility is located.
    (g) Facility means railroad tracks, right-of-way, fixed equipment 
and facilities, real-property appurtenant thereto, and includes signal 
systems, passenger station and repair tracks, station buildings, 
platforms, and adjunct facilities such as water, fuel, steam, electric, 
and air lines.
    (h) FRA means the Federal Railroad Administration.
    (i) Railroad means a person providing railroad transportation for 
compensation.
    (j) Shipper means a person contracting with one or more railroads 
for freight transportation.



Sec. 200.5  Applications.

    (a) Each application and objection under this part shall be 
submitted in writing to: Docket Clerk, Office of the Chief Counsel, 
Federal Railroad Administration, 400 7th Street, SW., Washington, DC 
20590.
    (b) Any procedural issues arising from the submission or 
consideration of applications under this part, such as timeliness and 
adequacy, shall be heard and decided by the Administration's panel 
established under Sec. 200.9.
    (c) Any railroad adversely affected by the preference requirement of 
subsection 402(e) of the Act may apply to the Administrator for an order 
altering that requirement. Each application shall:
    (1) List by endpoints the routes that are so affected; and
    (2) Explain for every route listed how the preference requirement of 
subsection 402(e) will materially lessen the quality of freight service 
afforded by the applicant to its shippers, including information, data 
or documents sufficient to support that explanation; and
    (3) Include an analysis of whether and by how much Amtrak's 
compensation to the railroad should be reduced if the preference 
requirement is altered.
    (d) In accordance with section 406 of the Act, any railroad may 
apply to the Administrator for approval to downgrade or dispose of its 
facilities. Each application shall:
    (1) List the facilities for proposed downgrading or disposal;
    (2) Describe and give the location of each such facility and 
identify the most recent passenger service that made use of such 
facilities; and
    (3) Contain for each facility an analysis of the costs the railroad 
could avoid if it were not required to maintain or retain the facility 
in the condition requested by Amtrak, including

[[Page 8]]

information, data and documents sufficient to support the analysis.
    (e) In addition to the data provided with their applications, 
applicants shall furnish the Administrator with any other information 
that the Administrator finds necessary in order to make the 
determinations required by the Act.
    (f) Each applicant shall promptly notify, by registered or certified 
mail, any party affected by any application, whether Amtrak or a 
railroad, of the submission of such application under this part, and 
shall provide a copy of the application with such notice. An official 
United States Postal Service receipt from the registered or certified 
mailing constitutes prima facie evidence of notice.



Sec. 200.7  Objections.

    (a) Amtrak or any other party shall have 30 days from the date an 
application is received by FRA pursuant to section 402(e) of the Act to 
object to the proposed alteration of the preference requirement. Such 
objections shall be in writing and shall reference, by date, railroad, 
and former passenger routes, the application to which it pertains.
    (b) Amtrak shall have 30 days from the date an application is 
received by FRA pursuant to section 406 of the Act to object to any or 
all of the facility downgradings or disposals proposed in such 
application. Such objections shall be in writing and shall reference, by 
date, railroad, and former passenger routes, the application to which it 
pertains and shall list, by facility description and location, the 
specific downgradings or disposals to which Amtrak objects.



Sec. 200.9  Hearings.

    (a) Pursuant to any application under this part, a prehearing 
conference will be held if found necessary or desirable by the 
Administrator.
    (b) Pursuant to any application under this part, an oral hearing 
will be held if required by statute or if found necessary or desirable 
by the Administrator.
    (c) Hearings shall be conducted by a panel designated by the 
Administrator, consisting of three FRA employees, including the Chief 
Counsel or a member of his or her staff who shall serve as chairman of 
the panel and the Associate Administrator for Intercity Programs or his 
or her delegate.
    (d) Hearings shall be informal fact-finding proceedings, limited to 
the issues identified by the panel. Sections 556 and 557 of title 5, 
U.S.C., shall not apply.
    (e) All direct evidence shall be reduced to writing and submitted to 
the Docket Clerk thirty days in advance of the hearing unless this 
requirement is expressly waived by the panel. Copies shall be furnished 
to all parties concurrently with the submission to the Docket Clerk.
    (f) The panel may provide for oral presentations and cross-
examination, and shall apply rules of evidence as it finds necessary.
    (g) To the extent deemed appropriate by the panel, interested 
persons, including members of the public, may participate in the 
hearings through the submission of written data, oral presentations, or 
arguments.



Sec. 200.11  Orders, approvals, and determinations.

    (a) The Administrator shall promptly approve the downgrading or 
disposal of any facility to which Amtrak does not submit a timely 
objection under this part.
    (b) Orders, approvals, and determinations issued by the 
Administrator's panel under this part constitute the Administrator's 
action and shall be final.
    (c) Determinations under this part are not required to be based 
exclusively on the record of a hearing.



Sec. 200.13  Publication.

    (a) General notice of any hearing under this subpart shall be 
published in the Federal Register not less than 10 days before the 
hearing, and shall include (1) a statement of the time, place, and 
nature of the hearing, (2) a reference to the legal authority under 
which the hearing is being held and (3) a description of the subject and 
issues involved.
    (b) Any order, approval, or determination resulting from any hearing

[[Page 9]]

held under this part shall be published in the Federal Register.



PART 201--FORMAL RULES OF PRACTICE FOR PASSENGER SERVICE--Table of Contents




Sec.
201.1  General.
201.3  Definitions.
201.4  Scope of regulations.
201.5  Applications.
201.6  Notice of hearing.
201.7  Notification by interested persons.
201.8  Presiding officer.
201.9  Direct testimony submitted as written documents.
201.10  Mailing address.
201.11  Inspection and copying of documents.
201.12  Ex parte communications.
201.13  Prehearing conference.
201.14  Final agenda of the hearing.
201.15  Determination to cancel the hearing.
201.16  Rebuttal testimony and new issues of fact in final agenda.
201.17  Waiver of right to participate.
201.18  Conduct of the hearing.
201.19  Direct testimony.
201.20  Cross-examination.
201.21  Oral and written arguments.
201.22  Recommended decision, certification of the transcript, and 
          submission of comments on the recommended decision.
201.23  Administrator's decision.

    Authority: Secs. 402(f) and (h) of Pub. L. 91-518, 84 Stat. 1327, as 
amended by sec. 10(2) of Pub. L. 93-146, 87 Stat. 548 and sec. 216 of 
Pub. L 96-254, 94 Stat. 418 (45 U.S.C. 562 (f) and (h)); sec. 1.49 of 
Title 49, Code of Federal Regulations.

    Source: 46 FR 2614, Jan. 12, 1981, unless otherwise noted.



Sec. 201.1  General.

    This part prescribes procedures under which applications will be 
received and heard and by which rules and orders will be issued under 
subsections 402(f) and (h) of the Rail Passenger Service Act (45 U.S.C. 
562 (f) and (h)).



Sec. 201.3  Definitions.

    (a) The definitions set forth in Sec. 200.3 shall apply to this 
part.
    (b) The following definitions shall also apply to this part:
    (1) Party means--
    (i) The Administrator or his representative; or
    (ii) A person who has notified the Administrator by specified dates 
of his or her intent to participate in the hearing pursuant to 
Secs. 201.7 and 201.16(b).
    (2) Witness means any person who submits written direct testimony on 
an application to the Secretary under this part. A person may be both a 
party and a witness.



Sec. 201.4  Scope of regulations.

    The procedural regulations in this part govern the practice and 
procedure in hearings held under subsections 402(f) and (h) of the Act. 
These hearings will be governed by the provisions of 5 U.S.C. 556 and 
557 of the Administrative Procedure Act. The regulations shall be 
construed to secure the just, speedy, and inexpensive determination of 
all issues raised with respect to any proposal to increase speeds or to 
add trains pursuant to subsections 402(f) and (h) of the Act with full 
protection for the rights of all persons affected thereby.



Sec. 201.5  Applications.

    (a) Each application and objection under this part shall be 
submitted in writing to: Docket Clerk, Office of the Chief Counsel, 
Federal Railroad Administration, 400 7th Street, SW., Washington, DC 
20590.
    (b) Any procedural issues arising from the submission or 
consideration of applications under this part, such as timeliness and 
adequacy, shall be heard and decided by the presiding officer appointed 
under Sec. 201.8.
    (c) In accordance with subsection 402(f) of the Act, Amtrak may 
apply to the Administrator for an order requiring a railroad to permit 
accelerated speeds by Amtrak trains. Each application shall:
    (1) List by endpoints the routes for which Amtrak desires such 
acceleration;
    (2) Not list routes of more than one railroad;
    (3) Indicate by route and train the maximum speeds for Amtrak trains 
permitted by the railroad and the maximum speeds desired by Amtrak;
    (4) Indicate for each route listed the track classification as 
specified in FRA track safety standards (49 CFR part 213); and

[[Page 10]]

    (5) Explain why the maximum speeds Amtrak desires are safe and 
practicable, or what track, signal system, or other facility 
improvements would make such speeds safe and practicable.
    (d) In accordance with subsection 402(h) of the Act, Amtrak may 
apply to the Administrator for an order to require a railroad to permit 
or provide the operation of additional passenger trains on its rail 
lines. Each application shall:
    (1) List the railroad, the endpoints of the proposed additional 
train or trains, and the proposed schedule for such additional train or 
trains, and
    (2) Describe and give the background of all prior efforts and 
negotiations to obtain a satisfactory voluntary agreement with the 
railroad for the operation of the proposed additional train or trains.
    (e) In addition to the data provided with their applications, 
applicants shall furnish the Administrator with any other information 
that the Administrator finds necessary in order to make the 
determinations required by the Act.
    (f) Each applicant shall promptly notify, by registered or certified 
mail, any party affected by any application, whether Amtrak or a 
railroad, of the submission of each application under this part, and 
shall provide a copy of the application with such notice. An official U. 
S. Postal Service return receipt from the registered or certified 
mailing constitutes prima facie evidence of notice.



Sec. 201.6  Notice of hearing.

    (a) A notice of hearing on an application shall be published in the 
Federal Register.
    (b) The notice shall state:
    (1) The nature of the hearing;
    (2) The place and date of the hearing. The date shall not be less 
than 60 days after publication of notice of the hearing;
    (3) The legal authority under which the hearing is to be held;
    (4) Issues of fact which may be involved in the hearing;
    (5) If a draft Environmental Impact Statement is required, the date 
of publication of the draft and the place(s) where the draft and 
comments thereon may be viewed and copied;
    (6) The place(s) where records and submitted direct testimony will 
be kept for public inspection;
    (7) The final date for filing a notice of intent to participate in 
the hearing;
    (8) The final date for submission of direct testimony on the 
application, and the number of copies required;
    (9) The docket number assigned to the case, which shall be used in 
all subsequent proceedings; and
    (10) The place and date of the prehearing conference.



Sec. 201.7  Notification by interested persons.

    Any person desiring to participate as a party shall notify the 
Administrator, by registered or certified mail, on or before the date 
specified in the notice.



Sec. 201.8  Presiding officer.

    (a) Upon publication of the notice of hearing pursuant to 
Sec. 201.6, the Administrator shall appoint a presiding officer pursuant 
to 5 U.S.C. 3105. No individual who has any conflict of interest, 
financial or otherwise, shall serve as presiding officer in such 
proceeding.
    (b) The presiding officer, in any proceeding under this part, shall 
have power to:
    (1) Change the time and place of the hearing and adjourn the 
hearing;
    (2) Evaluate direct testimony submitted pursuant to these 
regulations, make a preliminary determination of the issues, conduct a 
prehearing conference to determine the issues for the hearing agenda, 
and cause to be published in the Federal Register a final hearing 
agenda;
    (3) Rule upon motions, requests, and admissibility of direct 
testimony;
    (4) Administer oaths and affirmations, question witnesses, and 
direct witnesses to testify;
    (5) Modify or waive any rule (after notice) upon determining that no 
party will be prejudiced;
    (6) Receive written comments and hear oral agruments;
    (7) Render a recommended decision; and
    (8) Do all acts and take all measures, including regulation of media 
coverage, for the maintenance of order at

[[Page 11]]

and the efficient conduct of the proceeding.
    (c) In case of the absence of the original presiding officer or his 
inability to act, the Administrator may assign to a successor the powers 
and duties of the original presiding officer without abatement of the 
proceeding unless otherwise ordered by the Administrator.
    (d) The presiding officer may upon his own motion withdraw as 
presiding officer in a proceeding if he deems himself to be 
disqualified.
    (e) A presiding officer may be requested to withdraw at any time 
prior to the recommended decision. Upon the filing by an interested 
person in good faith of a timely and sufficient affidavit alleging the 
presiding officer's personal bias, malice, conflict of interest, or 
other basis which might result in prejudice to a party, the hearing 
shall recess. The Administrator shall immediately act upon such 
allegation as a part of the record and decision in the proceeding, after 
making such investigation or holding such hearings, or both, as he may 
deem appropriate in the circumstances.



Sec. 201.9  Direct testimony submitted as written documents.

    (a) Unless otherwise specified, all direct testimony, including 
accompanying exhibits, shall be submitted to the presiding officer in 
writing no later than the dates specified in the notice of the hearing, 
the final hearing agenda, or within 15 days after the conclusion of the 
prehearing conference, as the case may be. All direct testimony shall be 
in affidavit form, and exhibits constituting part of such testimony, 
referred to in the affidavit and made a part thereof, shall be attached 
to the affidavit. Direct testimony submitted with exhibits shall state 
the issue to which the exhibit relates; if no such statement is made, 
the presiding officer shall determine the relevance of the exhibit to 
the issues published in the Federal Register.
    (b) The direct testimony submitted shall contain:
    (1) A concise statement of the witness' interest in the proceeding 
and his position regarding the issues presented. If the direct testimony 
is presented by a witness who is not a party, the witness shall state 
his relationship to the party;
    (2) Facts that are relevant and material; and
    (3) Any proposed issues of fact not stated in the notice of the 
hearing and the reason(s) why such issues should be considered at the 
hearing.
    (c) Ten copies of all direct testimony shall be submitted unless the 
notice of the hearing specifies otherwise.
    (d) Upon receipt, direct testimony shall be assigned a number and 
stamped with that number and the docket number.
    (e) Contemporaneous with the publication of the notice of hearing, 
Amtrak's direct testimony in support of its application shall be 
available for public inspection as specified in the notice of hearing. 
Amtrak may submit additional direct testimony during the time periods 
allowed for submission of such testimony by witnesses.



Sec. 201.10  Mailing address.

    Unless otherwise specified in the notice of hearing, all direct 
testimony shall be addressed to the Docket Clerk, Office of the Chief 
Counsel, Federal Railroad Administration, 400 7th Street, SW., 
Washington, DC 20590. All affidavits and exhibits shall be clearly 
marked with the docket number of the proceeding.



Sec. 201.11  Inspection and copying of documents.

    (a) If confidential financial information is not involved, any 
document in a file pertaining to any hearing authorized by this part or 
any document forming part of the record of such a hearing may be 
inspected or copied in the Office of the Chief Counsel, Federal Railroad 
Administration, 400 7th Street, SW., Washington, DC 20590, unless the 
file is in the care and custody of the presiding officer in which case 
he shall notify the parties as to where and when the record may be 
inspected.
    (b) If confidential financial information is involved, the presiding 
officer, at his discretion, upon the request of any party, may deny the 
public inspection and copying of such information.

[[Page 12]]



Sec. 201.12  Ex parte communications.

    (a) After notice of a hearing is published in the Federal Register, 
all communications, whether oral or written, involving any substantive 
or procedural issue and directed either to the presiding officer or to 
the Administrator, without reference to these rules of procedure, shall 
be deemed ex parte communications and shall not be considered part of 
the record for decision. A record of oral ex parte communications shall 
be made by the persons contacted. All written ex parte communications 
shall be available for public viewing at the places(s) specified in the 
notice of hearing.
    (b) The presiding officer shall not consult any person or party on 
any fact in issue or on the merits of the matter unless notice and 
opportunity is given for all parties to participate.



Sec. 201.13  Prehearing conference.

    (a) After an examination of all the direct testimony submitted, the 
presiding officer shall make a preliminary determination of issues of 
fact to be addressed at the hearing.
    (b) The presiding officer's preliminary determination shall be made 
available at the place or places provided in the notice of the hearing 
at least five days before the prehearing conference is held.
    (c) The purpose of the prehearing conference shall be to enable the 
presiding officer to determine, on the basis of the direct testimony 
submitted and prehearing discussions:
    (1) Whether the presiding officer's preliminary determination of 
issues of fact for the hearing has omitted or misconstrued any 
significant issues, and
    (2) The nature of the interest of each party and which parties' 
interests are adverse.
    (d) Only parties may participate in the prehearing conference. A 
party may appear in person or be represented by counsel.
    (e) Parties who do not appear at the prehearing conference shall be 
bound by the conference's determinations.



Sec. 201.14  Final agenda of the hearing.

    (a) After the prehearing conference, the presiding officer shall 
prepare a final agenda which shall be published in the Federal Register 
within ten days after the conclusion of the conference. A copy of the 
final agenda shall be mailed to all parties.
    (b) The final agenda shall list:
    (1) All the issues the hearing shall address, the order in which 
those issues shall be presented, and the direct testimony submitted on 
those issues; and
    (2) A final date for submission of direct testimony on issues of 
fact not included in the notice of hearing if such issues are presented.

The final agenda may also specify a final date for submission of direct 
testimony to rebut testimony previously submitted during the time 
specified in the notice of the hearing.
    (c) The presiding officer shall publish with the final agenda a list 
of witnesses who may appear at the hearing, a list of parties, the 
nature of the interest of each party, and which parties' interests are 
adverse on the issues presented.



Sec. 201.15  Determination to cancel the hearing.

    (a) If the presiding officer concludes that no issues of fact are 
presented by the direct testimony submitted, he shall publish such 
conclusion in the Federal Register with a notice that a hearing shall 
not be held. The notice shall set forth a date for filing written 
comments on the proposed recommended decision. Written comments may 
include proposed findings and conclusions, arguments, or briefs.
    (b) A person need not be a party to submit written comments.
    (c) Promptly after expiration of the period for receiving written 
comments, the presiding officer shall make a recommended decision based 
on the record, which in this case shall consist of the testimony, 
exhibits, and written comments submitted. He shall transfer to the 
Administrator his recommended decision, the record, and a certificate 
stating that the record contains all the written direct testimony and 
comments submitted. The Administrator shall then make a final decision 
in accordance with these regulations.

[[Page 13]]



Sec. 201.16  Rebuttal testimony and new issues of fact in final agenda.

    (a) Direct testimony to rebut testimony offered during the time 
period specified in the notice of hearing may be submitted pursuant to 
these regulations within fifteen days after the conclusion of the 
prehearing conference unless the presiding officer otherwise specifies 
in the final agenda.
    (b) If the final agenda presents issues not included in the notice 
of the hearing published pursuant to Sec. 201.6,
    (1) Any person interested in participating at the hearing on such 
issues presented shall notify the Administrator by certified mail of an 
intent to participate not later than ten days after publication of the 
final agenda. Such person may present direct testimony or cross-examine 
witnesses only on such issues presented unless he previously notified 
the Administrator pursuant to Sec. 201.7, and
    (2) Additional written direct testimony concerning such issues may 
be submitted within the time provided in the final agenda. Such direct 
testimony will comply with the requirements of Sec. 201.9.



Sec. 201.17  Waiver of right to participate.

    Persons who fail to notify the Administrator pursuant to Secs. 201.7 
and 201.16 shall be deemed to have waived their right to participate as 
parties in any part of the hearing.



Sec. 201.18  Conduct of the hearing.

    (a) The hearing shall be held at the time and place fixed in the 
notice of hearing, unless the presiding officer changes the time or 
place. If a change occurs, the presiding officer shall publish the 
change in the Federal Register and shall expeditiously notify all 
parties by telephone or by mail; provided, that if the change in time or 
place of hearing is made less than five days before the date previously 
fixed for the hearing, the presiding officer shall also announce, or 
cause to be announced, the change at the time and place previously fixed 
for the hearing.
    (b) The presiding officer shall, at the commencement of the hearing, 
introduce into the record. The notice of hearing as published in the 
Federal Register; all subsequent notices published in the Federal 
Register; the draft Environmental Impact Statement if it is required, 
and the comments thereon and agency responses to the comments; and a 
list of all parties. Direct testimony shall then be received with 
respect to the matters specified in the final agenda in such order as 
the presiding officer shall announce. With respect to direct testimony 
submitted as rebuttal testimony or in response to new issues presented 
by the prehearing conference, the presiding officer shall determine the 
relevance of such testimony.
    (c) The hearing shall be publicly conducted and reported verbatim by 
an offical reporter.
    (d) If a party objects to the admission or rejection of any direct 
testimony or to any other ruling of the presiding officer during the 
hearing, he shall state briefly the grounds of such objection, whereupon 
an automatic exception will follow if the objection is overruled by the 
presiding officer. The transcript shall not include argument or debate 
thereon except as ordered by the presiding officer. The ruling of the 
presiding officer on any objection shall be a part of the transcript and 
shall be subject to review at the same time and in the same manner as 
the Administrator's final decision. Only objections made before the 
presiding officer may subsequently be relied upon in the proceedings.
    (e) All motions and requests shall be addressed to, and ruled on by, 
the presiding officer if made prior to his certification of the 
transcript, or by the Administrator if made thereafter.



Sec. 201.19  Direct testimony.

    (a) Direct testimony shall be submitted by affidavit as provided in 
these regulations and introduced at the hearing by a witness in order to 
be considered part of the record. Such direct testimony shall not be 
read into evidence but shall become a part of the record subject to 
exclusion of irrelevant and immaterial parts thereof.
    (b) The witness introducing direct testimony shall:
    (1) State his name, address, and occupation;

[[Page 14]]

    (2) State his qualifications for introducing the direct testimony. 
If an expert, the witness shall briefly state the scientific or 
technical training that qualifies him as an expert;
    (3) Identify the direct testimony previously submitted in accordance 
with these regulations; and
    (4) Submit to appropriate direct and cross examination. Cross-
examination shall be by a party whose interests are adverse to those of 
the witness on the issue presented if the witness is a party, or adverse 
to the interests of the party who presented the witness if the witness 
is not a party.
    (c) A party shall be deemed to have waived the right to introduce 
direct testimony if such party fails to present a witness to introduce 
the direct testimony.
    (d) Offical notice may be taken of such matters as are judicially 
noticed by the courts of the United States, provided, that parties shall 
be given adequate notice by the presiding officer at the hearing of 
matters so noticed and shall be given adequate opportunity to show that 
such facts are inaccurate or are erroneously noticed.



Sec. 201.20  Cross-examination.

    (a) The presiding officer may:
    (1) Require the cross-examiner to outline the intended scope of the 
cross-examination;
    (2) Prohibit parties from cross-examining witnesses unless the 
presiding officer has determined that the cross-examiner has an adverse 
interest on the facts at issue to the party-witness. For the purposes of 
this subsection, the Administrator's or his representative's interest 
shall be considered adverse to all parties;
    (3) Limit the number of times any party or parties having a common 
interest may cross-examine an ``adverse'' witness on the same matter; 
and
    (4) Exclude cross-examination questions that are immaterial, 
irrelevant, or unduly repetitious.
    (b) Any party shall be given an opportunity to appear, either in 
person or through an authorized counsel or representative, to cross-
examine witnesses. Before cross-examining a witness, the party or 
counsel shall state his name, address, and occupation. If counsel cross-
examines the witness, counsel shall state for the record the authority 
to act as counsel. Cross-examiners shall be assumed to be familiar with 
the direct testimony.
    (c) Any party or party's counsel who fails to appear at the hearing 
to cross-examine an ``adverse'' witness shall be deemed to have waived 
the right to cross-examine that witness.
    (d) Scientific, technical, or commercial publications may be used 
only for the limited purpose of impeaching witnesses under cross-
examination unless previously submitted and introduced in accordance 
with these regulations.



Sec. 201.21  Oral and written arguments.

    (a) The presiding officer may, in his discretion, provide for oral 
argument at the end of the hearing. Such argument, when permitted, may 
be limited by the presiding officer to the extent necessary for the 
expeditious disposition of the proceeding.
    (b) The presiding officer shall announce at the hearing a reasonable 
period of time within which any interested person may file with the 
presiding officer any written comments on the application, including 
proposed findings and conclusions or written arguments or brief based 
upon the record, citing where practicable the relevant page or pages of 
the transcript. If a party filing a brief desires the presiding officer 
to reconsider any objection made by such party to a ruling of the 
presiding officer, he shall specifically identify such rulings by 
reference to the pertinent pages of the transcript and shall state his 
arguments thereon as a part of the brief.
    (c) Oral or written arguments shall be limited to issues arising 
from direct testimony on the record.



Sec. 201.22  Recommended decision, certification of the transcript, and submission of comments on the recommended decision.

    (a) Promptly after expiration of the period for receiving written 
briefs, the presiding officer shall make a recommended decision based on 
the record and transmit the decision to the Administrator. The 
recommended decision shall include:

[[Page 15]]

    (1) A statement containing a description of the history of the 
proceedings;
    (2) Findings on issues of fact with the reasons therefor; and
    (3) Rulings on issues of law.
    (b) The presiding officer shall also transmit to the Administrator 
the transcript of the hearing, the original and all copies of the direct 
testimony, and written comments. The presiding officer shall attach to 
the original transcript of the hearing a certificate stating that, to 
the best of his knowledge and belief, the transcript is a true 
transcript of the testimony given at the hearing except in such 
particulars as are specified.
    (c) Immediately after receipt of the recommended decision, the 
Administrator shall give notice thereof in the Federal Register, send 
copies of the recommended decision to all parties, and provide 
opportunity for the submission of comments. The recommended decision may 
be reviewed and/or copied in the Office of the Chief Counsel, Federal 
Railroad Administration, 400 7th Street, SW., Washington, DC 20590.
    (d) Within twenty days after the notice of receipt of the 
recommended decision has been published in the Federal Register, any 
interested person may file with the Administrator any written comments 
on the recommended decision. All comments shall be submitted during the 
twenty-day period to the Administrator at the above address.



Sec. 201.23  Administrator's decision.

    (a) Upon receipt of the recommended decision and transcript and 
after the twenty-day period for receiving written comments on the 
recommended decision has passed, the Administrator's decision may 
affirm, modify, or set aside, in whole or in part, the recommended 
findings, conclusions, and decision of the presiding officer. The 
Administrator may also remand the hearing record to the presiding 
officer for a fuller development of the record.
    (b) The Administrator's decision shall include:
    (1) A statement containing a description of the history of the 
proceeding;
    (2) Findings on issues of fact with the reasons therefor; and
    (3) Rulings on issues of law.
    (c) The Administrator's decision shall be published in the Federal 
Register. If the Amtrak application is approved in whole or in part, the 
final order shall be promulgated with the decision.



PART 207--RAILROAD POLICE OFFICERS--Table of Contents




Sec.
207.1  Application.
207.2  Definitions.
207.3  Designation and commissioning.
207.4  Notice to State officials.
207.5  Authority in States where officer not commissioned.

    Authority: 45 U.S.C. 446; 49 CFR 1.49(ff).

    Source: 59 FR 6587, Feb. 11, 1994, unless otherwise noted.



Sec. 207.1  Application.

    This part applies to all railroads, as such term is defined in 
section 202(e) of the Federal Railroad Safety Act of 1970, as amended, 
Public Law 91-458 (45 U.S.C. 431(e)).



Sec. 207.2  Definitions.

    As used in this part:
    (a) Railroad police officer means a peace officer who is 
commissioned in his or her state of legal residence or state of primary 
employment and employed by a railroad to enforce state laws for the 
protection of railroad property, personnel, passengers, and/or cargo.
    (b) Commissioned means that a state official has certified or 
otherwise designated a railroad employee as qualified under the 
licensing requirements of that state to act as a railroad police officer 
in that state.
    (c) Property means rights-of-way, easements, appurtenant property, 
equipment, cargo, facilities, and buildings and other structures owned, 
leased, operated, maintained, or transported by a railroad.



Sec. 207.3  Designation and commissioning.

    (a) A railroad may designate employees to be commissioned by a state 
authority as railroad police officers to serve in the states in which 
the railroad owns property.

[[Page 16]]

    (b) The designated railroad police officer shall be commissioned by 
the railroad police officer's state of legal residence or the railroad 
police officer's state of primary employment.



Sec. 207.4  Notice to State officials.

    (a) After the designated railroad police officer is commissioned by 
a state or states, the railroad shall send, by certified mail, written 
notice to appropriate officials of every other state in which the 
railroad police officer shall protect the railroad's property, 
personnel, passengers, and cargo. The notice of commission shall contain 
the following information:
    (1) The name of the railroad police officer;
    (2) The badge number, identification number, rank, code, or other 
identifying information assigned to the railroad police officer;
    (3) The date of commission;
    (4) The state or states where the railroad police officer is 
commissioned;
    (5) The date the railroad police officer received training or 
retraining regarding the laws of such state or states;
    (6) The name of the railroad official who designated the employee as 
a railroad police officer; and
    (7) Color photographs of the types of badges, identification cards, 
and other identifying materials the railroad uses to identify its 
railroad police officers.
    (b) The railroad shall keep copies of all such notices at a central 
location.
    (c) The authority set forth in Sec. 207.5 shall be effective upon 
receipt by such state(s) of written notice conforming to the 
requirements of this section.



Sec. 207.5  Authority in States where officer not commissioned.

    (a) A railroad police officer who is designated by a railroad and 
commissioned under the laws of any state is authorized to enforce the 
laws (as specified in paragraph (b) of this section) of any state in 
which the railroad owns property and to which the railroad has provided 
notice in accordance with Sec. 207.4.
    (b) Under the authority of paragraph (a) of this section, a railroad 
police officer may enforce only relevant laws for the protection of--
    (1) The railroad's employees, passengers, or patrons;
    (2) The railroad's property or property entrusted to the railroad 
for transportation purposes;
    (3) The intrastate, interstate, or foreign movement of cargo in the 
railroad's possession or in possession of another railroad or non-rail 
carrier while on the railroad property; and
    (4) The railroad movement of personnel, equipment, and materials 
vital to the national defense.
    (c) The authority exercised under this part by an officer for whom 
the railroad has provided notice in accordance with Sec. 207.4 shall be 
the same as that of a railroad police officer commissioned under the 
laws of that state.
    (d) The railroad police officer's law enforcement powers shall apply 
only on railroad property, except that an officer may pursue off 
railroad property a person suspected of violating the law on railroad 
property, and an officer may engage off railroad property in law 
enforcement activities, including, without limitation, investigation and 
arrest, if permissible under state law.



PART 209--RAILROAD SAFETY ENFORCEMENT PROCEDURES--Table of Contents




                           Subpart A--General

Sec.
209.1  Purpose.
209.3  Definitions.
209.5  Service.
209.6  Requests for admission.
209.7  Subpoenas; witness fees.
209.8  Depositions in formal proceedings.
209.9  Filing.
209.11  Request for confidential treatment.
209.13  Consolidation.
209.15  Rules of evidence.
209.17  Motions.

                Subpart B--Hazardous Materials Penalties

                             Civil Penalties

209.101  Civil penalties generally.
209.103  Minimum and maximum penalties.
209.105  Notice of probable violation.
209.107  Reply.
209.109  Payment of penalty; compromise.
209.111  Informal response and assessment.
209.113  Request for hearing.
209.115  Hearing.
209.117  Presiding officer's decision.
209.119  Assessment considerations.
209.121  Appeal.

[[Page 17]]

                           Criminal Penalties

209.131  Criminal penalties generally.
209.133  Referral for prosecution.

                      Subpart C--Compliance Orders

209.201  Compliance orders generally.
209.203  Notice of investigation.
209.205  Reply.
209.207  Consent order.
209.209  Hearing.
209.211  Presiding officer's decision.
209.213  Appeal.
209.215  Time limitation.

                 Subpart D--Disqualification Procedures

209.301  Purpose and scope.
209.303  Coverage.
209.305  Notice of proposed disqualification.
209.307  Reply.
209.309  Informal response.
209.311  Request for hearing.
209.313  Discovery.
209.315  Subpoenas.
209.317  Official record.
209.319  Prehearing conference.
209.321  Hearing.
209.323  Initial decision.
209.325  Finality of decision.
209.327  Appeal.
209.329  Assessment considerations.
209.331  Enforcement of disqualification order.
209.333  Prohibitions.
209.335  Penalties.
209.337  Information collection.

                Subpart E--Reporting of Remedial Actions

209.401  Purpose and scope.
209.403  Applicability.
209.405  Reporting of remedial actions.
209.407  Delayed reports.
209.409  Penalties.

Appendix A to Part 209--Interim Statement of Agency Policy Concerning 
          Enforcement of the Federal Railroad Safety Laws
Appendix B to Part 209--Federal Railroad Administration Guidelines for 
          Initial Hazardous Materials Assessments

    Authority: 49 U.S.C. 20103, 20107 and 49 CFR 1.49

    Source: 42 FR 56742, Oct. 28, 1977, unless otherwise noted.



                           Subpart A--General



Sec. 209.1  Purpose.

    Appendix A to this part contains a statement of agency policy 
concerning enforcement of those laws. This part describes certain 
procedures employed by the Federal Railroad Administration in its 
enforcement of statutes and regulations related to railroad safety. By 
delegation from the Secretary of Transportation, the Administrator has 
responsibility for:
    (a) Enforcement of subchapters B and C of chapter I, subtitle B, 
title 49, CFR, with respect to the transportation or shipment of 
hazardous materials by railroad (49 CFR 1.49(s));
    (b) Exercise of the authority vested in the Secretary by the Federal 
Railroad Safety Act of 1970, 45 U.S.C. 421, 431-441, as amended by the 
Rail Safety Improvement Act of 1988, Public Law 100-342 (June 22, 1988) 
(49 CFR 1.49(m)); and
    (c) Exercise of the authority vested in the Secretary pertaining to 
railroad safety as set forth in the statutes transferred to the 
Secretary by section 6(e) of the Department of Transportation Act, 49 
App. U.S.C. 1655(e) (49 CFR 1.49 (c), (d), (f), and (g)).

[42 FR 56742, Oct. 28, 1977, as amended at 53 FR 52920, Dec. 29, 1988; 
54 FR 42905, Oct. 18, 1989]



Sec. 209.3  Definitions.

    As used in this part--
    Administrator means the Administrator of FRA, the Deputy 
Administrator of FRA, or the delegate of either.
    Chief Counsel means the Chief Counsel of FRA or his or her delegate.
    Day means calendar day.
    Federal railroad safety laws means the provisions of law generally 
at 49 U.S.C. subtitle V, part A or 49 U.S.C. chap. 51 or 57 and the 
rules, regulations, orders, and standards issued under any of those 
provisions. See Pub. L. 103-272 (1994). Before recodification, these 
statutory provisions were contained in the following statutes: (i) the 
Federal Railroad Safety Act of 1970 (Safety Act) (49 U.S.C. 20101-20117, 
20131, 20133-20141, 20143, 21301, 21302, 21304, 21311, 24902, and 24905, 
and sections 4(b)(1), (i), and (t) of Pub. L. 103-272, formerly codified 
at 45 U.S.C. 421, 431 et seq.); (ii) the Hazardous Materials 
Transportation Act (Hazmat Act) (49 U.S.C. 5101 et seq., formerly 
codified at 49 App. U.S.C. 1801 et seq.); (iii) the Sanitary Food 
Transportation Act of 1990 (SFTA) (49 U.S.C. 5713, formerly codified at 
49 App. U.S.C.

[[Page 18]]

2801 (note)); and those laws transferred to the jurisdiction of the 
Secretary of Transportation by subsection (e)(1), (2), and (6)(A) of 
section 6 of the Department of Transportation Act (DOT Act), as in 
effect on June 1, 1994 (49 U.S.C. 20302, 21302, 20701-20703, 20305, 
20502-20505, 20901, 20902, and 80504, formerly codified at 49 App. 
U.S.C. 1655(e)(1), (2), and (6)(A)). 49 U.S.C. 20111 and 20109, formerly 
codified at 45 U.S.C. 437 (note) and 441(e). Those laws transferred by 
the DOT Act include, but are not limited to, the following statutes: (i) 
the Safety Appliance Acts (49 U.S.C. 20102, 20301, 20302, 20304, 21302, 
and 21304, formerly codified at 45 U.S.C. 1-14, 16); (ii) the Locomotive 
Inspection Act (49 U.S.C. 20102, 20701-20703, 21302, and 21304, formerly 
codified at 45 U.S.C. 22-34); (iii) the Accident Reports Act (49 U.S.C. 
20102, 20701, 20702, 20901-20903, 21302, 21304, and 21311, formerly 
codified at 45 U.S.C. 38-43); (iv) the Hours of Service Act (49 U.S.C. 
20102, 21101-21107, 21303, and 21304, formerly codified at 45 U.S.C. 61-
64b); and (v) the Signal Inspection Act (49 U.S.C. 20102, 20502-20505, 
20902, 21302, and 21304, formerly codified at 49 App. U.S.C. 26).
    FRA means the Federal Railroad Administration, U.S. Department of 
Transportation.
    FRA Safety Inspector means an FRA safety inspector, a state 
inspector participating in railroad safety investigative and 
surveillance activities under part 212 of this chapter, or any other 
official duly authorized by FRA.
    Motion means a request to a presiding officer to take a particular 
action.
    Person generally includes all categories of entities covered under 1 
U.S.C. 1, including but not limited to the following: a railroad; any 
manager, supervisor, official, or other employee or agent of a railroad; 
any owner, manufacturer, lessor, or lessee of railroad equipment, track, 
or facilities; any independent contractor providing goods or services to 
a railroad; and any employee of such owner, manufacturer, lessor, 
lessee, or independent contractor; however, person, when used to 
describe an entity that FRA alleges to have committed a violation of the 
provisions of law formerly contained in the Hazardous Materials 
Transportation Act or contained in the Hazardous Materials Regulations, 
has the same meaning as in 49 U.S.C. 5102(9) (formerly codified at 49 
App. U.S.C. 1802(11)), i.e., an individual, firm, copartnership, 
corporation, company, association, joint-stock association, including 
any trustee, receiver, assignee, or similar representative thereof, or 
government, Indian tribe, or authority of a government or tribe when 
offering hazardous material for transportation in commerce or 
transporting hazardous material to further a commercial enterprise, but 
such term does not include the United States Postal Service or, for the 
purposes of 49 U.S.C. 5123-5124 (formerly contained in sections 110 and 
111 of the Hazardous Materials Transportation Act and formerly codified 
at 49 App. U.S.C. 1809-1810), a department, agency, or instrumentality 
of the Federal Government.
    Pleading means any written submission setting forth claims, 
allegations, arguments, or evidence.
    Presiding Officer means any person authorized to preside over any 
hearing or to make a decision on the record, including an administrative 
law judge.
    Railroad means any form of nonhighway ground transportation that 
runs on rails or electro-magnetic guideways, including (i) commuter or 
other short-haul railroad passenger service in a metropolitan or 
suburban area and commuter railroad service that was operated by the 
Consolidated Rail Corporation on January 1, 1979; and (ii) high speed 
ground transportation systems that connect metropolitan areas, without 
regard to whether those systems use new technologies not associated with 
traditional railroads; but does not include rapid transit operations in 
an urban area that are not connected to the general railroad system of 
transportation.
    Respondent means a person upon whom FRA has served a notice of 
probable violation, notice of investigation, or notice of proposed 
disqualification.

[59 FR 43676, Aug. 24, 1994]



Sec. 209.5  Service.

    (a) Each order, notice, or other document required to be served 
under this part shall be served personally or by registered or certified 
mail, except as otherwise provided herein.

[[Page 19]]

    (b) Service upon a person's duly authorized representative 
constitutes service upon that person.
    (c) Service by registered or certified mail is complete upon 
mailing. An official United States Postal Service receipt from the 
registered or certified mailing constitutes prima facie evidence of 
service.
    (d) Service of requests for admission and motions may be made by 
first-class mail, postage prepaid.
    (e) Each pleading must be accompanied by a certificate of service 
specifying how and when service was made.

[42 FR 56742, Oct. 28, 1977, as amended at 54 FR 42906, Oct. 18, 1989]



Sec. 209.6  Requests for admission.

    (a) A party to any proceeding under subpart B, C, or D of this part 
may serve upon any other party written requests for the admission of the 
genuineness of any relevant documents identified within the request, the 
truth of any relevant matters of fact, and the application of law to the 
facts as set forth in the request.
    (b) Each matter of which an admission is requested shall be deemed 
to be admitted unless, within 30 days after receipt of the request, the 
party to whom the request is directed serves upon the party requesting 
the admission a written answer under oath or objection addressed to the 
matter, signed by the party.
    (c) The sworn answer shall specifically admit or deny the matter or 
set forth in detail the reasons why the answering party cannot 
truthfully admit or deny the matter. If an objection is made, the 
reasons therefor shall be stated.
    (d) Any matter admitted under this section is conclusively 
established unless the presiding official permits withdrawal or 
amendment of the admission for good cause shown.
    (e) Upon motion, the presiding officer may order any party to 
respond to a request for admission.

[54 FR 42906, Oct. 18, 1989]



Sec. 209.7  Subpoenas; witness fees.

    (a) The Chief Counsel may issue a subpoena on his or her own 
initiative in any matter related to enforcement of the railroad safety 
laws. However, where a proceeding under subpart B, C, or D of this part 
has been initiated, only the presiding officer may issue subpoenas, and 
only upon the written request of any party to the proceeding who makes 
an adequate showing that the information sought will materially advance 
the proceeding.
    (b) A subpoena may require attendance of a witness at a deposition 
or hearing or the production of documentary or other tangible evidence 
in the possession or control of the person served, or both.
    (c) A subpoena may be served personally by any person who is not an 
interested person and is not less than eighteen (18) years of age, or by 
certified or registered mail.
    (d) Service of a subpoena shall be made by delivering a copy of the 
subpoena in the appropriate manner, as set forth below. Service of a 
subpoena requiring attendance of a person is not complete unless 
delivery is accompanied by tender of fees for one day's attendance and 
mileage as specified by paragraph (f) of this section. However, when a 
subpoena is issued upon the request of any officer or agency of the 
United States, fees and mileage need not be tendered at the time of 
service but will be paid by FRA at the place and time specified in the 
subpoena for attendance.

Delivery of a copy of the subpoena may be made:
    (1) To a natural person by:
    (i) Handing it to the person;
    (ii) Leaving it at his or her office with the person in charge 
thereof;
    (iii) Leaving it at his or her dwelling place or usual place of 
abode with some person of suitable age and discretion then residing 
therein;
    (iv) Mailing it by registered or certified mail to him or her at his 
or her last known address; or
    (v) Any method whereby actual notice of the issuance and content is 
given (and the fees are made available) prior to the return date.
    (2) To an entity other than a natural person by:
    (i) Handing a copy of the subpoena to a registered agent for service 
or to any officer, director, or agent in charge of any office of the 
person;

[[Page 20]]

    (ii) Mailing it by registered or certified mail to any 
representative listed in paragraph (d)(2)(i) of this section at his or 
her last known address; or
    (iii) Any method whereby actual notice is given to such 
representative (and the fees are made available) prior to the return 
date.
    (e) The original subpoena bearing a certificate of service shall be 
filed in accordance with Sec. 209.9.
    (f) A witness subpoenaed by the FRA shall be entitled to the same 
fees and mileage as would be paid to a witness in a proceeding in the 
district courts of the United States. See 28 U.S.C. 1821. The witness 
fees and mileage shall be paid by the person requesting that the 
subpoena be issued. In an appropriate case, the Chief Counsel or the 
hearing officer may direct the person requesting issuance of a subpoena 
for the production of documentary or other tangible evidence to 
reimburse the responding person for actual costs of producing and/or 
transporting such evidence.
    (g) Notwithstanding the provisions of paragraph (f) of this section, 
and upon request, witness fees and mileage or the costs of producing 
other evidence may be paid by the FRA if the official who issued the 
subpoena determines on the basis of good cause shown that:
    (1) The presence of the subpoenaed witness or evidence will 
materially advance the proceedings; and
    (2) The party at whose instance the subpoena was issued would suffer 
a serious financial hardship if required to pay the witness fees and 
mileage.
    (h) Any person to whom a subpoena is directed may, prior to the time 
specified therein for compliance, but in no event more than ten (10) 
days after the date of service of such subpoena, apply in writing to the 
official who issued the subpoena, or if that person is unavailable, to 
the Chief Counsel, to quash or modify the subpoena. The application 
shall contain a brief statement of the reasons relied upon in support of 
the action sought therein. The issuing official or the Chief Counsel, as 
the case may be, may:
    (1) Deny the application;
    (2) Quash or modify the subpoena; or
    (3) In the case of subpoena to produce documentary or other tangible 
evidence, condition denial of the application upon the advancement by 
the party in whose behalf the subpoena is issued of the reasonable cost 
of producing the evidence.
    (i) If there is a refusal to obey a subpoena served upon any person 
under the provisions of this section, the FRA may request the Attorney 
General to seek the aid of the United States District Court for any 
district in which the person is found to compel that person, after 
notice, to appear and give testimony, or to appear and produce the 
subpoenaed documents before the FRA, or both.
    (j) Attendance of any FRA employee engaged in an investigation which 
gave rise to a proceeding under subpart B or C of this part for the 
purpose of eliciting factual testimony may be assured by filing a 
request with the Chief Counsel at least fifteen (15) days before the 
date of the hearing. The request must indicate the present intent of the 
requesting person to call the employee as a witness and state generally 
why the witness will be required.

[42 FR 56742, Oct. 28, 1977, as amended at 54 FR 42906, Oct. 18, 1989]



Sec. 209.8  Depositions in formal proceedings.

    (a) Any party to a proceeding under subpart B, C, or D of this part 
may take the testimony of any person, including a party, by deposition 
upon oral examination on order of the presiding officer following the 
granting of a motion under paragraph (b) of this section. Depositions 
may be taken before any disinterested person who is authorized by law to 
administer oaths. The attendance of witnesses may be compelled by 
subpoena as provided in Sec. 209.7 and, for proceedings under subpart D 
of this part, Sec. 209.315.
    (b) Any party desiring to take the deposition of a witness shall 
file and serve a written motion setting forth the name of the witness; 
the date, time, and place of the deposition; the subject matter of the 
witness' expected testimony; whether any party objects to the taking of 
the deposition; and the reasons for taking such deposition. Such motion 
shall be granted only upon a showing of good cause. Good

[[Page 21]]

cause exists to take a person's deposition when the information sought 
is relevant to the subject matter involved in the proceeding and:
    (1) The information is not obtainable from some other source that is 
more convenient, less burdensome, and less expensive; or
    (2) The request is not unreasonably cumulative, unduly burdensome, 
or unduly expensive, taking into account the needs of the case, 
limitations on the parties' resources, and the importance of the issues 
in the case.
    (c) Such notice as the presiding officer shall order will be given 
for the taking of a deposition, but this shall not be less than 10 days' 
written notice unless the parties agree to a shorter period.
    (d) Each witness testifying upon deposition shall be sworn and the 
adverse party shall have the right to cross-examine. The questions 
propounded and the answers thereto, together with all objections made, 
shall be reduced to writing, subscribed by the witness, and certified by 
the reporter.
    (e) Depositions taken under this section may be used for discovery, 
to contradict or impeach the testimony of the deponent as a witness, or 
as evidence in the proceeding as permitted by paragraph (f) of this 
section and in accordance with the limitations of Fed. R. Civ. Pro. 32 
as though it were applicable to these proceedings.
    (f) Subject to such objections to the questions and answers as were 
noted at the time of taking the deposition and as would be valid were 
the witness personally present and testifying, such deposition may be 
offered in evidence by any party to the proceeding.

[54 FR 42906, Oct. 18, 1989]



Sec. 209.9  Filing.

    All materials filed with FRA or any FRA officer in connection with a 
proceeding under subpart B, C, or D of this part shall be submitted in 
duplicate to the Assistant Chief Counsel for Safety, (RCC-30), Office of 
Chief Counsel, Federal Railroad Administration, 400 Seventh Street, SW., 
Washington, DC 20590, except that documents produced in accordance with 
a subpoena shall be presented at the place and time specified by the 
subpoena.

[54 FR 42906, Oct. 18, 1989]



Sec. 209.11  Request for confidential treatment.

    (a) This section governs the procedures for requesting confidential 
treatment of any document filed with or otherwise provided to FRA in 
connecton with its enforcement of statutes related to railroad safety. 
For purposes of this section, ``enforcement'' shall include all 
investigative and compliance activities, in addition to the development 
of violation reports and recommendations for prosecution.
    (b) A request for confidential treatment with respect to a document 
or portion thereof may be made on the basis that the information is--
    (1) Exempt from the mandatory disclosure requirements of the Freedom 
of Information Act (5 U.S.C. 552);
    (2) Required to be held in confidence by 18 U.S.C. 1905; or
    (3) Otherwise exempt by law from public disclosure.
    (c) Any document containing information for which confidential 
treatment is requested shall be accompanied at the time of filing by a 
statement justifying nondisclosure and referring to the specific legal 
authority claimed.
    (d) Any document containing any information for which confidential 
treatment is requested shall be marked ``CONFIDENTIAL'' or ``CONTAINS 
CONFIDENTIAL INFORMATION'' in bold letters. If confidentiality is 
requested as to the entire document, or if it is claimed that 
nonconfidential information in the document is not reasonably segregable 
from confidential information, the accompanying statement of 
justification shall so indicate. If confidentiality is requested as to a 
portion of the document, then the person filing the document shall file 
together with the document a second copy of the document from which the 
information for which confidential treatment is requested has been 
deleted. If the person filing a document of which only a portion is 
requested to be held in confidence does not submit a second copy of the 
document with the confidential information deleted. FRA may assume that 
there is no objection

[[Page 22]]

to public disclosure of the document in its entirety.
    (e) FRA retains the right to make its own determination with regard 
to any claim of confidentiality. Notice of a decision by the FRA to deny 
a claim, in whole or in part, and an opportunity to respond shall be 
given to a person claiming confidentiality of information no less than 
five days prior to its public disclosure.



Sec. 209.13  Consolidation.

    At the time a matter is set for hearing under subpart B, C, or D of 
this part, the Chief Counsel may consolidate the matter with any similar 
matter(s) pending against the same respondent or with any related 
matter(s) pending against other respondent(s) under the same subpart. 
However, on certification by the presiding officer that a consolidated 
proceeding is unmanageable or otherwise undesirable, the Chief Counsel 
will rescind or modify the consolidation.

[54 FR 42906, Oct. 18, 1989]



Sec. 209.15  Rules of evidence.

    The Federal Rules of Evidence for United States Courts and 
Magistrates shall be employed as general guidelines for proceedings 
under subparts B, C, and D of this part. However, all relevant and 
material evidence shall be received into the record.

[54 FR 42907, Oct. 18, 1989]



Sec. 209.17  Motions.

    Motions shall be in writing, filed with the presiding officer, and 
copies served upon the parties in accordance with Sec. 209.5, except 
that oral motions may be made during the course of any hearing or 
appearance before the presiding officer. Each motion shall state the 
particular order, ruling, or action desired and the grounds therefor. 
Unless otherwise specified by the presiding officer, any objection to a 
written motion must be filed within 10 days after receipt of the motion.

[54 FR 42907, Oct. 18, 1989]



                Subpart B--Hazardous Materials Penalties

                             Civil Penalties



Sec. 209.101  Civil penalties generally.

    (a) Sections 209.101 through 209.121 prescribe rules of procedure 
for the assessment of civil penalties pursuant to the Federal hazardous 
materials transportation safety law, 49 U.S.C. Chapter 51.
    (b) When the FRA has reason to believe that a person has knowingly 
committed an act which is a violation of any provision of subchapter B 
or C of chapter I, subtitle B of this title for which the FRA exercises 
enforcement responsibility or any waiver or order issued thereunder, it 
may conduct a proceeding to assess a civil penalty.

[42 FR 56742, Oct. 28, 1977, as amended at 61 FR 38646, July 25, 1996]



Sec. 209.103  Minimum and maximum penalties.

    A person who knowingly violates a requirement of subchapter A or C 
of chapter I, Subtitle B of this title is liable for a civil penalty of 
at least $250 but not more than $27,500 for each violation. When the 
violation is a continuing one, each day of the violation constitutes a 
separate offense. 49 U.S.C. 5123.

[61 FR 38646, July 25, 1996, as amended at 63 FR 11619, Mar. 10, 1998]



Sec. 209.105  Notice of probable violation.

    (a) FRA, through the Chief Counsel, begins a civil penalty 
proceeding by serving a notice of probable violation on a person 
charging him or her with having violated one or more provisions of 
subchapter A or C of chapter I, subtitle B of this title. Appendix B to 
this part contains guidelines used by the chief counsel in making 
initial penalty assessments.
    (b) A notice of probable violation issued under this section 
includes:
    (1) A statement of the provision(s) which the respondent is believed 
to have violated;
    (2) A statement of the factual allegations upon which the proposed 
civil penalty is being sought;

[[Page 23]]

    (3) Notice of the maximum amount of civil penalty for which the 
respondent may be liable;
    (4) Notice of the amount of the civil penalty proposed to be 
assessed;
    (5) A description of the manner in which the respondent should make 
payment of any money to the United States;
    (6) A statement of the respondent's right to present written 
explanations, information or any materials in answer to the charges or 
in mitigation of the penalty; and
    (7) A statement of the respondent's right to request a hearing and 
the procedures for requesting a hearing.
    (c) The FRA may amend the notice of probable violation at any time 
prior to the entry of an order assessing a civil penalty. If the 
amendment contains any new material allegation of fact, the respondent 
is given an opportunity to respond. In an amended notice, FRA may change 
the penalty amount proposed to be assessed up to and including the 
maximum penalty amount of $25,000 for each violation.

[42 FR 56742, Oct. 28, 1977, as amended at 61 FR 38646, July 25, 1996]



Sec. 209.107  Reply.

    (a) Within thirty (30) days of the service of a notice of probable 
violation issued under Sec. 209.105, the respondent may--
    (1) Pay as provided in Sec. 209.109(a) and thereby close the case;
    (2) Make an informal response as provided in Sec. 209.111; or
    (3) Request a hearing as provided in Sec. 209.113.
    (b) The Chief Counsel may extend the thirty (30) days period for 
good cause shown.
    (c) Failure of the respondent to reply by taking one of the three 
actions described in paragraph (a) of this section within the period 
provided constitutes a waiver of his or her right to appear and contest 
the allegations and authorizes the Chief Counsel, without further notice 
to the respondent, to find the facts to be as alleged in the notice of 
probable violation and to assess an appropriate civil penalty.



Sec. 209.109  Payment of penalty; compromise.

    (a) Payment of a civil penalty should be made by certified check or 
money order payable to the Federal Railroad Administration and sent to 
the Accounting Division, Federal Railroad Administration, Department of 
Transportation, Washington, DC 20590.
    (b) At any time before an order assessing a penalty is referred to 
the Attorney General for collection, the respondent may offer to 
compromise for a specific amount by contracting the Chief Counsel.



Sec. 209.111  Informal response and assessment.

    (a) If a respondent elects to make an informal response to a notice 
of probable violation, respondent shall submit to the Chief Counsel such 
written explanations, information or other materials as respondent may 
desire in answer to the charges or in mitigation of the proposed 
penalty.
    (b) The respondent may include in his or her informal written 
response a request for a conference. Upon receipt of such a request, the 
Chief Counsel arranges for a conference as soon as practicable at a time 
and place of mutual convenience.
    (c) Written explanations, information or materials, submitted by the 
respondent and relevant information presented during any conference held 
under this section are considered by the Chief Counsel in reviewing the 
notice of proposed violation and determining the fact of violation and 
the amount of any penalty to be assessed.
    (d) After consideration of an informal response, including any 
relevant information presented at a conference, the Chief Counsel may 
dismiss the notice of probable violation in whole or in part. If he or 
she does not dismiss it in whole, he or she may issue an order assessing 
a civil penalty.



Sec. 209.113  Request for hearing.

    (a) If a respondent elects to request a hearing, he or she must 
submit a written request to the Chief Counsel referring to the case 
number which appeared on the notice of the probable violation. The 
request must--

[[Page 24]]

    (1) State the name and address of the respondent and of the person 
signing the request if different from the respondent;
    (2) State with respect to each allegation whether it is admitted or 
denied; and
    (3) State with particularity the issues to be raised by the 
respondent at the hearing.
    (b) After a request for hearing which complies with the requirements 
of paragraph (a) of this section, the Chief Counsel schedules a hearing 
for the earliest practicable date.
    (c) The Chief Counsel or the hearing officer appointed under 
Sec. 209.115 may grant extensions of the time of the commencement of the 
hearing for good cause shown.



Sec. 209.115  Hearing.

    (a) When a hearing is requested and scheduled under Sec. 209.113, a 
hearing officer designated by the Chief Counsel convenes and presides 
over the hearing. If requested by respondent and if practicable, the 
hearing is held in the general vicinity of the place where the alleged 
violation occurred, or at a place convenient to the respondent. 
Testimony by witnesses shall be given under oath and the hearing shall 
be recorded verbatim.
    (b) The presiding official may:
    (1) Administer oaths and affirmations;
    (2) Issue subpoenas as provided by Sec. 209.7;
    (3) Adopt procedures for the submission of evidence in written form;
    (4) Take or cause depositions to be taken;
    (5) Rule on offers of proof and receive relevant evidence;
    (6) Examine witnesses at the hearing;
    (7) Convene, recess, reconvene, and adjourn and otherwise regulate 
the course of the hearing;
    (8) Hold conferences for settlement, simplification of the issues or 
any other proper purpose; and
    (9) Take any other action authorized by or consistent with the 
provisions of this subpart pertaining to civil penalties and permitted 
by law which may expedite the hearing or aid in the disposition of an 
issue raised, therein.
    (c) The Chief Counsel has the burden of providing the facts alleged 
in the notice of proposed violation and may offer such relevant 
information as may be necessary fully to inform the presiding officer as 
to the matter concerned.
    (d) The respondent may appear and be heard on his or her own behalf 
or through counsel of his or her choice. The respondent or his or her 
counsel may offer relevant information including testimony which he or 
she believes should be considered in defense of the allegations or which 
may bear on the penalty proposed to be assessed and conduct such cross-
examination as may be required for a full disclosure of the material 
facts.
    (e) At the conclusion of the hearing or as soon thereafter as the 
hearing officer shall provide, the parties may file proposed findings 
and conclusions, together with supporting reasons.

[42 FR 56742, Oct. 28, 1977; 42 FR 59755, Nov. 21, 1977]



Sec. 209.117  Presiding officer's decision.

    (a) After consideration of the evidence of record, the presiding 
officer may dismiss the notice of probable violation in whole or in 
part. If the presiding officer does not dismiss it in whole, he or she 
will issue and serve on the respondent an order assessing a civil 
penalty. The decision of the presiding officer will include a statement 
of findings and conclusions as well as the reasons therefor on all 
material issues of fact, law, and discretion.
    (b) If, within twenty (20) days after service of an order assessing 
a civil penalty, the respondent does not pay the civil penalty or file 
an appeal as provided in Sec. 209.121, the case may be referred to the 
Attorney General with a request that an action to collect the penalty be 
brought in the appropriate United States District Court.



Sec. 209.119  Assessment considerations.

    The assessment of a civil penalty under Sec. 209.117 is made only 
after considering:
    (a) The nature and circumstances of the violation;
    (b) The extent and gravity of the violation;

[[Page 25]]

    (c) The degree of the respondent's culpabilty;
    (d) The respondent's history of prior offenses;
    (e) The respondent's ability to pay;
    (f) The effect on the respondent's ability to continue in business; 
and
    (g) Such other matters as justice may require.



Sec. 209.121  Appeal.

    (a) Any party aggrieved by a presiding officer's decision or order 
issued under Sec. 209.117 assessing a civil penalty may file an appeal 
with the Administrator. The appeal must be filed within twenty (20) days 
of service of the presiding officer's order.
    (b) Prior to rendering a final determination on an appeal, the 
Administrator may remand the case for further proceedings before the 
hearing officer.
    (c) In the case of an appeal by a respondent, if the Administrator 
affirms the assessment and the respondent does not pay the civil penalty 
within twenty (20) days after service of the Administrator's decision on 
appeal, the matter may be referred to the Attorney General with a 
request that an action to collect the penalty be brought in the 
appropriate United States District Court.

                           Criminal Penalties



Sec. 209.131  Criminal penalties generally.

    The Federal hazardous materials transportation safety laws (49 
U.S.C. 5124) provide a criminal penalty of a fine under title 18, United 
States Code, and imprisonment for not more than 5 years, or both, for 
any person who knowingly violates 49 U.S.C. 5104(b) or who willfully 
violates chapter 51 of title 49, United States Code, or a regulation 
prescribed or order issued under that chapter.

[61 FR 38647, July 25, 1996]



Sec. 209.133  Referral for prosecution.

    If an inspector, including a certified state inspector under Part 
212 of this chapter, or other employee of FRA becomes aware of a 
possible willful violation of the Federal hazardous materials 
transportation safety laws (49 U.S.C. Chapter 51) or a regulation issued 
under those laws for which FRA exercises enforcement responsibility, he 
or she reports it to the Chief Counsel. If evidence exists tending to 
establish a prima facie case, and if it appears that assessment of a 
civil penalty would not be an adequate deterrent to future violations, 
the Chief Counsel refers the report to the Department of Justice for 
criminal prosecution of the offender.

[61 FR 38647, July 25, 1996]



                      Subpart C--Compliance Orders



Sec. 209.201  Compliance orders generally.

    (a) This subpart prescribes rules of procedure leading to the 
issuance of compliance orders pursuant to the Federal railroad safety 
laws at 49 U.S.C. 5121(a) and/or 20111(b).
    (b) The FRA may commence a proceeding under this subpart when FRA 
has reason to believe that a person is engaging in conduct or a pattern 
of conduct that involves one or more violations of the Federal railroad 
safety laws or any regulation or order issued under those laws for which 
FRA exercises enforcement authority.

[61 FR 38647, July 25, 1996]



Sec. 209.203  Notice of investigation.

    (a) FRA begins a compliance order proceeding by serving a notice of 
investigation on the respondent.
    (b) The notice of investigation contains:
    (1) A statement of the legal authority for the proceeding;
    (2) A statement of the factual allegations upon which the remedial 
action is being sought; and
    (3) A statement of the remedial action being sought in the form of a 
proposed compliance order.
    (c) The FRA may amend the notice of investigation at any time prior 
to the entry of a final compliance order. If an amendment includes any 
new material allegation of fact or seeks new or additional remedial 
action, the respondent is given an opportunity to respond.



Sec. 209.205  Reply.

    (a) Within thirty (30) days of service of a notice of investigation, 
the respondent may file a reply with the FRA. The Chief Counsel may 
extend

[[Page 26]]

the time for filing for good cause shown.
    (b) The reply must be in writing, signed by the person filing it, 
and state with respect to each factual allegation whether it is admitted 
or denied. Even though formally denied, a factual allegation set forth 
in a notice of investigation is considered to be admitted for purposes 
of the proceeding unless:
    (1) Opposed by the affidavit of an individual having personal 
knowledge of the subject matter;
    (2) Challenged as defective on its face together with a supporting 
explanation as to why it is believed to be defective; or
    (3) Otherwise actively put at issue through the submission of 
relevant evidence.
    (c) The reply must set forth any affirmative defenses and include a 
statement of the form and nature of proof by which those defenses are to 
be established.
    (d) If it is necessary to respond to an amendment to the notice of 
investigation, the respondent may amend the reply concerning the 
substance of matters contained in the amendment to the notice at any 
time before the issuance of an order under Sec. 209.211.
    (e) If the respondent elects not to contest one or more factual 
allegations, he or she should so state in the reply. An election not to 
contest a factual allegation is an admission of that allegation solely 
for the purpose of issuing a compliance order. That election constitutes 
a waiver of hearing as to that allegation but does not, by itself, 
constitute a waiver of the right to be heard on other issues. In 
connection with a statement of election not to contest a factual 
allegation, the respondent may propose an appropriate order for issuance 
by the Administrator or propose the negotiation of a consent order.
    (f) Failure of the respondent to file a reply within the period 
provided constitutes a waiver of his or her right to appear and contest 
the allegation and authorizes the Administrator, without further notice 
to the respondent, to find the facts to be as alleged in the notice of 
proposed violation and to issue an appropriate order directing 
compliance.



Sec. 209.207  Consent order.

    (a) At any time before the issuance of an order under Sec. 209.211, 
the Chief Counsel and the respondent may execute an agreement proposing 
the entry by consent of an order directing compliance. The Administrator 
may accept the proposed order by signing it. If the Administrator 
rejects the proposed order, he or she directs that the proceeding 
continue.
    (b) An agreement submitted to the Administrator under this section 
must include:
    (1) A proposed compliance order suitable for the Administrator's 
signature;
    (2) An admission of all jurisdictional facts;
    (3) An express waiver of further procedural steps and of all right 
to seek judicial review or otherwise challenge or contest the validity 
of the order; and
    (4) An acknowledgment that the notice of investigation may be used 
to construe the terms of the order.



Sec. 209.209  Hearing.

    (a) When a respondent files a reply contesting allegations in a 
notice of investigation issued under Sec. 209.203 or when the FRA and 
the respondent fail to agree upon an acceptable consent order, the 
hearing officer designated by the Chief Counsel convenes and presides 
over a hearing on the proposed compliance order.
    (b) The presiding official may:
    (1) Administer oaths and affirmations;
    (2) Issue subpoenas as provided by Sec. 209.7;
    (3) Adopt procedures for the submission of evidence;
    (4) Take or cause depositions to be taken;
    (5) Rule on offers of proof and receive relevant evidence;
    (6) Examine witnesses at the hearing;
    (7) Convene, recess, reconvene, ad- journ and otherwise regulate the 
course of the hearing;
    (8) Hold conferences for settlement, simplification of the issues or 
any other proper purpose; and
    (9) Take any other action authorized by or consistent with the 
provisions of this subpart pertaining to compliance orders and permitted 
by law which may

[[Page 27]]

expedite the hearing or aid in the disposition of an issue raised 
therein.
    (c) The Chief Counsel has the burden of providing the facts alleged 
in the notice of investigation and may offer such relevant information 
as may be necessary fully to inform the presiding officer as to the 
matter concerned.
    (d) The respondent may appear and be heard on his or her own behalf 
or through counsel of his or her choice. The respondent or his or her 
counsel may offer relevant information, including testimony which he or 
she believes should be considered in defense of the allegations or which 
may bear on the remedial action being sought, and conduct such cross-
examination as may be required for a full disclosure of the material 
facts.
    (e) At the conclusion of the hearing or as soon thereafter as the 
hearing officer shall provide, the parties may file proposed findings 
and conclusions, together with supporting reasons therefor.



Sec. 209.211  Presiding officer's decision.

    (a) After consideration of evidence, the presiding officer may 
dismiss the notice of investigation or issue a compliance order. The 
decision of the presiding officer will include a statement of findings 
and conclusions as well as the reasons therefor on all material issues 
of fact, law, and discretion.
    (b) A compliance order issued under this section is effective twenty 
(20) days from service on the respondent unless otherwise provided 
therein.



Sec. 209.213  Appeal.

    (a) Any party aggrieved by a presiding officer's decision may file 
an appeal with the Administrator. The appeal must be filed within twenty 
(20) days after service of the presiding officer's decision.
    (b) Prior to rendering a final determination on an appeal, the 
Administrator may remand the case for further proceedings before the 
hearing officer.
    (c) The filing of an appeal does not stay the effectiveness of a 
compliance order unless the Administrator expressly so provides.



Sec. 209.215  Time limitation.

    A proceeding for the issuance of a compliance order under the 
Federal Railroad Safety Act of 1970, as amended, shall be completed 
within twelve (12) months after issuance of the notice of investigation.



                 Subpart D--Disqualification Procedures

    Source: 54 FR 42907, Oct. 18, 1989, unless otherwise noted.



Sec. 209.301  Purpose and scope.

    (a) This subpart prescribes the rules of practice for administrative 
proceedings relating to the determination of an individual's fitness for 
performing safety-sensitive functions under section 209(f) of the 
Federal Railroad Safety Act of 1970 (45 U.S.C. 438(f)).
    (b) The purpose of this subpart is to prevent accidents and 
casualties in railroad operations that result from the presence in the 
work force of railroad employees, including managers and supervisors, 
and agents of railroads who have demonstrated their unfitness to perform 
the safety-sensitive functions described in Sec. 209.303 by violating 
any rule, regulation, order or standard prescribed by FRA. Employees and 
agents who evidence such unfitness may be disqualified, under specified 
terms and conditions, temporarily or permanently, from performing such 
safety-sensitive functions.
    (c) This subpart does not preempt a railroad from initiating 
disciplinary proceedings and imposing disciplinary sanctions against its 
employees, including managers and supervisors, under its collective 
bargaining agreements or in the normal and customary manner. 
Disqualification determinations made under this subpart shall have no 
effect on prior or subsequent disciplinary actions taken against such 
employees by railroads.



Sec. 209.303  Coverage.

    This subpart applies to the following individuals:
    (a) Railroad employees who are assigned to perform service subject 
to the Hours of Service Act (45 U.S.C. 61-64b)

[[Page 28]]

during a duty tour, whether or not the person has performed or is 
currently performing such service, and any person who performs such 
service.
    (b) Railroad employees or agents who:
    (1) Inspect, install, repair, or maintain track and roadbed;
    (2) Inspect, repair or maintain, locomotives, passenger cars, and 
freight cars;
    (3) Conduct training and testing of employees when the training or 
testing is required by the FRA's safety regulations; or
    (c) Railroad managers, supervisors, or agents when they:
    (1) Perform the safety-sensitive functions listed in paragraphs (a) 
and (b) of this section;
    (2) Supervise and otherwise direct the performance of the safety-
sensitive functions listed in paragraphs (a) and (b) of this section; or
    (3) Are in a position to direct the commission of violations of any 
of the requirements of parts 213 through 236 of this title.



Sec. 209.305  Notice of proposed disqualification.

    (a) FRA, through the Chief Counsel, begins a disqualification 
proceeding by serving a notice of proposed disqualification on the 
respondent charging him or her with having violated one or more rules, 
regulations, orders, or standards promulgated by FRA, which render the 
respondent unfit to perform safety-sensitive functions described in 
Sec. 209.303.
    (b) The notice of proposed disqualification issued under this 
section shall contain:
    (1) A statement of the rule(s), regulation(s), order(s), or 
standard(s) that the respondent is alleged to have violated;
    (2) A statement of the factual allegations that form the basis of 
the initial determination that the respondent is not fit to perform 
safety-sensitive functions;
    (3) A statement of the effective date, duration, and other 
conditions, if any, of the disqualification order;
    (4) A statement of the respondent's right to answer the charges in 
writing and furnish affidavits and any other documentary evidence in 
support of the answer;
    (5) A statement of the respondent's right to make an informal 
response to the Chief Counsel;
    (6) A statement of the respondent's right to request a hearing and 
the procedures for requesting a hearing;
    (7) A statement of the respondent's right to counsel or other 
designated representative; and
    (8) Notice of the consequences of the respondent's failure to take 
any of the actions described in Sec. 209.307(a).
    (c) The Chief Counsel shall enclose with the notice of proposed 
disqualification a copy of the material that is relied on in support of 
the charges. Nothing in this section precludes the Chief Counsel from 
presenting at a subsequent hearing under Sec. 209.321 any evidence of 
the charges set forth in the notice that the Chief Counsel acquires 
after service thereof on the respondent. The Chief Counsel, however, 
shall serve a copy of any such evidence on the respondent at or before 
the prehearing conference required under Sec. 209.319. Failure to 
furnish such evidence to respondent at or before the prehearing 
conference bars its introduction at the hearing.
    (d) The Chief Counsel shall provide a copy of the notice of proposed 
disqualification to the railroad that employs the respondent.



Sec. 209.307  Reply.

    (a) Within 30 days after receipt of the notice of proposed 
disqualification issued under Sec. 209.305, the respondent shall reply 
in writing to the charges. The respondent may furnish affidavits and any 
other documentary evidence in support of the reply. Further, the 
respondent may elect to--
    (1) Stipulate to the charges and consent to the imposition of the 
disqualification order under the conditions set forth in the notice;
    (2) Make an informal response as provided in Sec. 209.309; or
    (3) Request a hearing as provided in Sec. 209.311.
    (b) The Chief Counsel may extend the reply period for good cause 
shown, provided the request for extension is

[[Page 29]]

served before the expiration of the period provided in paragraph (a) of 
this section.
    (c) Failure of the respondent to reply to the notice of proposed 
disqualification within the period provided in paragraph (a) of this 
section or an extension thereto provided under paragraph (b) of this 
section constitutes a waiver of the respondent's right to appear and 
contest the charges or the proposed disqualification. Respondent's 
failure to reply authorizes the Chief Counsel, without further notice to 
the respondent, to find the respondent unfit for the performance of the 
safety-sensitive functions described in Sec. 209.303 and to order the 
respondent disqualified from performing them for the period and under 
the other conditions described in the notice of proposed 
disqualification. The Chief Counsel shall serve respondent with the 
disqualification order and provide a copy of the order to the railroad 
by which the respondent is employed.



Sec. 209.309  Informal response.

    (a) If the respondent elects to make an informal response to a 
notice of proposed disqualification, he or she shall submit to the Chief 
Counsel such written explanations, information, or other materials as 
respondent may desire in answer to the charges or in mitigation of the 
proposed disqualification.
    (b) The respondent may include in an informal written response a 
request for a conference. Upon receipt of such a request, the Chief 
Counsel shall arrange for a conference at a time and place designated by 
the Chief Counsel.
    (c) Written explanations, information, or materials submitted by the 
respondent and relevant information presented during any conference held 
under this section shall be considered by the Chief Counsel in reviewing 
the notice of proposed disqualification, including the question of the 
respondent's fitness and the conditions of any disqualification that may 
be imposed.
    (d) After consideration of an informal response, including any 
relevant information presented at a conference, the Chief Counsel shall 
take one of the following actions:
    (1) Dismiss all the charges and terminate the notice of proposed 
disqualification;
    (2) Dismiss some of the charges and mitigate the proposed 
disqualification;
    (3) Mitigate the proposed disqualification; or
    (4) Sustain the charges and proposed disqualification.
    (e) Should the Chief Counsel sustain, in whole or in part, the 
charges and proposed disqualification and reach settlement with the 
respondent, the Chief Counsel shall issue an appropriate 
disqualification order reflecting the settlement and shall provide a 
copy of that order to the railroad by which the respondent is employed. 
The duration of the disqualification period may be less than, but shall 
be no greater than, the period set forth in the notice. Any settlement 
reached shall be evidenced by a written agreement, which shall include 
declarations from the respondent stipulating to the charges contained in 
the disqualification order, consenting to the imposition of the 
disqualification under the conditions set forth in the disqualification 
order, and waiving his or her right to a hearing.
    (f) If settlement of the charges against the respondent is not 
achieved, the Chief Counsel shall terminate settlement discussions no 
later than 30 days from service of the informal response upon the Chief 
Counsel by serving respondent written notice of termination of 
settlement negotiations.
    (g) By electing to make an informal response to a notice of proposed 
disqualification, the respondent does not waive the right to a hearing. 
However, the respondent must submit the hearing request required by 
Sec. 209.311(a) within l0 days after receipt of the notice of 
termination of settlement negotiations from the Chief Counsel. Failure 
to submit such a request constitutes a waiver of the respondent's right 
to appear and contest the charges or the proposed disqualification.
    (h) The Chief Counsel may extend the period for requesting a hearing 
for good cause shown, provided the request for extension is served 
before the expiration of the period provided in paragraph (g) of this 
section.

[[Page 30]]



Sec. 209.311  Request for hearing.

    (a) If the respondent elects to request a hearing, he or she must 
submit a written request within the time periods specified in 
Sec. 209.307(a) or Sec. 209.309(g) to the Chief Counsel referring to the 
case number that appears on the notice of proposed disqualification. The 
request must contain the following:
    (1) The name, address, and telephone number of the respondent and of 
the respondent's designated representative, if any;
    (2) A specific response admitting, denying, or explaining each 
allegation of the notice of disqualification order.
    (3) A description of the claims and defenses to be raised by the 
respondent at the hearing; and
    (4) The signature of the respondent or the representative, if any.
    (b) Upon receipt of a request for a hearing complying with the 
requirements of paragraph (a) of this section, the Chief Counsel shall 
arrange for the appointment of a presiding officer and transmit the 
disqualification file to the presiding officer, who shall schedule the 
hearing for the earliest practicable date within the time period set by 
Sec. 209.321(a) of this subpart.
    (c) Upon assignment of a presiding officer, further matters in the 
proceeding generally are conducted by and through the presiding officer, 
except that the Chief Counsel and respondent may settle or voluntarily 
dismiss the case without order of the presiding officer. The Chief 
Counsel shall promptly notify the presiding officer of any settlement or 
dismissal of the case.



Sec. 209.313  Discovery.

    (a) Disqualification proceedings shall be conducted as expeditiously 
as possible with due regard to the rights of the parties. Discovery is 
designed to enable a party to obtain relevant information needed for 
preparation of the party's case. These regulations are intended to 
provide a simple, timely, and relatively economical system for 
discovery. They shall be interpreted and applied so as to avoid delay 
and facilitate adjudication of the case.
    (b) Discovery may be obtained by requests for admission under 
Sec. 209.6, requests for production of documentary or other tangible 
evidence under Sec. 209.7, and depositions under Sec. 209.8.
    (c) A party may initiate the methods of discovery permitted under 
paragraph (b) of this section at any time after respondent requests a 
hearing under Sec. 209.311.
    (d) Discovery shall be completed within 90 days after receipt of 
respondent's request for a hearing under Sec. 209.311. Upon motion for 
good cause shown, the presiding officer may extend this time period for 
an additional 30 days. The presiding officer may grant an additional 30 
day extension only when the party requesting the extension shows by 
clear and convincing evidence that the party was unable to complete 
discovery within the prescribed time period through no fault or lack of 
due diligence of such party, and that denial of the request would result 
in irreparable prejudice.
    (e) If a party fails to comply with a discovery order or an order to 
compel, the presiding officer may:
    (1) Strike any appropriate part of the pleadings or other 
submissions of the party failing to comply with such order;
    (2) Prohibit the party failing to comply with such order from 
introducing evidence relating to the information sought;
    (3) Draw an inference in favor of the requesting party with regard 
to the information sought; and
    (4) Permit the requesting party to introduce secondary evidence 
concerning the information sought.



Sec. 209.315  Subpoenas.

    Once a notice of proposed disqualification has been issued in a 
particular matter, only the presiding officer may issue, deny, quash, or 
modify subpoenas under this subpart in accordance with Sec. 209.7.



Sec. 209.317  Official record.

    The notice of proposed disqualification, respondent's reply, 
exhibits, and verbatim record of testimony, if a hearing is held, and 
all pleadings, stipulations, and admissions filed and rulings and orders 
entered in the course of the proceeding shall constitute the exclusive 
and official record.

[[Page 31]]



Sec. 209.319  Prehearing conference.

    (a) The parties shall confer with the presiding officer, either in 
person or by telephone, for a conference at least 10 days before the 
hearing to consider:
    (1) Formulation and simplification of the issues;
    (2) Stipulations, admissions of fact, and admissions of the contents 
and authenticity of documents;
    (3) Advance rulings from the presiding officer on the admissibility 
of evidence;
    (4) Identification of witnesses, including the scope of their 
testimony, and of hearing exhibits;
    (5) Possibility of settlement; and
    (6) Such other matters as the presiding officer deems necessary to 
expedite the disposition of the proceeding.
    (b) The record shall show the matters disposed of by order and by 
agreement in such a prehearing conference. The subsequent course of the 
hearing shall be controlled by such action.
    (c) The prehearing conference shall be held within 150 days after 
receipt of respondent's request for a hearing under Sec. 209.311.



Sec. 209.321  Hearing.

    (a) Upon receipt of a hearing request complying with Sec. 209.311, 
an administrative hearing for review of a notice of proposed 
disqualification shall be conducted by a presiding officer, who can be 
any person authorized by the FRA Administrator, including an 
administrative law judge. The hearing shall begin within 180 days from 
receipt of respondent's hearing request. Notice of the time and place of 
the hearing shall be given to the parties at least 20 days before the 
hearing. Testimony by witnesses shall be given under oath and the 
hearing shall be recorded verbatim. The hearing shall be open to the 
public, unless the presiding official determines that it would be in the 
best interests of the respondent, a witness, or other affected persons, 
to close all or any part of it. If the presiding official makes such a 
determination, an appropriate order, which sets forth the reasons 
therefor, shall be entered.
    (b) The presiding officer may:
    (1) Administer oaths and affirmations;
    (2) Issue subpoenas as provided by Sec. 209.7;
    (3) Adopt procedures for the submission of evidence in written form;
    (4) Take or cause depositions to be taken as provided in Sec. 209.8;
    (5) Rule on offers of proof and receive relevant evidence;
    (6) Examine witnesses at the hearing;
    (7) Convene, recess, reconvene, adjourn, and otherwise regulate the 
course of the hearing;
    (8) Hold conferences for settlement, simplification of the issues, 
or any other proper purpose; and
    (9) Take any other action authorized by or consistent with the 
provisions of this subpart and permitted by law that may expedite the 
hearing or aid in the disposition of an issue raised therein.
    (c) FRA has the burden of proof, by a preponderance of the evidence, 
as to the facts alleged in the notice of proposed disqualification, the 
reasonableness of the conditions of the qualification proposed, and, 
except as provided in Sec. 209.329(a), the respondent's lack of fitness 
to perform safety-sensitive functions. The Chief Counsel may offer 
relevant evidence, including testimony, in support of the allegations 
contained in the notice of proposed disqualification and conduct such 
cross-examination as may be required for a full disclosure of the 
material facts.
    (d) The respondent may appear and be heard on respondent's own 
behalf or through respondent's designated representative. The respondent 
may offer relevant evidence, including testimony, in defense of the 
allegations or in mitigation of the proposed disqualification and 
conduct such cross-examination as may be required for a full disclosure 
of the material facts. Respondent has the burden of proof, by a 
preponderance of the evidence, as to any affirmative defense, including 
that respondent's actions were in obedience to the direct order of a 
railroad supervisor or higher level official.
    (e) The record shall be closed at the conclusion of the hearing, 
unless the parties request the opportunity to submit proposed findings 
and conclusions. When the presiding officer allows the parties to submit 
proposed findings and conclusions, documents previously

[[Page 32]]

identified for introduction into evidence, briefs, or other posthearing 
submissions the record shall be left open for such time as the presiding 
officer grants for that purpose.

[54 FR 42907, Oct. 18, 1989, as amended at 60 FR 53136, Oct. 12, 1995]



Sec. 209.323  Initial decision.

    (a) The presiding officer shall prepare an initial decision after 
the closing of the record. The initial decision may dismiss the notice 
of proposed disqualification, in whole or in part, sustain the charges 
and proposed disqualification, or sustain the charges and mitigate the 
proposed disqualification.
    (b) If the presiding officer sustains the charges and the proposed 
disqualification, dismisses some of the charges, or mitigates the 
proposed disqualification, the presiding officer shall issue and serve 
an appropriate order disqualifying respondent from engaging in the 
safety-sensitive functions described in Sec. 209.303. If the presiding 
officer dismisses all of the charges set forth in notice of proposed 
disqualification, a dismissal order shall be issued and served.
    (c) Each initial decision shall contain:
    (1) Findings of fact and conclusions of law, as well as the reasons 
or bases therefor, upon all the material issues of fact and law 
presented on the record;
    (2) An order, as described in paragraph (b) of this section;
    (3) The dates any disqualification is to begin and end and other 
conditions, if any, that the respondent must satisfy before the 
disqualification order is discharged;
    (4) The date upon which the decision will become final, as 
prescribed in Sec. 209.325; and
    (5) Notice of the parties' appeal rights, as prescribed in 
Sec. 209.327.
    (d) The decision shall be served upon the FRA Chief Counsel and the 
respondent. The Chief Counsel shall provide a copy of the 
disqualification order to the railroad by which the respondent is 
employed.



Sec. 209.325  Finality of decision.

    (a) The initial decision of the presiding officer shall become final 
35 days after issuance. Such decisions are not precedent.
    (b) Exception. The initial decision shall not become final if, 
within 35 days after issuance of the decision, any party files an appeal 
under Sec. 209.327. The timely filing of such an appeal shall stay the 
order in the initial decision.



Sec. 209.327  Appeal.

    (a) Any party aggrieved by an initial decision issued under 
Sec. 209.323 may file an appeal. The appeal must be filed within 35 days 
of issuance of the initial decision with the Federal Railroad 
Administrator, 400 Seventh Street, SW., Washington, DC 20590. A copy of 
the appeal shall be served on each party. The appeal shall set forth 
objections to the initial decision, supported by reference to applicable 
laws and regulations, and with specific reference to the record. If the 
Administrator has played any role in investigating, prosecuting, or 
deciding to prosecute the particular case, the Administrator shall 
recuse him or herself and delegate his or her authority under this 
section to a person not so involved.
    (b) A party may file a reply to an appeal within 25 days of service 
of the appeal. If the party relies on evidence contained in the record 
for the reply, the party shall specifically refer to the pertinent 
evidence in the record.
    (c) The Administrator may extend the period for filing an appeal or 
a response for good cause shown, provided the written request for 
extension is served before the expiration of the applicable period 
provided in paragraph (c) or (d) of this section.
    (d) The Administrator has sole discretion to permit oral argument on 
the appeal. On the Administrator's own initiative or upon written motion 
by any party, the Administrator may determine that oral argument will 
contribute substantially to the development of the issues on appeal and 
may grant the parties an opportunity for oral argument.
    (e) The Administrator may affirm, reverse, alter, or modify the 
decision of the presiding officer, or may remand the case for further 
proceedings before

[[Page 33]]

the presiding officer. The Administrator shall inform the parties and 
the presiding officer of his or her decision.
    (f) The decision of the Administrator is final, constitutes final 
agency action, and is not subject to further administrative review.



Sec. 209.329  Assessment considerations.

    (a) Proof of a respondent's willful violation of one of the 
requirements of parts 213 through 236 (excluding parts 225, 228, and 
233) of this title establishes a rebuttable presumption that the 
respondent is unfit to perform the safety-sensitive functions described 
in Sec. 209.303. Where such presumption arises, the respondent has the 
burden of establishing that, taking account of the factors in paragraph 
(b) of this section, he or she is fit to perform the foregoing safety-
sensitive functions for the period and under the other conditions, if 
any, proposed in the notice of proposed disqualification.
    (b) In determining respondent's lack of fitness to perform safety-
sensitive functions and the duration and other conditions, if any, of 
appropriate disqualification orders under Secs. 209.309, 209.323, and 
209.327, the factors to be considered, to the extent: Each is pertinent 
to the respondent's case, include but are not limited to the following:
    (1) The nature and circumstances of the violation, including whether 
the violation was intentional, technical, or inadvertent, was committed 
willfully, or was frequently repeated;
    (2) The adverse impact or the potentially adverse impact of the 
violation on the health and safety of persons and the safety of 
property;
    (3) The railroad's operating rules, safety rules, and repair and 
maintenance standards;
    (4) Repair and maintenance standards adopted by the industry;
    (5) The consistency of the conditions of the proposed 
disqualification with disqualification orders issued against other 
employees for the same or similar violations;
    (6) Whether the respondent was on notice of any safety regulations 
that were violated or whether the respondent had been warned about the 
conduct in question;
    (7) The respondent's past record of committing violations of safety 
regulations, including previous FRA warnings issued, disqualifications 
imposed, civil penalties assessed, railroad disciplinary actions, and 
criminal convictions therefor;
    (8) The civil penalty scheduled for the violation of the safety 
regulation in question;
    (9) Mitigating circumstances surrounding the violation, such as the 
existence of an emergency situation endangering persons or property and 
the need for the respondent to take immediate action; and
    (10) Such other factors as may be warranted in the public interest.



Sec. 209.331  Enforcement of disqualification order.

    (a) A railroad that employs or formerly employed an individual 
serving under a disqualification order shall inform prospective or 
actual employers of the terms and conditions of the order upon receiving 
notice that the disqualified employee is being considered for employment 
with or is employed by another railroad to perform any of the safety-
sensitive functions described in Sec. 209.303.
    (b) A railroad that is considering hiring an individual to perform 
the safety-sensitive functions described in Sec. 209.303 shall ascertain 
from the individual's previous employer, if such employer was a 
railroad, whether the individual is subject to a disqualification order.
    (c) An individual subject to a disqualification order shall inform 
his or her employer of the order and provide a copy thereof within 5 
days after receipt of the order. Such an individual shall likewise 
inform any prospective employer who is considering hiring the individual 
to perform any of the safety-sensitive functions described in 
Sec. 209.303 of the order and provide a copy thereof within 5 days after 
receipt of the order or upon application for the position, whichever 
first occurs.



Sec. 209.333  Prohibitions.

    (a) An individual subject to a disqualification order shall not work 
for any railroad in any manner inconsistent with the order.

[[Page 34]]

    (b) A railroad shall not employ any individual subject to a 
disqualification order in any manner inconsistent with the order.



Sec. 209.335  Penalties.

    (a) Any individual who violates Sec. 209.331(c) or Sec. 209.333(a) 
may be permanently disqualified from performing the safety-sensitive 
functions described in Sec. 209.303. Any individual who willfully 
violates Sec. 209.331(c) or Sec. 209.333(a) may also be assessed a civil 
penalty of at least $1,000 and not more than $5,000 per violation.
    (b) Any railroad that violates Sec. 209.331 (a) or (b) or 
Sec. 209.333(b) may be assessed a civil penalty of at least $5,000 and 
not more than $11,000 per violation.
    (c) Each day a violation continues shall constitute a separate 
offense.

[54 FR 42907, Oct. 18, 1989, as amended at 63 FR 11619, Mar. 10, 1998]



Sec. 209.337  Information collection.

    The information collection requirements in Sec. 209.331 of this part 
have been reviewed by the Office of Management and Budget pursuant to 
the Paperwork Reduction Act of 1980, (44 U.S.C. 3501 et seq.) and have 
been assigned OMB control number 2130-0529.


[56 FR 66791, Dec. 26, 1991]



                Subpart E--Reporting of Remedial Actions

    Source: 59 FR 43676, Aug. 24, 1994, unless otherwise noted.



Sec. 209.401  Purpose and scope.

    (a) The purpose of this subpart is to prevent accidents and 
casualties arising from the operation of a railroad that result from a 
railroad's failure to remedy certain violations of the Federal railroad 
safety laws for which assessment of a civil penalty has been 
recommended.
    (b) To achieve this purpose, this subpart requires that if an FRA 
Safety Inspector notifies a railroad both that assessment of a civil 
penalty will be recommended for its failure to comply with a provision 
of the Federal railroad safety laws and that a remedial actions report 
must be submitted, the railroad shall report to the FRA Safety 
Inspector, within 30 days after the end of the calendar month in which 
such notification is received, actions taken to remedy that failure.
    (c) This subpart does not relieve the railroad of the underlying 
responsibility to comply with a provision of the Federal railroad safety 
laws. The 30-day period after the end of the calendar month in which 
notification is received is intended merely to provide the railroad with 
an opportunity to prepare its report to FRA, and does not excuse 
continued noncompliance.
    (d) This subpart requires the submission of remedial actions reports 
for the general categories of physical defects, recordkeeping and 
reporting violations, and filing violations, where the railroad can 
literally and specifically correct a failure to comply with a provision 
of the Federal railroad safety laws, as reasonably determined by the FRA 
Safety Inspector. No railroad is required to submit a report for a 
failure involving either a completed or past transaction or a 
transaction that it can no longer remedy.



Sec. 209.403  Applicability.

    This subpart applies to any railroad that receives written 
notification from an FRA Safety Inspector both (i) that assessment of a 
civil penalty will be recommended for its failure to comply with a 
provision of the Federal railroad safety laws and (ii) that it must 
submit a remedial actions report.



Sec. 209.405  Reporting of remedial actions.

    (a) Except as provided in Sec. 209.407, each railroad that has 
received written notification on Form FRA F 6180.96 from an FRA Safety 
Inspector both that assessment of a civil penalty will be recommended 
for the railroad's failure to comply with a provision of the Federal 
railroad safety laws and that it must submit a remedial actions report, 
shall report on this form all actions that it takes to remedy that 
failure. The railroad shall submit the completed form to the FRA Safety 
Inspector within 30 days after the end of the calendar month in which 
the notification is received.

[[Page 35]]

    (1) Date of receipt of notification. If the FRA Safety Inspector 
provides written notification to the railroad by first class mail, then 
for purposes of determining the calendar month in which notification is 
received, the railroad shall be presumed to have received the 
notification five business days following the date of mailing.
    (2) Completion of Form FRA F 6180.96, including selection of 
railroad remedial action code. Each railroad shall complete the remedial 
actions report in the manner prescribed on the report form. The railroad 
shall select the one remedial action code on the reporting form that 
most accurately reflects the action or actions that it took to remedy 
the failure, such as, repair or replacement of a defective component 
without movement, movement of a locomotive or car for repair (where 
permitted) and its subsequent repair, completion of a required test or 
inspection, removal of a noncomplying item from service but not for 
repair (where permitted), reduction of operating speed (where sufficient 
to achieve compliance), or any combination of actions appropriate to 
remedy the noncompliance cited. Any railroad selecting the remedial 
action code ``other remedial actions'' shall also furnish FRA with a 
brief narrative description of the action or actions taken.
    (3) Submission of Form FRA F 6180.96. The railroad shall return the 
form by first class mail to the FRA Safety Inspector whose name and 
address appear on the form.
    (b) Any railroad concluding that the violation alleged on the 
inspection report may not have occurred may submit the remedial actions 
report with an appropriate written explanation. Failure to raise all 
pertinent defenses does not foreclose the railroad from doing so in 
response to a penalty demand.



Sec. 209.407  Delayed reports.

    (a) If a railroad cannot initiate or complete remedial actions 
within 30 days after the end of the calendar month in which the 
notification is received, it shall--
    (1) Prepare, in writing, an explanation of the reasons for such 
delay and a good faith estimate of the date by which it will complete 
the remedial actions, stating the name and job title of the preparer and 
including either:
    (i) A photocopy of both sides of the Form FRA F 6180.96 on which the 
railroad received notification; or
    (ii) The following information:
    (A) The inspection report number;
    (B) The inspection date; and
    (C) The item number; and
    (2) Sign, date, and submit such written explanation and estimate, by 
first class mail, to the FRA Safety Inspector whose name and address 
appear on the notification, within 30 days after the end of the calendar 
month in which the notification is received.
    (b) Within 30 days after the end of the calendar month in which all 
such remedial actions are completed, the railroad shall report in 
accordance with the remedial action code procedures referenced in 
Sec. 209.405(a). The additional time provided by this section for a 
railroad to submit a delayed report shall not excuse it from liability 
for any continuing violation of a provision of the Federal railroad 
safety laws.



Sec. 209.409  Penalties.

    Any person who violates any requirement of this subpart or causes 
the violation of any such requirement is subject to a civil penalty of 
at least $500 and not more than $11,000 per violation, except that: 
Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. A person may also be subject to the 
criminal penalties provided for in 49 U.S.C. 21311 (formerly codified in 
45 U.S.C. 438(e)) for knowingly and willfully falsifying reports 
required by this subpart.

[59 FR 43676, Aug. 24, 1994, as amended at 63 FR 11619, Mar. 10, 1998]

[[Page 36]]

 Appendix A to Part 209--Interim Statement of Agency Policy Concerning 
             Enforcement of the Federal Railroad Safety Laws

    The Federal Railroad Administration (``fra'') enforces the federal 
railroad safety statutes under delegation from the Secretary of 
Transportation. See 49 CFR 1.49 (c), (d), (f), (g), and (m). Those 
statutes include the Federal Railroad Safety Act of 1970 (``Safety 
Act''), 45 U.S.C. 421 et seq., and a group of statutes enacted prior to 
1970 referred to collectively herein as the ``older safety statutes'': 
The Safety Appliance Acts, 45 U.S.C. 1-16; the Locomotive Inspection 
Act, 45 U.S.C. 22-34; the Accident Reports Act, 45 U.S.C. 38-43; the 
Hours of Service Act, 45 U.S.C. 61-64b; and the Signal Inspection Act, 
49 App. U.S.C. 26. Regulations implementing those statutes are found at 
49 CFR parts 213 through 236. The Rail Safety Improvement Act of 1988 
(Pub. L. No. 100-342, enacted June 22, 1988) (``RSIA'') raised the 
maximum civil penalties available under the railroad safety laws and 
made individuals liable for willful violations of those laws. FRA also 
enforces the Hazardous Materials Transportation Act, 49 App. U.S.C. 1801 
et seq., as it pertains to the shipment or transportation of hazardous 
materials by rail.

                        The Civil Penalty Process

    The front lines in the civil penalty process are the FRA safety 
inspectors: FRA employs over 300 inspectors, and their work is 
supplemented by approximately 100 inspectors from states participating 
in enforcement of the federal rail safety laws. These inspectors 
routinely inspect the equipment, track, and signal systems and observe 
the operations of the nation's railroads. They also investigate hundreds 
of complaints filed annually by those alleging noncompliance with the 
laws. When inspection or complaint investigation reveals noncompliance 
with the laws, each noncomplying condition or action is listed on an 
inspection report. Where the inspector determines that the best method 
of promoting compliance is to assess a civil penalty, he or she prepares 
a violation report, which is essentially a recommendation to the FRA 
Office of Chief Counsel to assess a penalty based on the evidence 
provided in or with the report.
    In determining which instances of noncompliance merit penalty 
recommendations, the inspector considers:
    (1) The inherent seriousness of the condition or action;
    (2) The kind and degree of potential safety hazard the condition or 
action poses in light of the immediate factual situation;
    (3) Any actual harm to persons or property already caused by the 
condition or action;
    (4) The offending person's (i.e., railroad's or individual's) 
general level of current compliance as revealed by the inspection as a 
whole;
    (5) The person's recent history of compliance with the relevant set 
of regulations, especially at the specific location or division of the 
railroad involved;
    (6) Whether a remedy other than a civil penalty (ranging from a 
warning on up to an emergency order) is more appropriate under all of 
the facts; and
    (7) Such other factors as the immediate circumstances make relevant.
    The civil penalty recommendation is reviewed at the regional level 
by a specialist in the subject matter involved, who requires correction 
of any technical flaws and determines whether the recommendation is 
consistent with national enforcement policy in similar circumstances. 
Guidance on that policy in close cases is sometimes sought from Office 
of Safety headquarters. Violation reports that are technically and 
legally sufficient and in accord with FRA policy are sent from the 
regional office to the Office of Chief Counsel.
    The exercise of this discretion at the field and regional levels is 
a vital part of the enforcement process, ensuring that the exacting and 
time-consuming civil penalty process is used to address those situations 
most in need of the deterrent effect of penalties. FRA exercises that 
discretion with regard to individual violators in the same manner it 
does with respect to railroads.
    The Office of Chief Counsel's Safety Division reviews each violation 
report it receives from the regional offices for legal sufficiency and 
assesses penalties based on those allegations that survive that review. 
Historically, the Division has returned to the regional offices less 
than five percent of the reports submitted in a given year, often with a 
request for further work and resubmission.
    Where the violation was committed by a railroad, penalties are 
assessed by issuance of a penalty demand letter that summarizes the 
claims, encloses the violation report with a copy of all evidence on 
which FRA is relying in making its initial charge, and explains that the 
railroad may pay in full or submit, orally or in writing, information 
concerning any defenses or mitigating factors. The railroad safety 
statutes, in conjunction with the Federal Claims Collection Act, 
authorize FRA to adjust or compromise the initial penalty claims based 
on a wide variety of mitigating factors. This system permits the 
efficient collection of civil penalties in amounts that fit the actual 
offense without resort to time-consuming and expensive litigation. Over 
its history, FRA has had to request that the Attorney General bring suit 
to collect a penalty on only a very few occasions.

[[Page 37]]

    Once penalties have been assessed, the railroad is given a 
reasonable amount of time to investigate the charges. Larger railroads 
usually make their case before FRA in an informal conference covering a 
number of case files that have been issued and investigated since the 
previous conference. Thus, in terms of the negotiating time of both 
sides, economies of scale are achieved that would be impossible if each 
case were negotiated separately. The settlement conferences, held either 
in Washington or another mutually agreed on location, include technical 
experts from both FRA and the railroad as well as lawyers for both 
parties. In addition to allowing the two sides to make their cases for 
the relative merits of the various claims, these conferences also 
provide a forum for addressing current compliance problems. Smaller 
railroads usually prefer to handle negotiations through the mail or over 
the telephone, often on a single case at a time. Once the two sides have 
agreed to an amount on each case, that agreement is put in writing and a 
check is submitted to FRA's accounting division covering the full amount 
agreed on.
    Cases brought under the Hazardous Materials Transportation Act, 49 
App. U.S.C. 1801 et seq., are, due to certain statutory requirements, 
handled under more formal administrative procedures. See 49 CFR part 
209, subpart B.

                   Civil Penalties Against Individuals

    The RSIA amended the penalty provisions of the railroad safety 
statutes to make them applicable to any ``person (including a railroad 
and any manager, supervisor, official, or other employee or agent of a 
railroad)'' who fails to comply with the regulations or statutes. E.g., 
section 3 of the RSIA, amending section 209 of the Safety Act. However, 
the RSIA also provided that civil penalties may be assessed against 
individuals ``only for willful violations.''
    Thus, any individual meeting the statutory description of ``person'' 
is liable for a civil penalty for a willful violation of, or for 
willfully causing the violation of, the safety statutes or regulations. 
Of course, as has traditionally been the case with respect to acts of 
noncompliance by railroads, the FRA field inspector exercises discretion 
in deciding which situations call for a civil penalty assessment as the 
best method of ensuring compliance. The inspector has a range of 
options, including an informal warning, a more formal warning letter 
issued by the Safety Division of the Office of Chief Counsel, 
recommendation of a civil penalty assessment, recommendation of 
disqualification or suspension from safety-sensitive service, or, under 
the most extreme circumstances, recommendation of emergency action.
    The threshold question in any alleged violation by an individual 
will be whether that violation was ``willful.'' (Note that section 3(a) 
of the RSIA, which authorizes suspension or disqualification of a person 
whose violation of the safety laws has shown him or her to be unfit for 
safety-sensitive service, does not require a showing of willfulness. 
Regulations implementing that provision are found at 49 CFR part 209, 
subpart D.) FRA proposed this standard of liability when, in 1987, it 
originally proposed a statutory revision authorizing civil penalties 
against individuals. FRA believed then that it would be too harsh a 
system to collect fines from individuals on a strict liability basis, as 
the safety statutes permit FRA to do with respect to railroads. FRA also 
believed that even a reasonable care standard (e.g., the Hazardous 
Materials Transportation Act's standard for civil penalty liability, 49 
U.S.C. 1809(a)) would subject individuals to civil penalties in more 
situations than the record warranted. Instead, FRA wanted the authority 
to penalize those who violate the safety laws through a purposeful act 
of free will.
    Thus, FRA considers a ``willful'' violation to be one that is an 
intentional, voluntary act committed either with knowledge of the 
relevant law or reckless disregard for whether the act violated the 
requirements of the law. Accordingly, neither a showing of evil purpose 
(as is sometimes required in certain criminal cases) nor actual 
knowledge of the law is necessary to prove a willful violation, but a 
level of culpability higher than negligence must be demonstrated. See 
Trans World Airlines, Inc. v. Thurston, 469 U.S. 111 (1985); Brock v. 
Morello Bros. Constr., Inc. 809 F.2d 161 (1st Cir. 1987); and Donovan v. 
Williams Enterprises, Inc., 744 F.2d 170 (D.C. Cir. 1984).
    Reckless disregard for the requirements of the law can be 
demonstrated in many ways. Evidence that a person was trained on or made 
aware of the specific rule involved--or, as is more likely, its 
corresponding industry equivalent--would suffice. Moreover, certain 
requirements are so obviously fundamental to safe railroading (e.g., the 
prohibition against disabling an automatic train control device) that 
any violation of them, regardless of whether the person was actually 
aware of the prohibition, should be seen as reckless disregard of the 
law. See Brock, supra, 809 F.2d 164. Thus, a lack of subjective 
knowledge of the law is no impediment to a finding of willfulness. If it 
were, a mere denial of the content of the particular regulation would 
provide a defense. Having proposed use of the word ``willful,'' FRA 
believes it was not intended to insulate from liability those who simply 
claim--contrary to the established facts of the case--they had no reason 
to believe their conduct was wrongful.

[[Page 38]]

    A willful violation entails knowledge of the facts constituting the 
violation, but actual, subjective knowledge need not be demonstrated. It 
will suffice to show objectively what the alleged violator must have 
known of the facts based on reasonable inferences drawn from the 
circumstances. For example, a person shown to have been responsible for 
performing an initial terminal air brake test that was not in fact 
performed would not be able to defend against a charge of a willful 
violation simply by claiming subjective ignorance of the fact that the 
test was not performed. If the facts, taken as a whole, demonstrated 
that the person was responsible for doing the test and had no reason to 
believe it was performed by others, and if that person was shown to have 
acted with actual knowledge of or reckless disregard for the law 
requiring such a test, he or she would be subject to a civil penalty.
    This definition of ``willful'' fits squarely within the parameters 
for willful acts laid out by Congress in the RSIA and its legislative 
history. Section 3(a) of the RSIA amends the Safety Act to provide:
    For purposes of this section, an individual shall be deemed not to 
have committed a willful violation where such individual has acted 
pursuant to the direct order of a railroad official or supervisor, under 
protest communicated to the supervisor. Such individual shall have the 
right to document such protest.
    As FRA made clear when it recommended legislation granting 
individual penalty authority, a railroad employee should not have to 
choose between liability for a civil penalty or insubordination charges 
by the railroad. Where an employee (or even a supervisor) violates the 
law under a direct order from a supervisor, he or she does not do so of 
his or her free will. Thus, the act is not a voluntary one and, 
therefore, not willful under FRA's definition of the word. Instead, the 
action of the person who has directly ordered the commission of the 
violation is itself a willful violation subjecting that person to a 
civil penalty. As one of the primary sponsors of the RSIA said on the 
Senate floor:
    This amendment also seeks to clarify that the purpose of imposing 
civil penalties against individuals is to deter those who, of their free 
will, decide to violate the safety laws. The purpose is not to penalize 
those who are ordered to commit violations by those above them in the 
railroad chain of command. Rather, in such cases, the railroad official 
or supervisor who orders the others to violate the law would be liable 
for any violations his order caused to occur. One example is the 
movement of railroad cars or locomotives that are actually known to 
contain certain defective conditions. A train crew member who was 
ordered to move such equipment would not be liable for a civil penalty, 
and his participation in such movements could not be used against him in 
any disqualification proceeding brought by FRA.

133 Cong. Rec. S.15899 (daily ed. Nov. 5, 1987) (remarks of Senator 
Exon).

    It should be noted that FRA will apply the same definition of 
``willful'' to corporate acts as is set out here with regard to 
individual violations. Although railroads are strictly liable for 
violations of the railroad safety laws and deemed to have knowledge of 
those laws, FRA's penalty schedules contain, for each regulation, a 
separate amount earmarked as the initial assessment for willful 
violations. Where FRA seeks such an extraordinary penalty from a 
railroad, it will apply the definition of ``willful'' set forth above. 
In such cases--as in all civil penalty cases brought by FRA--the 
aggregate knowledge and actions of the railroad's managers, supervisors, 
employees, and other agents will be imputed to the railroad. Thus, in 
situations that FRA decides warrant a civil penalty based on a willful 
violation, FRA will have the option of citing the railroad and/or one or 
more of the individuals involved. In cases against railroads other than 
those in which FRA alleges willfulness or in which a particular 
regulation imposes a special standard, the principles of strict 
liability and presumed knowledge of the law will continue to apply.
    The RSIA gives individuals the right to protest a direct order to 
violate the law and to document the protest. FRA will consider such 
protests and supporting documentation in deciding whether and against 
whom to cite civil penalties in a particular situation. Where such a 
direct order has been shown to have been given as alleged, and where 
such a protest is shown to have been communicated to the supervisor, the 
person or persons communicating it will have demonstrated their lack of 
willfulness. Any documentation of the protest will be considered along 
with all other evidence in determining whether the alleged order to 
violate was in fact given.
    However, the absence of such a protest will not be viewed as 
warranting a presumption of willfulness on the part of the employee who 
might have communicated it. The statute says that a person who 
communicates such a protest shall be deemed not to have acted willfully; 
it does not say that a person who does not communicate such a protest 
will be deemed to have acted willfully. FRA would have to prove from all 
the pertinent facts that the employee willfully violated the law. 
Moreover, the absence of a protest would not be dispositive with regard 
to the willfulness of a supervisor who issued a direct order to violate 
the law. That is, the supervisor who allegedly issued an order to 
violate will not be able to rely on the employee's failure to protest 
the order as a complete defense. Rather, the issue will be

[[Page 39]]

whether, in view of all pertinent facts, the supervisor intentionally 
and voluntarily ordered the employee to commit an act that the 
supervisor knew would violate the law or acted with reckless disregard 
for whether it violated the law.
    FRA exercises the civil penalty authority over individuals through 
informal procedures very similar to those used with respect to railroad 
violations. However, FRA varies those procedures somewhat to account for 
differences that may exist between the railroad's ability to defend 
itself against a civil penalty charge and an individual's ability to do 
so. First, when the field inspector decides that an individual's actions 
warrant a civil penalty recommendation and drafts a violation report, 
the inspector or the regional director informs the individual in writing 
of his or her intention to seek assessment of a civil penalty and the 
fact that a violation report has been transmitted to the Office of Chief 
Counsel. This ensures that the individual has the opportunity to seek 
counsel, preserve documents, or take any other necessary steps to aid 
his or her defense at the earliest possible time.
    Second, if the Office of Chief Counsel concludes that the case is 
meritorious and issues a penalty demand letter, that letter makes clear 
that FRA encourages discussion, through the mail, over the telephone or 
in person, of any defenses or mitigating factors the individual may wish 
to raise. That letter also advises the individual that he or she may 
wish to obtain representation by an attorney and/or labor 
representative. During the negotiation stage, FRA considers each case 
individually on its merits and gives due weight to whatever information 
the alleged violator provides.
    Finally, in the unlikely event that a settlement cannot be reached, 
FRA sends the individual a letter warning of its intention to request 
that the Attorney General sue for the initially proposed amount and 
giving the person a sufficient interval (e.g., 30 days) to decide if 
that is the only alternative.
    FRA believes that the intent of Congress would be violated if 
individuals who agree to pay a civil penalty or are ordered to do so by 
a court are indemnified for that penalty by the railroad or another 
institution (such as a labor organization). Congress intended that the 
penalties have a deterrent effect on individual behavior that would be 
lessened, if not eliminated, by such indemnification.
    Although informal, face-to-face meetings are encouraged during the 
negotiation of a civil penalty charge, the RSIA does not require that 
FRA give individuals or railroads the opportunity for a formal, trial-
type administrative hearing as part of the civil penalty process. FRA 
does not provide that opportunity because such administrative hearings 
would be likely to add significantly to the costs an individual would 
have to bear in defense of a safety claim (and also to FRA's enforcement 
expenses) without shedding any more light on what resolution of the 
matter is fair than would the informal procedures set forth here. Of 
course, should an individual or railroad decide not to settle, that 
person would be entitled to a trial de novo when FRA, through the 
Attorney General, sued to collect the penalty in the appropriate United 
States district court.

           Penalty Schedules; Assessment of Maximum Penalties

    As recommended by the Department of Transportation in its initial 
proposal for rail safety legislative revisions in 1987, the RSIA raised 
the maximum civil penalties for violations of the safety regulations. 
Under the Hours of Service Act, the penalty was changed from a flat $500 
to a penalty of ``up to $1,000, as the Secretary of Transportation deems 
reasonable.'' Under all the other statutes, the maximum penalty was 
raised from $2,500 to $10,000 per violation, except that ``where a 
grossly negligent violation or pattern of repeated violations has 
created an imminent hazard of death or injury to persons, or has caused 
death or injury,'' a penalty of up to $20,000 per violation may be 
assessed.
    The Rail Safety Enforcement and Review Act of 1992 (RSERA) increased 
the maximum penalty from $1,000 to $10,000 and in some cases, $20,000 
for a violation of the Hours of Service Laws, making these penalty 
amounts uniform with those of FRA's other regulatory provisions. RSERA 
also increased the minimum civil monetary penalty from $250 to $500 for 
all of FRA's regulatory provisions. The Federal Civil Penalties 
Inflation Adjustment Act of 1990, Public Law 101-410, 104 Stat. 890, 
note, as amended by Section 31001(s)(1) of the Debt Collection 
Improvement Act of 1996 Public Law 104-134, 110 Stat. 1321-373, April 
26, 1996 required that agencies adjust by regulation each maximum civil 
monetary penalty within the agency's jurisdiction for inflation and make 
subsequent adjustments once every four years after the initial 
adjustment. Accordingly, FRA's maximum civil monetary penalties have 
been adjusted.
    FRA's traditional practice has been to issue penalty schedules 
assigning to each particular regulation specific dollar amounts for 
initial penalty assessments. The schedule (except where issued after 
notice and an opportunity for comment) constitutes a statement of agency 
policy, and is ordinarily issued as an appendix to the relevant part of 
the Code of Federal Regulations. For each regulation, the schedule shows 
two amounts within the $500 to $11,000 range in separate columns, the 
first for ordinary violations, the second for willful violations 
(whether committed by railroads or individuals). In

[[Page 40]]

one instance--part 231--the schedule refers to sections of the relevant 
FRA defect code rather than to sections of the CFR text. Of course, the 
defect code, which is simply a reorganized version of the CFR text used 
by FRA to facilitate computerization of inspection data, is 
substantively identical to the CFR text.
    The schedule amounts are meant to provide guidance as to FRA's 
policy in predictable situations, not to bind FRA from using the full 
range of penalty authority where extraordinary circumstances warrant. 
The Senate report on the bill that became the RSIA stated:
    It is expected that the Secretary would act expeditiously to set 
penalty levels commensurate with the severity of the violations, with 
imposition of the maximum penalty reserved for violation of any 
regulation where warranted by exceptional circumstances. S. Rep. No. 
100-153, 10th Cong., 2d Sess. 8 (1987).
    Accordingly, under each of the schedules (ordinarily in a footnote), 
and regardless of the fact that a lesser amount might be shown in both 
columns of the schedule, FRA reserves the right to assess the statutory 
maximum penalty of up to $22,000 per violation where a grossly negligent 
violation has created an imminent hazard of death or injury. This 
authority to assess a penalty for a single violation above $11,000 and 
up to $22,000 is used only in very exceptional cases to penalize 
egregious behavior. Where FRA avails itself of this right to use the 
higher penalties in place of the schedule amount it so indicates in its 
penalty demand letter.

          The Extent And Exercise Of FRA's Safety Jurisdiction

    The Safety Act and, as amended by the RSIA, the older safety 
statutes apply to ``railroads.'' Section 202(e) of the Safety Act 
defines railroad as follows:
    The term ``railroad'' as used in this title means all forms of non-
highway ground transportation that run on rails or electromagnetic 
guideways, including (1) commuter or other short-haul rail passenger 
service in a metropolitan or suburban area, as well as any commuter rail 
service which was operated by the Consolidated Rail Corporation as of 
January 1, 1979, and (2) high speed ground transportation systems that 
connect metropolitan areas, without regard to whether they use new 
technologies not associated with traditional railroads. Such term does 
not include rapid transit operations within an urban area that are not 
connected to the general railroad system of transportation.
    Prior to 1988, the older safety statutes had applied only to common 
carriers engaged in interstate or foreign commerce by rail. The Safety 
Act, by contrast, was intended to reach as far as the Commerce Clause of 
the Constitution (i.e., to all railroads that affect interstate 
commerce) rather than be limited to common carriers actually engaged in 
interstate commerce. In reporting out the bill that became the 1970 
Safety Act, the House Committee on Interstate and Foreign Commerce 
stated:
    The Secretary's authority to regulate extends to all areas of 
railroad safety. This legislation is intended to encompass all those 
means of rail transportation as are commonly included within the term. 
Thus, ``railroad'' is not limited to the confines of ``common carrier by 
railroad'' as that language is defined in the Interstate Commerce Act.

H.R. Rep. No. 91-1194, 91st Cong., 2d Sess. at 16 (1970).
    FRA's jurisdiction was bifurcated until, in 1988, the RSIA amended 
the older safety statutes to make them coextensive with the Safety Act 
by making them applicable to railroads and incorporating the Safety 
Act's definition of the term (e.g., 45 U.S.C. 16, as amended). The RSIA 
also made clear that FRA's safety jurisdiction is not confined to 
entities using traditional railroad technology. The new definition of 
``railroad'' emphasized that all non-highway high speed ground 
transportation systems--regardless of technology used--would be 
considered railroads.
    Thus, with the exception of self-contained urban rapid transit 
systems, FRA's statutory jurisdiction extends to all entities that can 
be construed as railroads by virtue of their providing non-highway 
ground transportation over rails or electromagnetic guideways, and will 
extend to future railroads using other technologies not yet in use. For 
policy reasons, however, FRA does not exercise jurisdiction under all of 
its regulations to the full extent permitted by statute. Based on its 
knowledge of where the safety problems were occurring at the time of its 
regulatory action and its assessment of the practical limitations on its 
role, FRA has, in each regulatory context, decided that the best option 
was to regulate something less than the total universe of railroads.
    For example, all of FRA's regulations exclude from their reach 
railroads whose entire operations are confined to an industrial 
installation, i.e., ``plant railroads'' such as those in steel mills 
that do not go beyond the plant's boundaries. E.g., 49 CFR 225.3 
(accident reporting regulations). Other regulations (e.g., 49 CFR 213.3, 
track safety regulations) exclude not only plant railroads but all other 
railroads that are not part of, or operated over, the ``general railroad 
system of transportation,'' i.e., the network of standard gage railroads 
over which the interchange of goods and passengers throughout the nation 
is possible--including even certain railroads not physically connected 
to the continental system, such as a freight railroad in Alaska with 
which other American railroads interchange cars by means of intermediate 
modes of transport. (Note that

[[Page 41]]

FRA proposed the ``general system'' language now found in section 202(e) 
of the Safety Act, and its construction of that language is not bound by 
construction of similar phrases used in other statutes, e.g., 45 U.S.C. 
151 First; those similar phrases are generally part of provisions in 
those laws limiting their reach--unlike that of the amended safety 
laws--to ``common carriers engaged in interstate commerce.'')
    Of course, even where a railroad operates outside the general 
system, other railroads that are definitely part of that system may have 
occasion to enter the first railroad's property (e.g., a major railroad 
goes into a chemical or auto plant to pick up or set out cars). In such 
cases, the railroad that is part of the general system remains part of 
that system while inside the installation; thus, all of its activities 
are covered by FRA's regulations during that period. The plant railroad 
itself, however, does not get swept into the general system by virtue of 
the other railroad's activity, except to the extent it is liable, as the 
track owner, for the condition of its track over which the other 
railroad operates during its incursion into the plant. Of course, in the 
opposite situation, where the plant railroad itself operates beyond the 
plant boundaries on the general system, it becomes a railroad with 
respect to those particular operations, during which its equipment, 
crew, and practices would be subject to FRA's regulations.
    In some cases, the plant railroad leases track immediately adjacent 
to its plant from the general system railroad. Assuming such a lease 
provides for, and actual practice entails, the exclusive use of that 
trackage by the plant railroad and the general system railroad for 
purposes of moving only cars shipped to or from the plant, the lease 
would remove the plant railroad's operations on that trackage from the 
general system for purposes of FRA's regulations, as it would make that 
trackage part and parcel of the industrial installation. (As explained 
above, however, the track itself would have to meet FRA's standards if a 
general system railroad operated over it. See 49 CFR 213.5 for the rules 
on how an owner of track may assign responsibility for it.) A lease or 
practice that permitted other types of movements by general system 
railroads on that trackage would, of course, bring it back into the 
general system, as would operations by the plant railroad indicating it 
was moving cars on such trackage for other than its own purposes (e.g., 
moving cars to neighboring industries for hire).
    It is important to note that FRA's exercise of its regulatory 
authority on a given matter does not preclude it from subsequently 
amending its regulations on that subject to bring in railroads 
originally excluded. More important, the self-imposed restrictions on 
FRA's exercise of regulatory authority in no way constrain its exercise 
of emergency order authority under section 203 of the Safety Act. That 
authority was designed to deal with imminent hazards not dealt with by 
existing regulations and/or so dangerous as to require immediate, ex 
parte action on the government's part. Thus, a railroad excluded from 
the reach of any of FRA's regulations is fully within the reach of FRA's 
emergency order authority, which is coextensive with FRA's statutory 
jurisdiction over all railroads.

                         Extraordinary Remedies

    While civil penalties are the primary enforcement tool under the 
federal railroad safety laws, more extreme measures are available under 
certain circumstances. FRA has authority to issue orders directing 
compliance with the Federal Railroad Safety Act, the Hazardous Materials 
Transportation Act, the older safety statutes, or regulations issued 
under any of those statutes. See 45 U.S.C. 437(a) and (d), and 49 App. 
U.S.C. 1808(a). Such an order may issue only after notice and 
opportunity for a hearing in accordance with the procedures set forth in 
49 CFR part 209, subpart C. FRA inspectors also have the authority to 
issue a special notice requiring repairs where a locomotive or freight 
car is unsafe for further service or where a segment of track does not 
meet the standards for the class at which the track is being operated. 
Such a special notice may be appealed to the regional director and the 
FRA Administrator. See 49 CFR part 216, subpart B.
    FRA may, through the Attorney General, also seek injunctive relief 
in federal district court to restrain violations or enforce rules issued 
under the railroad safety laws. See 45 U.S.C. 439 and 49 App. U.S.C. 
1810.
    FRA also has the authority to issue, after notice and an opportunity 
for a hearing, an order prohibiting an individual from performing 
safety-sensitive functions in the rail industry for a specified period. 
This disqualification authority is exercised under procedures found at 
49 CFR part 209, subpart D.
    Criminal penalties are available for willful violations of the 
Hazardous Materials Transportation Act or its regulations. See 49 App. 
U.S.C. 1809(b), and 49 CFR 209.131, 133. Criminal penalties are also 
available under 45 U.S.C. 438(e) for knowingly and willfully falsifying, 
destroying, or failing to complete records or reports required to be 
kept under the various railroad safety statutes and regulations. The 
Accident Reports Act, 45 U.S.C. 39, also contains criminal penalties.
    Perhaps FRA's most sweeping enforcement tool is its authority to 
issue emergency safety orders ``where an unsafe condition or practice, 
or a combination of unsafe conditions or practices, or both, create an 
emergency situation involving a hazard of death or injury to persons * * 
*'' 45 U.S.C. 432(a).

[[Page 42]]

After its issuance, such an order may be reviewed in a trial-type 
hearing. See 49 CFR 211.47 and 216.21 through 216.27. The emergency 
order authority is unique because it can be used to address unsafe 
conditions and practices whether or not they contravene an existing 
regulatory or statutory requirement. Given its extraordinary nature, FRA 
has used the emergency order authority sparingly.

[53 FR 52920, Dec. 29, 1988, as amended at 63 FR 11619, Mar. 10, 1998]

 Appendix B to Part 209--Federal Railroad Administration Guidelines for 
                 Initial Hazardous Materials Assessments

    These guidelines establish benchmarks to be used in determining 
initial civil penalty assessments for violations of the Hazardous 
Materials Regulations (HMR). The guideline penalty amounts reflect the 
best judgment of the FRA Office of Safety Assurance and Compliance (RRS) 
and of the Safety Law Division of the Office of Chief Counsel (RCC) on 
the relative severity, on a scale of $250 to $25,000, of the various 
violations routinely encountered by FRA inspectors. (49 U.S.C. 5123) 
Unless otherwise specified, the guideline amounts refer to average 
violations, that is, violations involving a hazardous material with a 
medium level of hazard, and a violator with an average compliance 
history. In an ``average violation,'' the respondent has committed the 
acts due to a failure to exercise reasonable care under the 
circumstances (``knowingly''). For some sections, the guidelines contain 
a breakdown according to relative severity of the violation, for 
example, the guidelines for shipping paper violations at 49 CFR 
Secs. 172.200-.203. All penalties in these guidelines are subject to 
change depending upon the circumstances of the particular case. The 
general duty sections, for example Secs. 173.1 and 174.7, are not 
ordinarily cited as separate violations; they are primarily used as 
explanatory citations to demonstrate applicability of a more specific 
section where applicability is otherwise unclear.
    FRA believes that infractions of the regulations that lead to 
personal injury are especially serious; this is directly in line with 
Department of Transportation policy that hazardous materials are only 
safe for transportation when they are securely sealed in a proper 
package. (Some few containers, such as tank cars of carbon dioxide, are 
designed to vent off excess internal pressure. They are exceptions to 
the ``securely sealed'' rule.) ``Personal injury'' has become somewhat 
of a term of art, especially in the fields of occupational safety and of 
accident reporting. To avoid confusion, these penalty guidelines use the 
notion of ``human contact'' to trigger penalty aggravation. In essence, 
any contact by a hazardous material on a person during transportation is 
a per se injury and proof will not be required regarding the extent of 
the physical contact or its consequences. When a violation of the 
Hazardous Materials Regulations causes a death or serious injury, the 
maximum penalty of $25,000 shall always be assessed initially.
    These guidelines are a preliminary assessment tool for FRA's use. 
They create no rights in any party. FRA is free to vary from them when 
it deems appropriate and may amend them from time to time without prior 
notice. Moreover, FRA is not bound by any amount it initially proposes 
should litigation become necessary. In fact, FRA reserves the express 
authority to amend the NOPV to seek a penalty of up to $25,000 for each 
violation at any time prior to issuance of an order.

                      Penalty Assessment Guidelines
------------------------------------------------------------------------
          Emergency orders                                    Guideline
------------------------------------------------------------------------
EO16...............................  Penalties for                 5,000
                                      violations of EO16
                                      vary depending on the
                                      circumstances.
EO17...............................  Penalties for                 (\1\)
                                      violations of EO17
                                      vary depending on the
                                      circumstances.
                                     Failure to file annual        5,000
                                      report.
------------------------------------------------------------------------
\1\ Varies.


                      Penalty Assessment Guidelines
------------------------------------------------------------------------
           49 CFR section                  Description        Guideline
------------------------------------------------------------------------
                                PART 107
------------------------------------------------------------------------
107.608............................  Failure to register or        1,000
                                      to renew
                                      registration. (Note:
                                      registration--or
                                      renewal--is
                                      mitigation.).
------------------------------------------------------------------------
                                PART 171
------------------------------------------------------------------------
171.2(c)...........................  Representing (marking,        8,000
                                      certifying, selling,
                                      or offering) a
                                      packaging as meeting
                                      regulatory
                                      specification when it
                                      does not.

[[Page 43]]

 
171.2(f)(2)........................  Billing, marking, etc.        2,000
                                      for the presence of
                                      HM when no HM is
                                      present. (Mitigation
                                      required for
                                      shipments smaller
                                      than a carload, i.e.,
                                      single drum penalty
                                      is 1,000).
171.12.............................  Import shipments--            4,000
                                      Importer not
                                      providing shipper and
                                      forwarding agent with
                                      US requirements.
                                      Cannot be based on
                                      inference.
                                     Import shipments--            2,000
                                      Failure to certify by
                                      shipper or forwarding
                                      agent.
171.15.............................  Failure to provide            6,000
                                      immediate notice of
                                      certain hazardous
                                      materials incidents.
171.16.............................  Failure to file               4,000
                                      incident report (form
                                      DOT 5800.1). (Note:
                                      Multiple failures
                                      will aggravate the
                                      penalty; see the
                                      expert attorney.).
------------------------------------------------------------------------
                                PART 172
------------------------------------------------------------------------
Shipping Papers:
    172.200--.203..................  Offering hazardous
                                      materials for
                                      transportation when
                                      the material is not
                                      properly described on
                                      the shipping paper as
                                      required by Secs.
                                      172.200--.203. (The
                                      ``shipping paper'' is
                                      the document tendered
                                      by the shipper/
                                      offeror to the
                                      carrier. The original
                                      shipping paper
                                      contains the
                                      shipper's
                                      certification at Sec.
                                       172.204.).
                                     --Information on the         15,000
                                      shipping paper is
                                      wrong to the extent
                                      that it caused or
                                      materially
                                      contributed to a
                                      reaction by emergency
                                      responders that
                                      aggravated the
                                      situation or caused
                                      or materially
                                      contributed to
                                      improper handling by
                                      the carrier that led
                                      to or materially
                                      contributed to a
                                      product release.
                                     --Total lack of               7,500
                                      hazardous materials
                                      information on
                                      shipping paper. (Some
                                      shipping names alone
                                      contain sufficient
                                      information to reduce
                                      the guideline to the
                                      next lower level, but
                                      they may be such
                                      dangerous products
                                      that aggravation
                                      needs to be
                                      considered.).
                                     --Some information is         5,000
                                      present but the
                                      missing or improper
                                      description could
                                      cause mishandling by
                                      the carrier or a
                                      delay or error in
                                      emergency response.
                                     --When the improper           2,000
                                      description is not
                                      likely to cause
                                      serious problem
                                      (technical defect).
                                     --Shipping paper              7,500
                                      includes a hazardous
                                      materials description
                                      and no hazardous
                                      materials are present.
                                     Note: Failure to
                                      include emergency
                                      response information
                                      is covered at Secs.
                                      172.600-604; while
                                      the normal unit of
                                      violation for
                                      shipping papers is
                                      the whole document,
                                      failure to provide
                                      emergency response
                                      information is a
                                      separate violation.
    172.204........................  Shipper's failure to          2,000
                                      certify.
    172.205........................  Hazardous waste               4,000
                                      manifest. (Applies
                                      only to defects in
                                      the Hazardous Waste
                                      Manifest form [EPA
                                      Form 8700-22 and 8700-
                                      22A]; shipping paper
                                      defects are cited and
                                      penalized under Sec.
                                      172.200-.203.).
Marking............................  The guidelines for
                                      ``marking''
                                      violations
                                      contemplate a total
                                      lack of the
                                      prescribed mark.
                                      Obviously, where the
                                      package (including a
                                      whole car) is
                                      partially marked,
                                      mitigation should be
                                      applied.
    172.301........................  Failure to mark a non-        1,000
                                      bulk package as
                                      required (e.g., no
                                      commodity name on a
                                      55-gallon drum).
                                      (Shipment is the unit
                                      of violation.).
    172.302........................  Failure to follow             2,000
                                      standards for marking
                                      bulk packaging.
                                      (Note: If a more
                                      specific section
                                      applies, cite it and
                                      its penalty
                                      guideline.).
    172.302(a).....................  ID number missing or          2,500
                                      in improper location.
                                      (The guideline is for
                                      a portable tank; for
                                      smaller bulk
                                      packages, the
                                      guideline should be
                                      mitigated downward.).
    172.302(b).....................  Failure to use the            2,000
                                      correct size of
                                      markings. (Note: If
                                      Sec.  172.326(a) is
                                      also cited, it takes
                                      precedence and
                                      .302(b) is not cited.
                                      Note also: the
                                      guideline is for a
                                      gross violation of
                                      marking size--\1/2\''
                                      where 2'' is
                                      required--and
                                      mitigation should be
                                      considered for
                                      markings approaching
                                      the required size.).
    172.302(c).....................  Failure to place              2,000
                                      exemption number
                                      markings on bulk
                                      package.
    172.303........................  Prohibited marking.
                                      (Package is marked
                                      for a hazardous
                                      material and contains
                                      either another
                                      hazardous material or
                                      no hazardous
                                      material.)
                                     --The marking is wrong       10,000
                                      and caused or
                                      contributed to a
                                      wrong emergency
                                      response.
                                     --Inconsistent                5,000
                                      marking; e.g.,
                                      Shipping name and ID
                                      number do not agree.
                                     --Marked as a                 2,000
                                      hazardous material
                                      when package does not
                                      contain a hazardous
                                      material.
    172.313........................  ''Inhalation Hazard''         2,500
                                      not marked.
    172.322........................  Failure to mark for           1,500
                                      MARINE POLLUTANT
                                      where required.
    172.325(a).....................  Improper, or missing,         1,500
                                      HOT mark for elevated
                                      temperature material.
    172.326(a).....................  Failure to mark a             2,500
                                      portable tank with
                                      the commodity name.
    172.326(b).....................  Owner's/lessee's name           500
                                      not displayed.
    172.326(c).....................  Failure to mark               2,500
                                      portable tank with ID
                                      number.

[[Page 44]]

 
    172.330(a)(1)(i)...............  Offering/transporting         2,500
                                      hazardous materials
                                      in a tank car that
                                      does not have the
                                      required shipping
                                      name or common name
                                      stenciled on the car;
                                      include reference to
                                      section requiring
                                      stenciling, such as
                                      Sec.  173.314(b) (5)
                                      or (6).
    172.330(a)(1)(ii)..............  Offering/transporting         2,500
                                      hazardous materials
                                      in a tank car that
                                      does not have the
                                      required ID number
                                      displayed on the car.
    172.331(b).....................  Offering bulk                 2,500
                                      packaging other than
                                      a portable tank,
                                      cargo tank, or tank
                                      car (e.g., a hopper
                                      car) not marked with
                                      UN/NA number. (I.e.,
                                      a hopper car carrying
                                      a hazardous
                                      substance, where a
                                      placard is not
                                      required).
    172.332........................  Improper display of           2,000
                                      identification number
                                      markings. Note:
                                      Citation of this
                                      section and Secs.
                                      172.326 (portable
                                      tanks), 172.328
                                      (cargo tanks), or
                                      172.330 (tank cars)
                                      does not create two
                                      separate violations.
    172.334(a).....................  Displaying ID numbers         4,000
                                      on a RADIOACTIVE,
                                      EXPLOSIVES
                                      1.1,1.2,1.3,1.4,1.5,
                                      or 1.6, or DANGEROUS,
                                      or subsidiary hazard
                                      placard.
    172.334(b).....................  --Improper display of        15,000
                                      ID number that caused
                                      or contributed to a
                                      wrong emergency
                                      response.
                                     --Improper display of         5,000
                                      ID number that could
                                      cause carrier
                                      mishandling or minor
                                      error in emergency
                                      response.
                                     --Technical error.....        2,000
    172.334(f).....................  Displaying ID number          1,500
                                      on orange panel not
                                      in proximity to the
                                      placard.
Labeling:
    172.400-.450...................  Failure to label              2,500
                                      properly. (See also
                                      Sec.  172.301
                                      regarding the marking
                                      of packages.).
Placarding.........................  The guidelines for
                                      ``placarding''
                                      violations
                                      contemplate a total
                                      lack of the
                                      prescribed placard.
                                      Obviously, where the
                                      package (including a
                                      whole car) is
                                      partially placarded,
                                      mitigation should be
                                      applied.
    172.502........................  --Placarded as                2,000
                                      hazardous material
                                      when car does not
                                      contain a hazardous
                                      material.
                                     --Placard does not            2,000
                                      represent hazard of
                                      the contents.
                                     --Display of sign or          2,000
                                      device that could be
                                      confused with
                                      regulatory placard.
                                      Photograph or good,
                                      clear description
                                      necessary.
    172.503........................  Improper display of ID        (\1\)
                                      number on placards.
                                      (Note: Do not cite
                                      this section; cite
                                      Sec.  172.334.).
    172.504(a).....................  Failure to placard;
                                      affixing or
                                      displaying wrong
                                      placard. (See also
                                      Secs.  172.502(a),
                                      172.504(a), 172.505,
                                      172.510(c), 172.516,
                                      174.33, 174.59,
                                      174.69; all
                                      applicable sections
                                      should be cited, but
                                      the penalty should be
                                      set at the amount for
                                      the violation most
                                      directly in point.)
                                      (Generally, the car
                                      is the unit of
                                      violation, and
                                      penalties vary with
                                      the number of errors,
                                      typically at the rate
                                      of $1,000 per
                                      placard.)
                                     --Complete failure to         7,500
                                      placard.
                                     --One placard missing         1,000
                                      (add $1,000 per
                                      missing placard up to
                                      a total of three;
                                      then use the
                                      guideline above).
                                     -- Complete failure to        2,500
                                      placard, but only 2
                                      placards are required
                                      (e.g., intermediate
                                      bulk containers
                                      [IBCs]).
    172.504(b).....................  Improper use of               5,000
                                      DANGEROUS placard for
                                      mixed loads.
    172.504(c).....................  Placarded for wrong           2,000
                                      hazard class when no
                                      placard was required
                                      due to 1,001 pound
                                      exemption.
    172.504(e).....................  Use of placard other
                                      than as specified in
                                      the table:
                                     --Improper placard           15,000
                                      caused or contributed
                                      to improper reaction
                                      by emergency response
                                      forces or caused or
                                      contributed to
                                      improper handling by
                                      carrier that led to a
                                      product release.
                                     --Improper placard            5,000
                                      that could cause
                                      improper emergency
                                      response or handling
                                      by carrier.
                                     --Technical violation.        2,500
    172.505........................  Improper application          5,000
                                      of placards for
                                      subsidiary hazards.
                                      (Note: This is in
                                      addition to any
                                      violation on the
                                      primary hazard
                                      placards.).
    172.508(a).....................  Offering hazardous            7,500
                                      material for rail
                                      transportation
                                      without affixing
                                      placards. (Note: The
                                      preferred section for
                                      a total failure to
                                      placard is
                                      172.504(a); only one
                                      section should be
                                      cited to avoid a dual
                                      penalty.) (Note also:
                                      Persons offering
                                      hazardous materials
                                      for rail movement
                                      must affix placards;
                                      if offering for
                                      highway movement, the
                                      placards must be
                                      tendered to the
                                      carrier. Sec.
                                      172.506.).
                                     Placards OK, except             500
                                      they were IMDG labels
                                      instead of 10''
                                      placards. (Unit of
                                      violation is the
                                      packaging, usually a
                                      portable tank.).
                                     Placards on TOFC/COFC         (\2\)
                                      units not readily
                                      visible. (Note: Do
                                      not cite this
                                      section, cite Sec.
                                      172.516 instead.).
    172.508(b).....................  Accepting hazardous           5,000
                                      material for rail
                                      transportation
                                      without placards
                                      affixed.

[[Page 45]]

 
    172.510(a).....................  EXPLOSIVES 1.1,               5,000
                                      EXPLOSIVES 1.2,
                                      POISON GAS, POISON
                                      GAS-RESIDUE,
                                      (Division 2.3, Hazard
                                      Zone A), POISON, or
                                      POISON-RESIDUE
                                      (Division 6.1,
                                      Packing Group I,
                                      Hazard Zone A)
                                      placards displayed
                                      without square
                                      background.
    172.510(c).....................  Improper use of
                                      RESIDUE placard.
                                     --Placarded RESIDUE           4,000
                                      when loaded.
                                     --Placarded loaded            1,000
                                      when car contains
                                      only a residue.
                                     --Placarded EMPTY when          500
                                      RESIDUE is required.
    172.514........................  Improper placarding of        2,000
                                      bulk packaging other
                                      than a tank car: For
                                      the ``exception''
                                      packages in
                                      174.514(c). Note: Use
                                      the regular
                                      placarding sections
                                      for the guideline
                                      amounts for larger
                                      bulk packages.
    172.516........................  Placard not readily           1,000
                                      visible, improperly
                                      located or displayed,
                                      or deteriorated. Good
                                      color photos
                                      ``essential'' to
                                      prove deterioration,
                                      and considerable
                                      weathering is
                                      permissible. Placard
                                      is the unit of
                                      violation.
                                     --When placards on an         2,000
                                      intermodal container
                                      are not visible, for
                                      instance, because the
                                      container is in a
                                      well car. Container
                                      is the unit of
                                      violation, and, as a
                                      matter of enforcement
                                      policy, FRA accepts
                                      the lack of
                                      visibility of the end
                                      placards.
Emergency Response Information.....  Violations of Secs.
                                      172.600-.604 are in
                                      addition to shipping
                                      paper violations. In
                                      citing a carrier, if
                                      the railroad's
                                      practice is to carry
                                      an emergency response
                                      book or to put the E/
                                      R information as an
                                      attachment to the
                                      consist, the unit of
                                      violation is
                                      generally the train
                                      (or the consist).
                                      ``Telephone number''
                                      violations are
                                      generally best cited
                                      against the shipper;
                                      if against a
                                      railroad, there
                                      should be proof that
                                      the number was given
                                      to the railroad, that
                                      is, it was on the
                                      original shipping
                                      document.
    172.600-.602...................  Where improper               15,000
                                      emergency response
                                      information has
                                      caused an improper
                                      reaction from
                                      emergency forces and
                                      the improper response
                                      has aggravated the
                                      situation. Note:
                                      Proof of this will be
                                      rigorous. For
                                      instance, if the
                                      emergency response
                                      forces had chemical
                                      information with the
                                      correct response and
                                      they relied, instead,
                                      on shipper/carrier
                                      information to their
                                      detriment; the
                                      $15,000 penalty
                                      guideline applies.
                                     Bad, missing, or              4,000
                                      improper emergency
                                      response information.
                                      (Be careful in
                                      transmitting
                                      violations of this
                                      section against a
                                      railroad; there are
                                      many sources of E/R
                                      information and it
                                      does not necessarily
                                      ``travel'' with the
                                      shipping documents.).
    172.602(c).....................  Failure to have              15,000
                                      emergency response
                                      information
                                      ``immediately
                                      accessible''.
    172.604........................  Improper or missing           2,500
                                      emergency response
                                      telephone number.
Training:
    172.702(a).....................  General failure to            5,000
                                      train hazmat
                                      employees.
    172.702(b).....................  Hazmat employee               1,000
                                      performing covered
                                      function without
                                      training. (Unit of
                                      violation is the
                                      employee; see the
                                      expert attorney if
                                      more than 10
                                      employees are
                                      involved.).
    172.704(a).....................  Failure to train in           2,500
                                      the required areas:
                                     --General awareness/
                                      familiarization
                                     --Function-specific
                                     --Safety
                                     (Unit of violation is
                                      the ``area,'' and,
                                      for a total failure
                                      to train, cite
                                      172.702(a) and use
                                      that penalty instead
                                      of 172.704.)
    172.704(c).....................  Initial and recurrent         (\3\)
                                      training. (Note: Cite
                                      this and the relevant
                                      substantive section,
                                      e.g., 172.702(a), and
                                      use penalty provided
                                      there.).
    172.704(d).....................  Failure to maintain           2,500
                                      record of training.
                                      (Unit of violation is
                                      the record.).
------------------------------------------------------------------------
                                PART 173
------------------------------------------------------------------------
173.1..............................  General duty section          2,000
                                      applicable to
                                      shippers; also
                                      includes subparagraph
                                      (b), the requirement
                                      to train employees
                                      about applicable
                                      regulations. (Cite
                                      the appropriate
                                      section in the
                                      172.700-.704 series
                                      for training
                                      violations.).
173.9(a)...........................  Early delivery of             5,000
                                      transport vehicle
                                      that has been
                                      fumigated. (48 hours
                                      must have elapsed
                                      since fumigation.).
173.9(b)...........................  Failure to display            1,000
                                      fumigation placard.
                                      (Ordinarily cited
                                      against shipper only,
                                      not against
                                      railroad.).
173.10.............................  Delivery requirements         3,000
                                      for gases and for
                                      flammable liquids.
                                      See also 174.204 and
                                      174.304.
173.22.............................  Shipper                       (\4\)
                                      responsibility: This
                                      general duty section
                                      should ordinarily be
                                      cited only to support
                                      a more specific
                                      charge.
173.22a............................  Improper use of               2,500
                                      packagings authorized
                                      under exemption.
                                     Failure to maintain           1,000
                                      copy of exemption as
                                      required..

[[Page 46]]

 
173.24(b)(1) & 173.24(b)(2) and      Securing closures:
 173.24(f)(1) & 173.24(f)(1)(ii).     These subsections are
                                      the general ``no
                                      leak'' standard for
                                      all packagings. Sec.
                                      173.24(b) deals
                                      primarily with
                                      packaging as a whole,
                                      while Sec.  173.24(f)
                                      focuses on closures.
                                      Cite the sections
                                      accordingly, using
                                      both the leak/non-
                                      leak criteria and the
                                      package size
                                      considerations to
                                      reach the appropriate
                                      penalty. Any actual
                                      leak will aggravate
                                      the guideline by,
                                      typically, 50%; a
                                      leak with contact
                                      with a human being
                                      will aggravate by at
                                      least 100%, up to the
                                      maximum of $25,000 if
                                      the HMR violation
                                      causes the injury.
                                      With tank cars, Sec.
                                      173.31(b) applies,
                                      and IM portable tanks
                                      [Sec.  173.32c], and
                                      other tanks of that
                                      size range, should
                                      use the tank car
                                      penalty amounts,
                                      stated in reference
                                      to that section.
                                     --Small bottle or box.        1,000
                                     --55-gallon drum......        2,500
                                     --Larger container,           5,000
                                      e.g., IBC; not
                                      portable tank or tank
                                      car.
173.24(c)..........................  Use of package not
                                      meeting
                                      specifications,
                                      including required
                                      stencils and
                                      markings. The most
                                      specific section for
                                      the package involved
                                      should be cited (see
                                      below). The penalty
                                      guideline should be
                                      adjusted for the size
                                      of the container. Any
                                      actual leak will
                                      aggravate the
                                      guideline by,
                                      typically, 50%; a
                                      leak with contact
                                      with a human being
                                      will aggravate by at
                                      least 100%, up to the
                                      maximum of $25,000 if
                                      the HMR violation
                                      causes the injury.
                                     --Small bottle or box.        1,000
                                     --55-gallon drum......        2,500
                                     --Larger container,           5,000
                                      e.g., IBC; not
                                      portable tank or tank
                                      car.
                                     For more specific
                                      sections: Tank cars--
                                      Sec.  173.31(a),
                                      portable tanks--Sec.
                                      173.32, and IM
                                      portable tanks--Secs.
                                      173.32a, .32b, and
                                      .32c, q.v
173.24a(a)(3)......................  Non-bulk packagings:          1,000
                                      Failure to secure and
                                      cushion inner
                                      packagings.
                                     --Causes leak.........        3,000
                                     --Leak with any              10,000
                                      contact between
                                      product and any human
                                      being.
173.24a(b)&(d).....................  Non-bulk packagings:          1,000
                                      Exceeding filling
                                      limits.
                                     --Causes leak.........        3,000
                                     --Leak with any              10,000
                                      contact between
                                      product and any human
                                      being.
173.24b(a).........................  Insufficient outage:          3,000
                                     --1%
                                     --Causes leak.........        5,000
                                     --Leak with any              10,000
                                      contact between
                                      product and any human
                                      being.
173.24b(a)(3)......................  Outage 5% on PIH              5,000
                                      material.
                                     --Causes leak.........        7,500
                                     --Leak with any              10,000
                                      contact between
                                      product and any human
                                      being.
173.26.............................  Loaded beyond gross           5,000
                                      weight or capacity as
                                      stated in
                                      specification.
                                      (Applies only if
                                      quantity limitations
                                      do not appear in
                                      packaging
                                      requirements of Part
                                      173.).
173.28.............................  Improper reuse,               1,000
                                      reconditioning, or
                                      remanufacture of
                                      packagings..
173.29(a)..........................  Offering residue tank
                                      car for
                                      transportation when
                                      openings are not
                                      tightly closed (Sec.
                                      174.67(k) is also
                                      usually applicable).
                                      The regulation
                                      requires offering
                                      ``in the same manner
                                      as when'' loaded and
                                      may be cited when a
                                      car not meeting
                                      specifications (see
                                      Sec.  173.31(a)(1))
                                      is released back into
                                      transportation after
                                      unloading; same
                                      guideline amount.
                                      Guidelines vary with
                                      the type of commodity
                                      involved:
                                     --Hazardous material          2,000
                                      with insignificant
                                      vapor pressure and
                                      without
                                      classification as
                                      ``poison'' or
                                      ``inhalation hazard''.
                                     --With actual leak....        5,000
                                     --With leak allowing         15,000
                                      the product to
                                      contact any human
                                      being.
                                     --Hazardous material          5,000
                                      with vapor pressure
                                      (essentially any gas
                                      or compressed gas)
                                      and/or with
                                      classification as
                                      ``poison'' or
                                      ``inhalation
                                      hazard.''.
                                     --With actual leak....        7,500
                                     --With leak allowing         15,000
                                      the product (or fumes
                                      or vapors) to contact
                                      any human being. (In
                                      the case of fumes,
                                      the ``contact'' must
                                      be substantial.).
                                     --Where only violation        1,000
                                      is failure to secure
                                      a protective housing,
                                      e.g., the covering
                                      for the gaging device.
173.30.............................  A general duty section
                                      that should be cited
                                      with the explicit
                                      statement of the
                                      duty.
173.31(a)(1).......................  Use of a tank car not
                                      meeting
                                      specifications and
                                      the ``Bulk
                                      packaging''
                                      authorization in
                                      Column 8 of the Sec.
                                      172.101 Hazardous
                                      Materials Table
                                      reference is:
                                     Sec.  173.240.........        1,000
                                     Sec.  173.241.........        2,500
                                     Sec.  173.242.........        5,000
                                     Sec.  173.243.........        5,000
                                     Sec.  173.244.........        7,500
                                     Sec.  173.245.........        7,500

[[Page 47]]

 
                                     Sec.  173.247.........        1,000
                                     Sec.  173.314, .315...        5,000
                                     --Minor defect not              500
                                      affecting the ability
                                      of the package to
                                      contain a hazardous
                                      material, e.g., no
                                      chain on a bottom
                                      outlet closure plug.
                                     Tank meets                    1,000
                                      specification, but
                                      specification is not
                                      stenciled on car.
                                      Note: Sec.  179.1(e)
                                      implies that only the
                                      builder has the duty
                                      here, but it is the
                                      presence of the
                                      stencil that gives
                                      the shipper the right
                                      to rely on the
                                      builder. (See Sec.
                                      173.22(a)(3).).
                                     Tank car not stenciled
                                      ``Not for flammable
                                      liquids,'' and it
                                      should be. (AAR Tank
                                      Car Manual, Appendix
                                      C, C3.03(a)5.)
                                     --Most cars...........        2,500
                                     --Molten sulfur car...          500
                                     --If flammable liquid         5,000
                                      is actually in the
                                      car.
173.31(a)(4).......................  Use of a tank car             5,000
                                      stenciled for one
                                      commodity to
                                      transport another.
173.31(a)(5).......................  Use of DOT-                  10,000
                                      specification tank
                                      car without shelf
                                      couplers. (Note:
                                      prior to November 15,
                                      1992, this did not
                                      apply to a car not
                                      carrying hazardous
                                      materials.).
                                     --Against a carrier,          6,000
                                      cite Sec.  174.3 and
                                      this section.
173.31(a)(6).......................  Use of non-DOT               10,000
                                      specification car
                                      without shelf
                                      couplers to carry
                                      hazardous materials.
                                      (Applies only since
                                      November 15, 1990.).
                                     --Against a carrier,          6,000
                                      cite Sec.  174.3 and
                                      this section.
173.31(a)(7).......................  Use of tank car               5,000
                                      without air brake
                                      support attachments
                                      welded to pads.
                                      (Effective July 1,
                                      1991).
173.31(a)(15)......................  Tank car with                 7,500
                                      nonreclosing pressure
                                      relief device used to
                                      transport Class 2
                                      gases, Class 3 or 4
                                      liquids, or Division
                                      6.1 liquids, PG I or
                                      II.
173.31(a)(17)......................  Tank car with interior        7,500
                                      heating coils used to
                                      transport Division
                                      2.3 or Division 6.1,
                                      PG I, based on
                                      inhalation toxicity.
173.31(b)(1), 173.31(b)(3).........  Shipper failure to            5,000
                                      determine (to the
                                      extent practicable)
                                      that tank, safety
                                      appurtenances, and
                                      fittings are in
                                      proper condition for
                                      transportation;
                                      failure to properly
                                      secure closures.
                                      (Sections
                                      173.31(b)(1) &
                                      .31(b)(3), often
                                      cited as together for
                                      loose closure
                                      violations, are taken
                                      as one violation.)
                                      The unit of violation
                                      is the car,
                                      aggravated if
                                      necessary for truly
                                      egregious condition.
                                      Sections 173.24(b) &
                                      (f) establish a ``no-
                                      leak'' design
                                      standard, and 173.31
                                      imposes that standard
                                      on operations.
                                     --With actual leak of        10,000
                                      product.
                                     --With actual leak           15,000
                                      allowing the product
                                      (or fumes or vapors)
                                      to contact any human
                                      being. (With safety
                                      vent, be careful
                                      because carrier might
                                      be at fault.).
                                     --Minor violation,            1,000
                                      e.g., bottom outlet
                                      cap loose on tank car
                                      of molten sulfur
                                      (because product is a
                                      solid when shipped).
                                     --Failure (.31(b)(1))         1,000
                                      to have bottom outlet
                                      cap off during
                                      loading.
173.31(b)(4).......................  Filling and offering          6,000
                                      for transportation a
                                      tank car overdue for
                                      retest of tank,
                                      interior heater
                                      system, and/or safety
                                      relief valve. Note
                                      that the car may be
                                      filled while in-date,
                                      held, and then
                                      shipped out-of-date.
                                      (Adjust penalty if
                                      less than one month
                                      or more than one year
                                      overdue.).
173.31(c)(1).......................  Tank, interior heater
                                      system, and/or safety
                                      valve overdue for
                                      retest. If these
                                      conditions exist, the
                                      violation is of Sec.
                                      173.31(b)(4). If the
                                      violation is for
                                      improperly conducting
                                      the test(s), see the
                                      expert attorney.
173.31(c)(10)......................  Failure to properly           1,000
                                      stencil a retest that
                                      was performed.
173.32c............................  Loose closures on an          5,000
                                      IM portable tank
                                      (Sec.  173.24
                                      establishes the
                                      ``tight closure''
                                      standard; Sec.
                                      172.32c applies it to
                                      IM portable tanks.)
                                      (The scale of
                                      penalties is the same
                                      as for tank cars.).
                                     --With actual leak of        10,000
                                      product.
                                     --With actual leak and       15,000
                                      human being contact.
                                     --Minor violation.....        1,000
173.314(b)(5)......................  No commodity stencil,         2,500
                                      compressed gas tank
                                      car. (See also Sec.
                                      172.330).
173.314(c).........................  Compressed gas loaded         6,000
                                      in excess of filling
                                      density (same basic
                                      concept as
                                      insufficient outage).
                                     --``T'' car with              5,000
                                      excessive voids in
                                      the thermal coating,
                                      such that the car no
                                      longer complies with
                                      the DOT
                                      specification.
                                      Section 173.31(a)(1)
                                      requires tank cars
                                      used to transport
                                      hazardous materials
                                      to meet the
                                      requirements of the
                                      applicable
                                      specification and
                                      this section (Sec.
                                      173..314(c)) lists
                                      112T/114T cars as
                                      allowed for
                                      compressed gases.
------------------------------------------------------------------------
                                PART 174
------------------------------------------------------------------------
General Requirements:
    174.3..........................  Acceptance of
                                      improperly prepared
                                      shipment. This
                                      general duty section
                                      must be accompanied
                                      by a citation to the
                                      specific section
                                      violated.
    174.7..........................  Carrier's failure to          (\5\)
                                      instruct employees;
                                      cannot be based on
                                      inference; Secs.
                                      172.700-.704 are
                                      preferred citations.

[[Page 48]]

 
    174.8(b).......................  --Failure to inspect          4,000
                                      hazardous materials
                                      (and adjacent) cars
                                      at point where train
                                      is required to be
                                      inspected. (Unit of
                                      violation is the
                                      train.) (Note: For
                                      all ``failure to
                                      inspect'' citations,
                                      the mere presence of
                                      a nonconforming
                                      condition does not
                                      prove a failure to
                                      inspect.).
                                     --Allowing unsafe             8,000
                                      loaded placarded car
                                      to continue in
                                      transportation beyond
                                      point where
                                      inspection was
                                      required). (Unit of
                                      violation is the
                                      car.).
                                     --Failure to determine        5,000
                                      whether placards are
                                      in place and conform
                                      to shipping papers
                                      (at a required
                                      inspection point).
                                      (Unit of violation is
                                      the car.).
    174.9(a).......................  Failure to properly           4,000
                                      inspect loaded,
                                      placarded tank car at
                                      origin or interchange.
    174.9(b).......................  Loose or insecure             1,000
                                      closures on tank car
                                      containing a residue
                                      of a hazardous
                                      material. (FRA policy
                                      is that, against a
                                      railroad, this
                                      violation must be
                                      observable from the
                                      ground because, for
                                      reasons of safety,
                                      railroad inspectors
                                      do not climb on cars
                                      absent an indication
                                      of a leak.).
    174.9(c).......................  Failure to ``card'' a         3,000
                                      tank car overdue for
                                      tank retest.
    174.10(c)......................  Offering a                    3,000
                                      noncomplying shipment
                                      in interchange.
    174.10(d)......................  Offering leaking car         10,000
                                      of hazardous
                                      materials in
                                      interchange.
    174.12.........................  Improper performance          3,000
                                      of intermediate
                                      shipper/carrier
                                      duties; applies to
                                      forwarders and
                                      highway carriers
                                      delivering TOFC/COFC
                                      shipments to
                                      railroads.
    174.14.........................  Failure to expedite:          1,000
                                      violation of ``48-
                                      hour rule.'' Note:
                                      does not apply to
                                      cars ``held short''
                                      of destination or
                                      constructively placed.
General Operating Requirements.....  Note: This subpart
                                      (Subpart B) of Part
                                      174 has three
                                      sections referring to
                                      shipment
                                      documentation: Sec.
                                      174.24 relating to
                                      accepting documents,
                                      Sec.  174.25 relating
                                      to the preparation of
                                      movement documents,
                                      and Sec.  174.26
                                      relating to movement
                                      documents in the
                                      possession of the
                                      train crew. Only the
                                      most relevant section
                                      should be cited. In
                                      most cases, the unit
                                      of violation is the
                                      shipment, although
                                      where a unified
                                      consist is used to
                                      give notice to the
                                      crew, there is some
                                      justification for
                                      making it the train,
                                      especially where the
                                      discrepancy was
                                      generated using
                                      automated data
                                      processing and the
                                      error is repetitious.
    174.24.........................  Accepting hazardous
                                      materials shipment
                                      without properly
                                      prepared shipping
                                      paper. (Note: The
                                      carrier's duty
                                      extends only to the
                                      document received,
                                      that is, a shipment
                                      of hazardous
                                      materials in an
                                      unplacarded transport
                                      vehicle with a
                                      shipping paper
                                      showing other than a
                                      hazardous material is
                                      not a violation
                                      against the carrier
                                      unless knowledge of
                                      the contents of the
                                      vehicle is proved.
                                      Likewise, receipt of
                                      a tank car placarded
                                      for Class 3 with a
                                      shipping paper
                                      indicating a
                                      flammable liquid does
                                      not create a carrier
                                      violation if the car,
                                      in fact, contains a
                                      corrosive. On the
                                      other hand, receipt
                                      of a placarded
                                      trailer with a
                                      shipping paper
                                      listing only FAK
                                      (``freight-all-
                                      kinds''), imposes a
                                      duty on the carrier
                                      to inquire further
                                      and to reject the
                                      shipment if it is
                                      improperly billed.)
                                     --Improper hazardous          7,500
                                      materials information
                                      that could cause
                                      delay or error in
                                      emergency response.
                                     --Total absence of            5,000
                                      hazardous materials
                                      information.
                                     --Technical errors,           1,000
                                      not likely to cause
                                      problems, especially
                                      with emergency
                                      response.
                                     --Minor errors not              500
                                      relating to hazardous
                                      materials emergency
                                      response, e.g., not
                                      listing an exemption
                                      number and the
                                      exemption is not one
                                      affecting emergency
                                      response.
    174.25.........................  Preparing improper
                                      movement documents.
                                      (Similar to the
                                      requirements in Sec.
                                      174.24, here the
                                      carrier is held
                                      responsible for
                                      preparing a movement
                                      document that
                                      accurately reflects
                                      the shipping paper
                                      tendered to it. With
                                      no hazardous
                                      materials information
                                      on the shipper's bill
                                      of lading, the
                                      carrier is not in
                                      violation--absent
                                      knowledge of
                                      hazardous contents--
                                      for preparing a
                                      nonhazardous movement
                                      document. While
                                      ``movement
                                      documents'' in the
                                      rail industry used to
                                      be waybills or switch
                                      tickets (almost
                                      exclusively),
                                      carriers are now
                                      incorporating the
                                      essential information
                                      into a consist,
                                      expanded from its
                                      former role as merely
                                      a listing of the cars
                                      in the train.)
                                     --Information on the         15,000
                                      movement document is
                                      wrong to the extent
                                      that it actually
                                      caused or materially
                                      contributed to a
                                      reaction by emergency
                                      responders that
                                      aggravated the
                                      situation or caused
                                      or materially
                                      contributed to
                                      improper handling by
                                      the carrier that led
                                      to or materially
                                      contributed to a
                                      product release.
                                     --Total lack of               7,500
                                      hazardous materials
                                      information on
                                      movement document.
                                      (Some shipping names
                                      alone contain
                                      sufficient
                                      information to reduce
                                      the guideline to the
                                      next lower level, but
                                      they may be such
                                      dangerous products
                                      that aggravation
                                      needs to be
                                      considered.).

[[Page 49]]

 
                                     --Some information is         5,000
                                      present, but the
                                      missing or improper
                                      description could
                                      cause mishandling by
                                      the carrier or a
                                      delay or error in
                                      emergency response,
                                      including missing
                                      RESIDUE description
                                      required by Sec.
                                      174.25(c).
                                     --Missing/improper            3,500
                                      endorsement, unless
                                      on a switch ticket as
                                      allowed under Sec.
                                      174.25(b).
                                     --Movement document           2,500
                                      does not indicate,
                                      for a flatcar
                                      carrying trailers or
                                      containers, which
                                      trailers or
                                      containers contain
                                      hazardous materials.
                                      (If all trailers or
                                      containers on the
                                      flatcar contain
                                      hazardous materials,
                                      there is no
                                      violation.).
                                     --When the improper           1,000
                                      description is not
                                      likely to cause
                                      serious problem
                                      (technical defect).
                                     --Minor errors not              500
                                      related to hazardous
                                      materials emergency
                                      response, e.g., not
                                      listing an exemption
                                      number and the
                                      exemption is not one
                                      affecting emergency
                                      response.
                                     Note: Failure to
                                      include emergency
                                      response information
                                      is covered at Sec.
                                      172.600-604; while
                                      the normal unit of
                                      violation for
                                      movement documents is
                                      the whole document,
                                      failure to provide
                                      emergency response
                                      information is a
                                      separate violation.
    174.26(a)......................  Failure to execute the        5,000
                                      required POISON GAS
                                      and EXPLOSIVES 1.1/
                                      1.2 notices. (The
                                      notice is the unit of
                                      violation, because
                                      one notice can cover
                                      several shipments.).
                                     Failure to deliver the        5,000
                                      required POISON GAS
                                      and EXPLOSIVES 1.1/
                                      1.2 notices to train
                                      and engine crew.
                                      (Cite this, or the
                                      above, as
                                      appropriate.).
                                     Failure to transfer           3,000
                                      notice from crew to
                                      crew. (Note that this
                                      is very likely an
                                      individual liability
                                      situation; the
                                      penalty guideline
                                      listed here, however,
                                      presumes action
                                      against a railroad.).
                                     Failure to keep copy          1,000
                                      of notice on file.
    174.26(b)......................  Train crew does not           6,000
                                      have a document
                                      indicating position
                                      in train of each
                                      loaded, placarded
                                      car. Aggravate by 50%
                                      for Poison Gas, 2.3,
                                      and Explosives, 1.1
                                      and 1.2. (Train is
                                      the unit of
                                      violation.).
                                     --Technical violation,        1,000
                                      e.g., car is listed
                                      in correct relative
                                      order, but not in
                                      exact numerical
                                      order, usually
                                      because of addition
                                      of car or cars to
                                      head or tail of
                                      train. (Note: Applies
                                      only if the actual
                                      location is off by 10
                                      or fewer cars.).
    174.26(c)......................  Improper paperwork in
                                      possession of train
                                      crew. (If the
                                      investigation of an
                                      accident reveals a
                                      violation of this
                                      section and Sec.
                                      174.25, cite this
                                      section.) (Shipment
                                      is unit of violation,
                                      although there is
                                      justification for
                                      making it the train
                                      if a unified consist
                                      is used to carry this
                                      information and the
                                      violation is a
                                      pattern one
                                      throughout all, or
                                      almost all, of the
                                      hazardous materials
                                      shipments. For
                                      intermodal traffic,
                                      ``shipment'' can mean
                                      the container or
                                      trailer--e.g., a UPS
                                      trailer with several
                                      non-disclosed
                                      hazardous materials
                                      packages would be one
                                      unit.)
                                     --Information on the         15,000
                                      document possessed by
                                      the train crew is
                                      wrong to the extent
                                      that it caused or
                                      materially
                                      contributed to a
                                      reaction by emergency
                                      responders that
                                      aggravated the
                                      situation or caused
                                      or materially
                                      contributed to
                                      improper handling by
                                      the carrier that led
                                      to or materially
                                      contributed to a
                                      product release.
                                     --Total lack of               7,500
                                      hazardous materials
                                      information on
                                      movement document.
                                      (Some shipping names
                                      alone contain
                                      sufficient
                                      information to reduce
                                      the guideline to the
                                      next lower level, but
                                      they may be such
                                      dangerous products
                                      that aggravation
                                      needs to be
                                      considered.).
                                     --Some information is         5,000
                                      present but the
                                      error(s) could cause
                                      mishandling by the
                                      carrier or a delay or
                                      error in emergency
                                      response. Includes
                                      missing RESIDUE
                                      description required
                                      by Sec.  174.25(c).
                                     --Improper                    3,500
                                      information, but the
                                      hazardous materials
                                      are small shipments
                                      (e.g., UPS moves) and
                                      PG III (e.g., the
                                      ``low hazard''
                                      materials allowed in
                                      TOFC/COFC service
                                      without an exemption
                                      since HM-197).
                                     --Technical defect not        1,000
                                      likely to cause delay
                                      or error in emergency
                                      response or carrier
                                      handling.
                                     --Minor error not               500
                                      relating to emergency
                                      response or carrier
                                      handling, e.g., not
                                      listing the exemption
                                      number on document
                                      and the exemption is
                                      not one affecting
                                      emergency response.
    174.33.........................  --Failure to maintain
                                      ``an adequate supply
                                      of placards.'' [The
                                      violation is for
                                      ``failure to
                                      replace''; if missing
                                      placards are
                                      replaced, the supply
                                      is obviously
                                      adequate, if not,
                                      failure to have a
                                      placard is not a
                                      separate violation
                                      from failure to
                                      replace it.]
                                     --Failure to replace          1,000
                                      lost or destroyed
                                      placards based on
                                      shipping paper
                                      information. (This is
                                      in addition to the
                                      basic placarding
                                      mistakes in, for
                                      instance, Sec.
                                      172.504.).

[[Page 50]]

 
                                     Note: A railroad's
                                      placarding duties are
                                      to not accept a car
                                      without placards
                                      [Sec.  172.508(b)];
                                      to maintain an
                                      ``adequate supply''
                                      of placards and to
                                      replace them based on
                                      shipping paper
                                      information [Sec.
                                      174.33]; and to not
                                      transport a car
                                      without placards
                                      [Sec.  174.59]. At
                                      each inspection
                                      point, a railroad
                                      must determine that
                                      all placards are in
                                      place. [Sec.
                                      172.8(b)] The ``next
                                      inspection point''
                                      replacement
                                      requirement in Sec.
                                      174.59, q.v., refers
                                      to placards that
                                      disappear between
                                      inspection points; a
                                      car at an inspection
                                      point must be
                                      placarded because it
                                      is in transportation,
                                      even if held up at
                                      that point. [49
                                      U.S.C. 5102(12)]
    174.45.........................  Failure to report
                                      hazardous materials
                                      accidents or
                                      incidents. Cite Secs.
                                      171.15 or 171.16 as
                                      appropriate.
    174.50.........................  Moving leaking tank           7,500
                                      car unnecessarily.
                                     Failure to stencil            3,500
                                      leaking tank car.
                                     Loss of product              15,000
                                      resulted in human
                                      being contact because
                                      of improper carrier
                                      handling.
    174.55.........................  Failure to block and
                                      brace as prescribed.
                                      (See also Secs.
                                      174.61, .63, .101,
                                      .112, .115; where
                                      these more specific
                                      sections apply, cite
                                      them.) Note: The
                                      regulatory
                                      requirement is that
                                      hazardous materials
                                      packages be loaded
                                      and securely blocked
                                      and braced to prevent
                                      the packages from
                                      changing position,
                                      falling to the floor,
                                      or sliding into each
                                      other. If the load is
                                      tight and secure,
                                      pieces of lumber or
                                      other materials may
                                      not be necessary to
                                      achieve the ``tight
                                      load'' requirement.
                                      Be careful on these
                                      and consult freely
                                      with the expert
                                      attorney and
                                      specialists in the
                                      Hazardous Materials
                                      Division.
                                     --General failure to          5,000
                                      block and brace.
                                     --Inadequate blocking         2,500
                                      and bracing (an
                                      attempt was made but
                                      blocking/bracing was
                                      insufficient.).
                                     --Inadequate blocking         7,500
                                      and bracing leading
                                      to a leak.
                                     --Inadequate blocking        15,000
                                      and bracing leading
                                      to a leak and human
                                      being contact.
    174.59.........................  Marking and
                                      placarding. Note: As
                                      stated elsewhere, a
                                      railroad's placarding
                                      duties are to not
                                      accept a car without
                                      placards [Sec.
                                      172.508(b)], to
                                      maintain an
                                      ``adequate supply''
                                      of placards and to
                                      replace them based on
                                      shipping paper
                                      information [Sec.
                                      174.33], and to not
                                      transport a car
                                      without placards
                                      [Sec.  174.59]. At
                                      each inspection
                                      point, a railroad
                                      must determine that
                                      all placards are in
                                      place. [Sec.
                                      172.8(b)] The ``next
                                      inspection point''
                                      replacement
                                      requirement in this
                                      section refers to
                                      placards that
                                      disappear between
                                      inspection points. A
                                      car at an inspection
                                      point must be
                                      placarded because it
                                      is in transportation
                                      [49 U.S.C. 5102(12)],
                                      even if held up at
                                      that point. Because
                                      the statute creates
                                      civil penalty
                                      liability only if a
                                      violation is
                                      ``knowing,'' that is,
                                      ``a reasonable person
                                      knew or should have
                                      known that an act
                                      performed by him was
                                      in violation of the
                                      HMR,'' and because
                                      railroads are not
                                      under a duty to
                                      inspect hazardous
                                      materials cars merely
                                      standing in a yard,
                                      violations written
                                      for unplacarded cars
                                      in yards must include
                                      proof that the
                                      railroad knew about
                                      the unplacarded cars
                                      and took no
                                      corrective action
                                      within a reasonable
                                      time. (Note also that
                                      the real problem with
                                      unplacarded cars in a
                                      railyard may be a
                                      lack of emergency
                                      response information,
                                      Secs.  172.600-.604,
                                      and investigation may
                                      reveal that those
                                      sections should be
                                      cited instead of this
                                      one.)
                                     --Complete failure to         7,500
                                      placard.
                                     --One placard missing         1,000
                                      (add $1,000 per
                                      missing placard up to
                                      a total of three;
                                      then use the
                                      guideline above).
                                     For other placarding
                                      violations, see Secs.
                                      172.500-.560 and
                                      determine if one of
                                      them more correctly
                                      states the violation.
    174.61.........................  Improper                      3,000
                                      transportation of
                                      transport vehicle or
                                      freight container on
                                      flat car. (Note: If
                                      improper lading
                                      restraint is the
                                      violation, see Sec.
                                      174.55; if improper
                                      restraint of a bulk
                                      packaging inside a
                                      closed transport
                                      vehicle is the
                                      violation, see Sec.
                                      174.63(b).).
    174.63(a) & (c)................  --Improper                    3,000
                                      transportation of
                                      portable tank or
                                      other bulk packaging
                                      in TOFC/COFC service.
                                     --Improper                    7,500
                                      transportation
                                      leading to a release
                                      of product.
                                     --Improper                   15,000
                                      transportation
                                      leading to a release
                                      and human being
                                      contact.
    174.63(b)......................  Improper securement of
                                      bulk packaging inside
                                      enclosed transport
                                      vehicle or freight
                                      container.
                                     --General failure to          5,000
                                      secure.
                                     --Inadequate                  2,500
                                      securement (an
                                      attempt to secure was
                                      made but the means of
                                      securement were
                                      inadequate).
                                     --Inadequate                  7,500
                                      securement leading to
                                      a leak.
                                     --Inadequate                 15,000
                                      securement leading to
                                      a leak and human
                                      being contact.
    174.63(e)......................  Transportation of             7,500
                                      cargo tank or multi-
                                      unit tank car tank
                                      without authorization
                                      and in the absence of
                                      an emergency.

[[Page 51]]

 
    174.67(a)(1)...................  Tank car unloading            2,500
                                      operations performed
                                      by persons not
                                      properly instructed
                                      (case cannot be based
                                      on inference).
    174.67(a)(2)...................  Unloading without
                                      brakes set and/or
                                      wheels blocked. (The
                                      enforcement standard,
                                      as per 1995 Hazardous
                                      Materials Technical
                                      Resolution Committee,
                                      is that sufficient
                                      handbrakes must be
                                      applied on one or
                                      more cars to prevent
                                      movement and each car
                                      with a handbrake set
                                      must be blocked in
                                      both directions. The
                                      unloading facility
                                      must make a
                                      determination on how
                                      many brakes to set.)
                                     --No brakes set, no           5,000
                                      wheels blocked, or
                                      fewer brakes set/
                                      wheels blocked than
                                      facility's operating
                                      plan.
                                     --No brakes set, but          3,000
                                      wheels blocked.
                                     --Brakes set, but             4,000
                                      wheels not blocked.
    174.67(a)(3)...................  Unloading without             2,000
                                      cautions signs
                                      properly displayed.
                                      (See Part 218,
                                      Subpart B).
    174.67(c)(2)...................  Failure to use non-
                                      metallic block to
                                      prop manway cover
                                      open while unloading
                                      through bottom outlet.
                                     --Flammable or                3,000
                                      combustible liquid,
                                      or other product with
                                      a vapor flash point
                                      hazard.
                                     --Material with no              500
                                      vapor flammability
                                      hazard.
    174.67(h)......................  Insecure unloading           10,000
                                      connections, such
                                      that product is
                                      actually leaking.
    174.67(i)......................  Unattended unloading..        5,000
    174.67(j)......................  Discontinued unloading        2,000
                                      without disconnecting
                                      all unloading
                                      connections,
                                      tightening valves,
                                      and applying closures
                                      to all other
                                      openings. (Note: If
                                      the car is attended,
                                      this subsection does
                                      not apply.).
    174.67(k)......................  Preparation of car
                                      after unloading:
                                      Removal of unloading
                                      connections is
                                      required, as is the
                                      closing of all
                                      openings with a
                                      ``suitable tool.''
                                      Note: This subsection
                                      requires unloading
                                      connections to be
                                      ``removed'' when
                                      unloading is
                                      complete, Sec.
                                      174.67(j) requires
                                      them to be
                                      ``disconnected'' for
                                      a temporary cessation
                                      of unloading. The
                                      penalties recommended
                                      here mirror those in
                                      Sec.  173.29, dealing
                                      with insecure
                                      closures generally.
                                     --Hazardous material          2,000
                                      with insignificant
                                      vapor pressure and
                                      without
                                      classification as
                                      ``poison'' or
                                      ``inhalation hazard''.
                                     --With actual leak....        5,000
                                     --With leak allowing         15,000
                                      the product to
                                      contact any human
                                      being.
                                     --Hazardous material          5,000
                                      with vapor pressure
                                      (essentially any gas
                                      or compressed gas)
                                      and/or with
                                      classification as
                                      ``poison'' or
                                      ``inhalation hazard''.
                                     --With actual leak....        7,500
                                     --With leak allowing         15,000
                                      the product (or fumes
                                      or vapors) to contact
                                      any human being).
                                      Note: Contact with
                                      fumes must be
                                      substantial.
    174.69.........................  --Complete failure to         6,000
                                      remove loaded
                                      placards and replace
                                      with RESIDUE placard
                                      on tank cars.
                                     --Partial failure.            1,000
                                      (Unit of violation is
                                      the placard; the
                                      guideline is used for
                                      each placard up to 3,
                                      then the penalty
                                      above is applicable.).
    174.81.........................  --Failure to obey             6,000
                                      segregation
                                      requirements for
                                      materials forbidden
                                      to be stored or
                                      transported together.
                                      (``X'' in the table).
                                     --Failure to obey             4,000
                                      segregation
                                      requirements for
                                      materials that must
                                      be separated to
                                      prevent commingling
                                      in the event of a
                                      leak. (``O'' in the
                                      table).
    174.83(a)......................  Improper switching of         5,000
                                      placarded rail cars.
    174.83(b)......................  Improper switching of         8,000
                                      loaded rail car
                                      containing Division
                                      1.1/1.2, 2.3 PG I
                                      Zone A, or Division
                                      6.1 PG I Zone A, or
                                      DOT 113 tank car
                                      placarded for 2.1.
    174.83(c)-(e)..................  Improper switching of         5,000
                                      placarded flatcar.
    174.83(f)......................  Switching Division 1.1/       8,000
                                      1.2 without a buffer
                                      car or placement of
                                      Division 1.1/1.2 car
                                      under a bridge or
                                      alongside a passenger
                                      train or platform.
    174.84.........................  Improper handling of          4,000
                                      Division 1.1/1.2, 2.3
                                      PG I Zone A, 6.1 PG I
                                      Zone A in relation to
                                      guard or escort cars.
    174.85.........................  Improper Train
                                      Placement (The unit
                                      of violation under
                                      this section is the
                                      car. Where more than
                                      one placarded car is
                                      involved, e.g., if 2
                                      placarded cars are
                                      too close to the
                                      engine, both are
                                      violations. Where
                                      both have a similar
                                      violation, e.g., a
                                      Division 1.1 car next
                                      to a loaded tank car
                                      of a Class 3
                                      material, each car
                                      gets the appropriate
                                      penalty as listed
                                      below.)
                                     RESIDUE car without at        3,000
                                      least 1 buffer from
                                      engine or occupied
                                      caboose.
                                     Placard Group 1--
                                      Division 1.1/1.2
                                      (Class A explosive)
                                      materials
                                     --Fewer than 6 cars           8,000
                                      (where train length
                                      permits) from engine
                                      or occupied caboose.
                                     --As above but with at        7,000
                                      least 1 buffer.
                                     --No buffer at all            8,000
                                      (where train length
                                      doesn't permit 5).
                                     --Next to open top car        7,000
                                      with lading beyond
                                      car ends or, if
                                      shifted, would be
                                      beyond car ends.

[[Page 52]]

 
                                     --Next to loaded flat         6,000
                                      car, except closed
                                      TOFC/COFC equipment,
                                      auto carriers,
                                      specially equipped
                                      car with tie-down
                                      devices, or car with
                                      permanent bulkhead.
                                     --Next to operating           7,000
                                      temperature-control
                                      equipment or internal
                                      combustion engine in
                                      operation.
                                     --Next to placarded           7,000
                                      car, except one from
                                      same placard group or
                                      COMBUSTIBLE.
                                     Placard Group 2--
                                      Division 1.3/1.4/1.5
                                      (Class B and C
                                      explosives); Class 2
                                      (compressed gas,
                                      other than Division
                                      2.3, PG 1 Zone A;
                                      Class 3 (flammable
                                      liquids); Class 4
                                      (flammable solid);
                                      Class 5 (oxidizing
                                      materials); Class 6,
                                      (poisonous liquids),
                                      except 6.1 PG 1 Zone
                                      A; Class 8 (corrosive
                                      materials).
                                     For tank cars:
                                     --Fewer than 6 cars           6,000
                                      (where train length
                                      permits) from engine
                                      or occupied caboose.
                                     --As above but with at        5,000
                                      least 1 buffer.
                                     No buffer at all              6,000
                                      (where train length
                                      doesn't permit 5).
                                     --Next to open top car        5,000
                                      with lading beyond
                                      car ends or, if
                                      shifted, would be
                                      beyond car ends.
                                     --Next to loaded flat         4,000
                                      car, except closed
                                      TOFC/COFC equipment,
                                      auto carriers,
                                      specially equipped
                                      car with tie-down
                                      devices, or car with
                                      permanent bulkhead.
                                     --Next to operating           5,000
                                      temperature-control
                                      equipment or internal
                                      combustion engine in
                                      operation.
                                     --Next to placarded           5,000
                                      car, except one from
                                      same placard group or
                                      COMBUSTIBLE.
                                     For other rail cars:
                                     --Next to placarded           5,000
                                      car, except one from
                                      same placard group or
                                      COMBUSTIBLE.
                                     Placard Group 3--
                                      Divisions 2.3 (PG 1
                                      Zone A; poisonous
                                      gases) and 6.1 (PG 1
                                      Zone A; poisonous
                                      materials)
                                     For tank cars:
                                     --Fewer than 6 cars           8,000
                                      (where train length
                                      permits) from engine
                                      or occupied caboose.
                                     --As above but with at        7,000
                                      least 1 buffer.
                                     No buffer at all              8,000
                                      (where train length
                                      doesn't permit 5).
                                     --Next to open top car        7,000
                                      with lading beyond
                                      car ends or, if
                                      shifted, would be
                                      beyond car ends.
                                     --Next to loaded flat         6,000
                                      car, except closed
                                      TOFC/COFC equipment,
                                      auto carriers,
                                      specially equipped
                                      car with tie-down
                                      devices, or car with
                                      permanent bulkhead.
                                     --Next to operating           7,000
                                      temperature-control
                                      equipment or internal
                                      combustion engine in
                                      operation.
                                     --Next to placarded           7,000
                                      car, except one from
                                      same placard group or
                                      COMBUSTIBLE.
                                     For other rail cars:
                                     --Next to placarded           5,000
                                      car, except one from
                                      same placard group or
                                      COMBUSTIBLE.
                                     Placard Group 4--Class
                                      7 (radioactive)
                                      materials.
                                     For rail cars:
                                     --Next to locomotive          8,000
                                      or occupied caboose.
                                     --Next to placarded           5,000
                                      car, except one from
                                      same placard group or
                                      COMBUSTIBLE.
                                     --Next to carload of          3,000
                                      undeveloped film.
    174.86.........................  Exceeding maximum             3,000
                                      allowable operating
                                      speed (15 mph) while
                                      transporting molten
                                      metals or molten
                                      glass.
    174.101(o)(4)..................  Failure to have proper
                                      explosives placards
                                      on flatcar carrying
                                      trailers/containers
                                      placarded for Class
                                      1. (Except for a
                                      complete failure to
                                      placard, the unit of
                                      violation is the
                                      placard.).
                                     --Complete failure to         7,500
                                      placard.
                                     --One placard missing         1,000
                                      (add $1,000 per
                                      missing placard up to
                                      a total of three,
                                      then use the
                                      guideline above).
    174.104(f).....................  Failure to retain car         1,000
                                      certificates at
                                      ``forwarding
                                      station''.
                                     Failure to attach car         1,000
                                      certificates to car.
                                      (Unit of violation is
                                      the certificate, 2
                                      are required.).
    174.204........................  Improper tank car             3,000
                                      delivery of gases
                                      (Class 2 materials).
    174.304........................  Improper tank car             3,000
                                      delivery of flammable
                                      liquids (Class 3
                                      materials).
    174.600........................  Improper tank car             5,000
                                      delivery of materials
                                      extremely poisonous
                                      by inhalation
                                      (Division 2.3 Zone A
                                      or 6.1 Zone A
                                      materials).
------------------------------------------------------------------------

[[Page 53]]

 
                                PART 178
------------------------------------------------------------------------
178.2(b)...........................  Package not
                                      constructed according
                                      to specifications--
                                      also cite section not
                                      complied with.
                                     --Bulk packages,              8,000
                                      including portable
                                      tanks.
                                     --55-gallon drum......        2,500
                                     --Smaller package.....        1,000
------------------------------------------------------------------------
                                PART 179
------------------------------------------------------------------------
179.1(e)...........................  Tank car not                  8,000
                                      constructed according
                                      to specifications--
                                      also cite section not
                                      complied with. (Note:
                                      Part 179 violations
                                      are against the
                                      builder or repairer.
                                      Sections in this Part
                                      are often cited in
                                      conjunction with
                                      violations of Secs.
                                      172.330 and 173.31
                                      (a)&(b) by shippers.
                                      In such cases, the
                                      Part 179 sections are
                                      cited as references,
                                      not as separate
                                      alleged violations.).
179.6..............................  Repair procedures not         5,000
                                      in compliance with
                                      Appendix R of the
                                      Tank Car Manual.
------------------------------------------------------------------------
\1\ See Sec.  172.334.
\2\ See Sec.  172.516.
\3\ Varies.
\4\ See specific section.
\5\ See penalties: 172.700-.704.

[61 FR 38647, July 25, 1996]



PART 210--RAILROAD NOISE EMISSION COMPLIANCE REGULATIONS--Table of Contents




                      Subpart A--General Provisions

Sec.
210.1  Scope of part.
210.3  Applicability.
210.5  Definitions.
210.7  Responsibility for noise defective railroad equipment.
210.9  Movement of a noise defective locomotive, rail car, or consist of 
          a locomotive and rail cars.
210.11  Waivers.
210.13  Penalty.

                    Subpart B--Inspection and Testing

210.21  Scope of subpart.
210.23  Authorization.
210.25  Measurement criteria and procedures.
210.27  New locomotive certification.
210.29  Operation standards (moving locomotives and rail cars).
210.31  Operation standards (stationary locomotives at 30 meters).
210.33  Operation standards (switcher locomotives, load cell test 
          stands, car coupling operations, and retarders).

Appendix A to Part 210--Summary of Noise Standards, 40 CFR Part 201
Appendix B to Part 210--Switcher Locomotive Enforcement Policy

    Authority: Sec. 17, Pub. L. 92-574, 86 Stat. 1234 (42 U.S.C. 4916); 
sec. 1.49(o) of the regulations of the Office of the Secretary of 
Transportation, 49 CFR 1.49(o).

    Source: 48 FR 56758, Dec. 23, 1983, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 210.1  Scope of part.

    This part prescribes minimum compliance regulations for enforcement 
of the Railroad Noise Emission Standards established by the 
Environmental Protection Agency in 40 CFR part 201.



Sec. 210.3  Applicability.

    (a) Except as provided in paragraph (b) of this section, the 
provisions of this part apply to the total sound emitted by moving rail 
cars and locomotives (including the sound produced by refrigeration and 
air conditioning units that are an integral element of such equipment), 
active retarders, switcher locomotives, car coupling operations, and 
load cell test stands, operated by a railroad as defined in 45 U.S.C. 
22, under the conditions described in this part and in 40 CFR part 201.
    (b) The provisions of this part do not apply to--
    (1) Steam locomotives;
    (2) Street, suburban, or interurban electric railways unless 
operated as a

[[Page 54]]

part of the general railroad system of transportation;
    (3) Sound emitted by warning devices, such as horns, whistles, or 
bells when operated for the purpose of safety;
    (4) Special purpose equipment that may be located on or operated 
from rail cars;
    (5) As prescribed in 40 CFR 201.10, the provisions of 40 CFR 201.11 
(a) and (b) and (c) do not apply to gas turbinepowered locomotives or 
any locomotive type that cannot be connected by any standard method to a 
load cell; or
    (6) Inert retarders.

[48 FR 56758, Dec. 23, 1983, as amended at 54 FR 33228, Aug. 14, 1989]



Sec. 210.5  Definitions.

    (a) Statutory definitions. All terms used in this part and defined 
in the Noise Control Act of 1972 (42 U.S.C. 4901 et seq.) have the 
definition set forth in that Act.
    (b) Definitions in standards. All terms used in this part and 
defined in Sec. 201.1 of the Railroad Noise Emission Standards, 40 CFR 
201.1, have the definition set forth in that section.
    (c) Additional definitions. As used in this part--
    Administrator means the Federal Railroad Administrator, the Deputy 
Administrator, or any official of FRA to whom the Administrator has 
delegated authority to act in the Administrator's stead.
    Consist of a locomotive and rail cars means one or more locomotives 
coupled to a rail car or rail cars.
    FRA means the Federal Railroad Administration.
    Inert retarder means a device or system for holding a classified cut 
of cars and preventing it from rolling out the bottom of a railyard.
    Inspector means FRA inspectors or FRA specialists.
    Noise defective means the condition in which railroad equipment is 
found to exceed the Railroad Noise Emission Standards, 40 CFR part 201.
    Railroad equipment means rail cars, locomotives, active retarders, 
and load cell test stands.
    Standards means the Railroad Noise Emission Standards, 40 CFR part 
201. (See appendix A in this part for a listing.)



Sec. 210.7  Responsibility for noise defective railroad equipment.

    Any railroad that uses railroad equipment that is noise defective or 
engages in a car coupling operating that results in excessive noise 
according to the criteria established in this part and in the Standards 
is responsible for compliance with this part. Subject to Sec. 210.9, 
such railroad shall--
    (a) Correct the noise defect;
    (b) Remove the noise defective railroad equipment from service; or
    (c) Modify the car coupling procedure to bring it within the 
prescribed noise limits.



Sec. 210.9  Movement of a noise defective locomotive, rail car, or consist of a locomotive and rail cars.

    A locomotive, rail car, or consist of a locomotive and rail cars 
that is noise defective may be moved no farther than the nearest forward 
facility where the noise defective conditions can be eliminated only 
after the locomotive, rail car, or consist of a locomotive and rail cars 
has been inspected and been determined to be safe to move.



Sec. 210.11  Waivers.

    (a) Any person may petition the Administrator for a waiver of 
compliance with any requirement in this part. A waiver of compliance 
with any requirement prescribed in the Standards may not be granted 
under this provision.
    (b) Each petition for a waiver under this section must be filed in 
the manner and contain information required by 49 CFR part 211.
    (c) If the Administrator finds that a waiver of compliance applied 
for under paragraph (a) of this section is in the public interest and is 
consistent with railroad noise abatement and safety, the Administrator 
may grant a waiver subject to any condition he deems necessary. Notice 
of each waiver granted, including a statement of the reasons therefor, 
will be published in the Federal Register.



Sec. 210.13  Penalty.

    Any person who operates railroad equipment subject to the Standards 
in

[[Page 55]]

violation of any requirement of this part or of the Standards is liable 
to penalty as prescribed in section 11 of the Noise Control Act of 1972 
(42 U.S.C. 4910), as amended.



                    Subpart B--Inspection and Testing



Sec. 210.21  Scope of subpart.

    This subpart prescribes the compliance criteria concerning the 
requirements for inspection and testing of railroad equipment or 
operations covered by the Standards.



Sec. 210.23  Authorization.

    (a) An inspector is authorized to perform any noise test prescribed 
in the Standards and in the procedures of this part at any time, at any 
appropriate location, and without prior notice to the railroad, for the 
purpose of determining whether railroad equipment is in compliance with 
the Standards.
    (b)(1) An inspector is authorized to request that railroad equipment 
and appropriate railroad personnel be made available for a passby or 
stationary noise emission test, as prescribed in the Standards and in 
the procedures of this part, and to conduct such test, at a reasonable 
time and location, for the purpose of determining whether the railroad 
equipment is in compliance with the Standards.
    (2) If the railroad has the capability to perform an appropriate 
noise emission test, as prescribed in the Standards and in the 
procedures of this part, an inspector is authorized to request that the 
railroad test railroad equipment. The railroad shall perform the 
appropriate test as soon as practicable.
    (3) The request referred to in this paragraph will be in writing, 
will state the grounds upon which the inspector has reason to believe 
that the railroad equipment does not conform to the Standards, and will 
be presented to an appropriate operating official of the railroad.
    (4) Testing or submission for testing is not required if the cause 
of the noise defect is readily apparent and the inspector verifies that 
it is corrected by the replacement of defective components or by 
instituting a normal maintenance or repair procedure.
    (c)(1) An inspector is authorized to inspect or examine a 
locomotive, rail car, or consist of a locomotive and rail cars operated 
by a railroad, or to request that the railroad inspect or examine the 
locomotive, rail car, or consist of a locomotive and rail cars, whenever 
the inspector has reason to believe that it does not conform to the 
requirements of the Standards.
    (2) An inspector may request that a railroad conduct an inspection 
or examination of a locomotive, rail car, or consist of a locomotive and 
rail cars on the basis of an excessive noise emission level measured by 
a passby test. If, after such inspection or examination, no mechanical 
condition that would result in a noise defect can be found and the 
inspector verifies that no such mechanical condition exists, the 
locomotive, rail car, or consist of a locomotive and rail cars may be 
continued in service.
    (3) The requests referred to in this paragraph will be in writing, 
will state the grounds upon which the inspector has reason to believe 
that the locomotive, rail car, or consist of a locomotive and rail cars 
does not conform to the Standards, and will be presented to an 
appropriate operating official of the railroad.
    (4) The inspection or examination referred to in this paragraph may 
be conducted only at recognized inspection points or scheduled stopping 
points.



Sec. 210.25  Measurement criteria and procedures.

    The parameters and procedures for the measurement of the noise 
emission levels are prescribed in the Standards.
    (a) Quantities measured are defined in Sec. 201.21 of the Standards.
    (b) Requirements for measurement instrumentation are prescribed in 
Sec. 201.22 of the Standards. In addition, the following calibration 
procedures shall be used:
    (1)(i) The sound level measurement system including the microphone 
shall be calibrated and appropriately adjusted at one or more nominal 
frequencies in the range from 250 through 1000 Hz at the beginning of 
each series of measurements, at intervals not exceeding 1 (one) hour 
during continual

[[Page 56]]

use, and immediately following a measurement indicating a violation.
    (ii) The sound level measurement system shall be checked not less 
than once each year by its manufacturer, a representative of its 
manufacturer, or a person of equivalent special competence to verify 
that its accuracy meets the manufacturer's design criteria.
    (2) An acoustical calibrator of the microphone coupler type designed 
for the sound level measurement system in use shall be used to calibrate 
the sound level measurement system in accordance with paragraph 
(b)(1)(i) of this section. The calibration must meet or exceed the 
accuracy requirements specified in section 5.4.1 of the American 
National Standard Institute Standards, ``Method for Measurement of Sound 
Pressure Levels,'' (ANSI S1.13-1971) for field method measurements.
    (c) Acoustical environment, weather conditions, and background noise 
requirements are prescribed in Sec. 201.23 of the Standards. In 
addition, a measurement tolerance of 2 dB(A) for a given measurement 
will be allowed to take into account the effects of the factors listed 
below and the interpretations of these effects by enforcement personnel:
    (1) The common practice of reporting field sound level measurements 
to the nearest whole decibel;
    (2) Variations resulting from commercial instrument tolerances;
    (3) Variations resulting from the topography of the noise 
measurement site;
    (4) Variations resulting from atmospheric conditions such as wind, 
ambient temperature, and atmospheric pressure; and
    (5) Variations resulting from reflected sound from small objects 
allowed within the test site.



Sec. 210.27  New locomotive certification.

    (a) A railroad shall not operate a locomotive built after December 
31, 1979, unless the locomotive has been certified to be in compliance 
with the Standards.
    (b) The certification prescribed in this section shall be determined 
for each locomotive model, by either--
    (1) Load cell testing in accordance with the criteria prescribed in 
the Standards; or
    (2) Passby testing in accordance with the criteria prescribed in the 
Standards.
    (c) If passby testing is used under paragraph (b)(2) of this 
section, it shall be conducted with the locomotive operating at maximum 
rated horsepower output.
    (d) Each new locomotive certified under this section shall be 
identified by a permanent badge or tag attached in the cab of the 
locomotive near the location of the inspection Form F 6180.49. The badge 
or tag shall state:
    (1) Whether a load cell or passby test was used;
    (2) The date and location of the test; and
    (3) The A-weighted sound level reading in decibels obtained during 
the passby test, or the readings obtained at idle throttle setting and 
maximum throttle setting during a load cell test.



Sec. 210.29  Operation standards (moving locomotives and rail cars).

    The operation standards for the noise emission levels of moving 
locomotives, rail cars, or consists of locomotives and rail cars are 
prescribed in the Standards and duplicated in appendix A of this part.
    (a) Measurements for compliance shall be made in compliance with the 
provisions of subpart C of the Standards and the following:
    (1) Consists of locomotives containing at least one locomotive unit 
manufactured prior to December 31, 1979, shall be evaluated for 
compliance in accordance with Sec. 201.12(a) of the Standards, unless a 
locomotive within the consist is separated by at least 10 rail car 
lengths or 500 feet from other locomotives in the consist, in which case 
such separated locomotives may be evaluated for compliance according to 
their respective built dates.
    (2) Consists of locomotives composed entirely of locomotive units 
manufactured after December 31, 1979, shall be evaluated for compliance 
in accordance with Sec. 201.12(b) of the Standards.
    (3) If the inspector cannot establish the built dates of all 
locomotives in a consist of locomotives measured under

[[Page 57]]

moving conditions, evaluation for compliance shall be made in accordance 
with Sec. 201.12(a) of the Standards.
    (b) Noise emission standards for rail cars operating under moving 
conditions are contained in Sec. 201.13 of the Standards and are stated 
in appendix A of this part. If speed measurement equipment used by the 
inspector at the time of the measurement is not operating within an 
accuracy of 5 miles per hour, evaluation for compliance shall be made in 
accordance with Sec. 201.13(2) of the Standards.
    (c) Locomotives and rail cars tested pursuant to the procedures 
prescribed in this part and in the Standards shall be considered in 
noncompliance whenever the test measurement, minus the appropriate 
tolerance (Sec. 210.25), exceeds the noise emission levels prescribed in 
appendix A of this part.



Sec. 210.31  Operation standards (stationary locomotives at 30 meters).

    (a) For stationary locomotives at load cells:
    (1) Each noise emission test shall begin after the engine of the 
locomotive has attained the normal cooling water operating temperature 
as prescribed by the locomotive manufacturer.
    (2) Noise emission testing in idle or maximum throttle setting shall 
start after a 40 second stabilization period in the throttle setting 
selected for the test.
    (3) After the stabilization period as prescribed in paragraph (a)(2) 
of this section, the A-weighted sound level reading in decibels shall be 
observed for an additional 30-second period in the throttle setting 
selected for the test.
    (4) The maximum A-weighted sound level reading in decibels that is 
observed during the 30-second period of time prescribed in paragraph 
(a)(3) of this section shall be used for test measurement purposes.
    (b) The following data determined by any locomotive noise emission 
test conducted after December 31, 1976, shall be recorded in the 
``Remarks'' section on the reverse side of Form F 6180.49:
    (1) Location of test;
    (2) Type of test;
    (3) Date of test; and
    (4) The A-weighted sound level reading in decibels obtained during 
the passby test, or the readings obtained at idle throttle setting and 
maximum throttle setting during a load cell test.
    (c) Any locomotive subject to this part that is found not to be in 
compliance with the Standards as a result of a passby test shall be 
subjected to a load cell test or another passby test prior to return to 
service, except that no such retest shall be required if the cause of 
the noise defect is readily apparent and is corrected by the replacement 
of defective components or by a normal maintenance or repair procedure.
    (d) The last entry recorded on Form F 6180.49 as required in 
paragraph (b) of this section shall be transcribed to a new Form FRA F 
6180.49 when it is posted in the locomotive cab.
    (e) Locomotives tested pursuant to the procedures prescribed in this 
part and in the Standards shall be considered in noncompliance wherever 
the test measurement, minus the appropriate tolerance (Sec. 210.25), 
exceeds the noise emission levels precribed in appendix A of this part.



Sec. 210.33  Operation standards (switcher locomotives, load cell test stands, car coupling operations, and retarders).

    (a) Measurement on receiving property of the noise emission levels 
from switcher locomotives, load cell test stands, car coupling 
operations, and retarders shall be performed in accordance with the 
requirements of 40 CFR part 201 and Sec. 210.25 of this part.
    (b) These sources shall be considered in noncompliance whenever the 
test measurement, minus the appropriate tolerance (Sec. 210.25), exceeds 
the noise emission levels prescribed in appendix A of this part.

[[Page 58]]



                       Appendix A to Part 210--Summary of Noise Standards, 40 CFR Part 201
----------------------------------------------------------------------------------------------------------------
                                                        Noise
                                                     standard--A
   Paragraph and section          Noise source         weighted      Noise measure \1\     Measurement location
                                                     sound level
                                                        in dB
----------------------------------------------------------------------------------------------------------------
                                 All Locomotives
                                Manufactured on or
                                Before 31 December
                                       1979
 
201.11(a)..................  Stationary, Idle                 73  Lmax (slow)...........  30 m (100 ft)
                              Throttle Setting.
201.11(a)..................  Stationary, All Other            93  ......do..............      Do.
                              Throttle Settings.
201.12(a)..................  Moving................           96  Lmax (fast)...........      Do.
 
                                 All Locomotives
                              Manufactured After 31
                                  December 1979
 
201.11(b)..................  Stationary, Idle                 70  Lmax (slow)...........      Do.
                              Throttle Setting.
201.11(b)..................  Stationary, All Other            87  ......do..............      Do.
                              Throttle Settings.
201.12(b)..................  Moving................           90  Lmax (fast)...........      Do.
201.11(c) and 201.12(c)....  Additional Requirement           65  L90 (fast)\2\.........  Receiving property
                              for Switcher
                              Locomotives
                              Manufactured on or
                              Before 31 December
                              1979 Operating in
                              Yards Where
                              Stationary Switcher
                              and other Locomotive
                              Noise Exceeds the
                              Receiving Property
                              Limit of.
201.11(c)..................  Stationary, Idle                 70  Lmax (slow)...........  30 m (100 ft)
                              Throttle Setting.
201.11(c)..................  Stationary, All Other            87  ......do..............      Do.
                              Throttle Settings.
201.12(c)..................  Moving................           90  Lmax (fast)...........      Do.
 
                                    Rail Cars
 
201.13(1)..................  Moving at Speeds of 45           88  ......do..............      Do.
                              mph or Less.
201.13(2)..................  Moving at Speeds                 93  ......do..............      Do.
                              Greater than 45 mph.
 
                              Other Yard Equipment
                                  and Facilities
 
201.14.....................  Retarders.............           83  Ladjavemax (fast).....  Receiving property
201.15.....................  Car-Coupling                     92  ......do..............      Do.
                              Operations.
201.16.....................  Locomotive Load Cell             65  L90 (fast)\2\.........      Do.
                              Test Stands, Where
                              the Noise from
                              Locomotive Load Cell
                              Operations Exceeds
                              the Receiving
                              Property Limits of.
201.16(a)..................  Primary Standard......           78  Lmax (slow)...........  30 m (100 ft).
201.16(b)..................  Secondary Standard if            65  L90 (fast)............  Receiving property
                              30-m Measurement Not                                         located more than 120
                              Feasible.                                                    m from Load Cell.
----------------------------------------------------------------------------------------------------------------
\1\ Lmax=Maximum sound level; L90=Statistical sound level exceeded 90% of the time; Ladjavemax=Adjusted average
  maximum sound level.
\2\ L90 must be validated by determining that L10-L99 is less than or equal to 4dB (A).


[48 FR 56758, Dec. 23, 1983; 49 FR 1521, Jan. 12, 1984]

     Appendix B to Part 210--Switcher Locomotive Enforcement Policy

    The EPA standards require that the noise emissions from all switcher 
locomotives in a particular facility be less than prescribed levels 
measured at 30 meters, under all operating modes. This requirement is 
deemed to be met unless ``receiving property'' noise due to switcher 
locomotives exceeds 65 dB(A), when measured in accordance with subpart C 
of 40 CFR part 201. The 65 dB(A) receiving property standard is the 
``trigger'' for requiring the 30-meter test of switcher locomotives.
    The purpose underlying FRA's enforcement of the noise standards is 
to reduce the impact of rail operations noise on receiving properties. 
In some instances, measures other than the 30-meter test approach may 
more effectively reduce the noise levels at receiving properties; 
therefore, FRA enforcement efforts will focus on abatement procedures 
that will achieve a reduction of receiving property noise levels to less 
than 65 dB(A).
    For example, a parked, idling locomotive, even if equipped with 
exhaust silencing that meets the stationary locomotive standard (30-
meter test), may cause the receiving property standard to be exceeded if 
located on trackage adjacent to the receiving property. In that case, 
application of the 30-meter test to other switcher locomotives at the 
facility may not serve to reduce the receiving property noise level. On 
the other hand, operational changes by the railroad could significantly 
reduce receiving property noise levels. In such case, FRA would consider 
retesting after abatement measures have been taken. If the receiving 
property noise level is below the trigger and the abatement action is 
adopted, FRA would not

[[Page 59]]

make a 30-meter test of the switcher locomotives at the facility.



PART 211--RULES OF PRACTICE--Table of Contents




                           Subpart A--General

Sec.
211.1   General.
211.3   Participation by interested persons.
211.5   Regulatory docket.
211.7   Filing requirements.
211.9   Content of rulemaking and waiver petitions.

                    Subpart B--Rulemaking Procedures

211.11  Processing of petitions for rulemaking.
211.13  Initiation and completion of rulemaking proceedings.
211.15  Notice and participation.
211.17  Publication and contents of notices.
211.19  Petitions for extensions of time to comment.
211.21  Consideration of comments received.
211.23  Additional public proceedings.
211.25  Hearings.
211.27  Publication of adopted rules and withdrawal of notices.
211.29  Petitions for reconsideration of a final rule.
211.31  Proceedings on petitions for reconsideration of a final rule.

                           Subpart C--Waivers

211.41  Processing of petitions for waiver of safety rules.
211.43  Processing of other waiver petitions.

                       Subpart D--Emergency Orders

211.47  Review procedures.

    Subpart E--Miscellaneous Safety-Related Proceedings and Inquiries

211.51  Tests.
211.53  Signal applications.
211.55  Special approvals.
211.57  Petitions for reconsideration.
211.59  Proceedings on petitions for reconsideration.
211.61  Informal safety inquiries.

    Subpart F--Interim Procedures for the Review of Emergency Orders

211.71  General.
211.73  Presiding officer; powers.
211.75  Evidence.
211.77  Appeal to the Administrator.

    Authority: Secs. 6, 9, Pub. L. 89-670, 80 Stat. 937, 944 (49 U.S.C. 
1655, 1657); the statutes referred to in sec. 6(e) (1), (2), (3), (6) 
(A) of Pub. L. 89-670, 80 Stat. 939 (49 U.S.C. 1655); sec. 202 of Pub. 
L. 91-458, 84 Stat. 971 as amended by sec. 5(a) of Pub. L. 94-348 (45 
U.S.C. 431); and 49 CFR 1.49, unless otherwise noted.

    Source: 41 FR 54181, Dec. 13, 1976, unless otherwise noted.



                           Subpart A--General



Sec. 211.1  General.

    (a) This part prescribes rules of practice that apply to rulemaking 
and waiver proceedings, review of emergency orders issued under 45 
U.S.C. 432, and miscellaneous safety-related proceedings and informal 
safety inquiries. The specific time limits for disposition of 
proceedings apply only to proceedings initiated after December 31, 1976, 
under the Federal Railroad Safety Act of 1970 (45 U.S.C. 421 et seq.). 
When warranted, FRA will extend these time limits in individual 
proceedings. However, each proceeding under the Federal Railroad Safety 
Act shall be disposed of within 12 months after the date it is 
initiated. A proceeding shall be deemed to be initiated and the time 
period for its disposition shall begin on the date a petition or 
application that complies with the requirements of this chapter is 
received by the person designated in Sec. 211.7.
    (b) As used in this part--
    (1) Administrator means the Federal Railroad Administrator or the 
Deputy Administrator or the delegate of either of them.
    (2) Waiver includes exemption.
    (3) Safety Act means the Federal Railroad Safety Act of 1970, as 
amended (45 U.S.C. 421 et seq.).
    (4) Docket Clerk means the Docket Clerk, Office of Chief Counsel, 
Federal Railroad Administration, Washington, DC 20590.
    (5) Railroad Safety Board means the Railroad Safety Board, Office of 
Safety, Federal Railroad Administration, Washington, DC 20590.
    (c) Records relating to proceedings and inquiries subject to this 
part are available for inspection as provided in part 7 of this title.



Sec. 211.3  Participation by interested persons.

    Any person may participate in proceedings and inquiries subject to 
this

[[Page 60]]

part by submitting written information or views. The Administrator may 
also permit any person to participate in additional proceedings, such as 
informal appearances, conferences, or hearings at which a transcript or 
minutes are kept, to assure informed administrative action and protect 
the public interest.



Sec. 211.5  Regulatory docket.

    (a) Except as provided in paragraph (b) of this section, records of 
the Federal Railroad Administration concerning each proceeding subject 
to this part are maintained in current docket form by the Docket Clerk. 
These records include rulemaking and waiver petitions, emergency orders, 
notices, comments received in response to notices, hearing transcripts, 
final rules, denials of rulemaking petitions, grants and denials of 
waiver and other petitions.
    (b) Records pertaining to applications for special approval under 
Sec. 211.55, signal applications under parts 235 and 236 of this chapter 
and informal safety inquiries under Sec. 211.61, are maintained in a 
current docket form by the Secretary of the Railroad Safety Board.
    (c) Any person may examine docketed material in the office where it 
is maintained. Copies of docketed material other than commercially 
prepared transcripts may be obtained upon payment of the fees prescribed 
in part 7 of this title.



Sec. 211.7  Filing requirements.

    (a) Any person may petition the Administrator for issuance, 
amendment repeal or permanent or temporary waiver of any rule or 
regulation. In the case of a petition for waiver, it must be submitted 
at least 3 months before the proposed effective date, unless good cause 
is shown for not doing so.
    (b) Except as provided in paragraph (c) of this section, all 
petitions, applications, comments submitted in response to a notice, and 
other material pertaining to proceedings subject to this part, shall be 
submitted in triplicate to the Docket Clerk. Each petition received 
shall be acknowledged in writing. The acknowledgement shall contain the 
FRA docket number assigned to the petition and state the date the 
petition was received. Within 60 days following receipt, FRA will advise 
the petitioner or applicant of any deficiencies in its petition or 
application.
    (c) Applications for special approval under Sec. 211.55 and signal 
applications under parts 235 and 236 of this chapter, and protests or 
comments and all other material pertaining to them shall be submitted in 
triplicate to the Secretary of the Railroad Safety Board.



Sec. 211.9    Content of rulemaking and waiver petitions.

    Each petition for rulemaking or waiver must:
    (a) Set forth the text or substance of the rule, regulation, 
standard or amendment proposed, or specify the rule, regulation or 
standard that the petitioner seeks to have repealed or waived, as the 
case may be;
    (b) Explain the interest of the petitioner, and the need for the 
action requested; in the case of a petition for waiver, explain the 
nature and extent of the relief sought, and identify and describe the 
persons, equipment, installations and locations to be covered by the 
waiver;
    (c) Contain sufficient information to support the action sought 
including an evaluation of anticipated impacts of the action sought; 
each evaluation shall include an estimate of resulting costs to the 
private sector, to consumers, and to Federal, State and local 
governments as well as an evaluation of resulting benefits, quantified 
to the extent practicable. Each petition pertaining to safety 
regulations must also contain relevant safety data.



                    Subpart B--Rulemaking Procedures



Sec. 211.11  Processing of petitions for rulemaking.

    (a) General. Each petition for rulemaking filed as prescribed in 
Secs. 211.7 and 211.9 is referred to the head of the office responsible 
for the subject matter of the petition to review and recommend 
appropriate action to the Administrator. No public hearing or oral 
argument is held before the Administrator decides whether the petition 
should be granted. However, a notice

[[Page 61]]

may be published in the Federal Register inviting written comments 
concerning the petition. Each petition shall be granted or denied not 
later than six months after its receipt by the Docket Clerk.
    (b) Grants. If the Administrator determines that a rulemaking 
petition complies with the requirements of Sec. 211.9 and that 
rulemaking is justified, he initiates a rulemaking proceeding by 
publishing an advance notice or notice of proposed rulemaking in the 
Federal Register.
    (c) Denials. If the Administrator determines that a rulemaking 
petition does not comply with the requirements of Sec. 211.9 or that 
rulemaking is not justified, he denies the petition. If the petition 
pertains to railroad safety, the Administrator may also initiate an 
informal safety inquiry under Sec. 211.61.
    (d) Notification; closing of docket. Whenever the Administrator 
grants or denies a rulemaking petition, a notice of the grant or denial 
is mailed to the petitioner. If the petition is denied, the proceeding 
is terminated and the docket for that petition is closed.



Sec. 211.13  Initiation and completion of rulemaking proceedings.

    The Administrator initiates all rulemaking proceedings on his own 
motion by publishing an advance notice of proposed rulemaking or a 
notice of proposed rulemaking in the Federal Register. However, he may 
consider the recommendations of interested persons or other agencies of 
the United States. A separate docket is established and maintained for 
each rulemaking proceeding. Each rulemaking proceeding shall be 
completed not later than 12 months after the initial notice in that 
proceeding is published in the Federal Register. However, if it was 
initiated as the result of the granting of a rulemaking petition, the 
rulemaking proceeding shall be completed not later than 12 months after 
the petition was filed as prescribed in Secs. 211.7 and 211.9.



Sec. 211.15  Notice and participation.

    (a) Except as provided in paragraph (c) of this section, or when the 
Administrator finds for good cause that notice is impractical, 
unnecessary, or contrary to the public interest (and incorporates the 
findings and a brief statement of the reasons therefore in the rules 
issued), an advance notice or notice of proposed rulemaking is published 
in the Federal Register and interested persons are invited to 
participate in the rulemaking proceedings with respect to each 
substantive rule.
    (b) Unless the Administrator determines that notice and public 
rulemaking proceedings are necessary or desirable, interpretive rules, 
general statements of policy, and rules relating to organization, 
procedure, or practice, including those relating to agency management or 
personnel, are prescribed as final without notice or other public 
rulemaking proceedings.
    (c) An advance notice or notice of proposed rulemaking is issued and 
interested persons are invited to participate in rulemaking proceedings 
with respect only to those procedural and substantive rules of general 
applicability relating to public property, loans, grants, benefits, or 
contracts which the Administrator has determined to be of substantial 
public interest.



Sec. 211.17  Publication and contents of notices.

    Each advance notice or notice of proposed rulemaking is published in 
the Federal Register and includes--
    (a) A statement of the time, place and nature of the proposed 
rulemaking proceeding;
    (b) A reference to the authority under which it is issued;
    (c) A description of the subjects or issues involved or the 
substance or terms of the proposed rule;
    (d) A statement of the time within which written comments must be 
submitted and the required number of copies; and
    (e) A statement of how and to what extent interested persons may 
participate in the proceeding.



Sec. 211.19  Petitions for extensions of time to comment.

    (a) Any person may petition the Administrator for an extension of 
time to submit comments in response to an advance notice or notice of 
proposed rulemaking. The petition must be received by the Docket Clerk 
not later than 10

[[Page 62]]

days before expiration of the time stated in the notice and must contain 
reference to the FRA docket number for the proceeding involved. The 
filing of the petition does not automatically extend the time for 
petitioner's comments.
    (b) The Administrator grants the petition only if the petitioner 
shows a substantive interest in the proposed rule and good cause for the 
extension, and if time permits and the extension is in the public 
interest. Extensions will not be granted unless time permits and will 
not exceed one month. If an extension is granted, it is granted as to 
all persons and a notice of the extension is published in the Federal 
Register.



Sec. 211.21  Consideration of comments received.

    All timely comments are considered before final action is taken on a 
rulemaking proposal. Late-filed comments will be considered so far as 
possible without incurring additional expense or delay.



Sec. 211.23  Additional public proceedings.

    The Administrator may conduct other public proceedings that he finds 
necessary or desirable. For example, he may invite interested persons to 
present oral arguments, participate in conferences, or appear at 
informal hearings.



Sec. 211.25  Hearings.

    (a) A hearing will be held if required by statute or the 
Administrator finds it necessary or desirable.
    (b) Except for statutory hearings required to be on the record--
    (1) Hearings are fact-finding proceedings, and there are no formal 
pleadings or adverse parties;
    (2) Any rule issued in a proceeding in which a hearing is held is 
not based exclusively on the record of the hearing; and
    (3) Hearings are conducted in accordance with section 553 of title 
5, U.S.C.; section 556 and 557 of title 5 do not apply to hearings held 
under this part.
    (c) The Administrator conducts or designates a representative to 
conduct any hearing held under this part. The Chief Counsel serves or 
designates a member of his staff to serve as legal officer at the 
hearing.



Sec. 211.27  Publication of adopted rules and withdrawal of notices.

    Whenever the Administrator adopts a final rule or withdraws an 
advance notice or notice of proposed rulemaking, the final rule or a 
notice of withdrawal is published in the Federal Register.



Sec. 211.29  Petitions for reconsideration of a final rule.

    (a) Any person may petition the Administrator for reconsideration of 
any rule issued under this part. Except for good cause shown, such a 
petition must be submitted not later than 60 days after publication of 
the rule in the Federal Register, or 10 days prior to the effective date 
of the rule, whichever is the earlier. The petition must contain a brief 
statement of the complaint and an explanation as to why compliance with 
the rule is not possible, is not practicable, is unreasonable, or is not 
in the public interest.
    (b) If the petitioner requests consideration of additional facts, he 
must state the reason they were not presented to the Administrator 
within the allotted time.
    (c) The Administrator does not consider repetitious petitions.
    (d) Unless the Administrator specifically provides otherwise, and 
publishes notice thereof in the Federal Register, the filing of a 
petition under this section does not stay the effectiveness of a rule.

[41 FR 54181, Dec. 13, 1976, as amended at 42 FR 27593, May 31, 1977]



Sec. 211.31  Proceedings on petitions for reconsideration of a final rule.

    (a) The Administrator may grant or deny, in whole or in part, any 
petition for reconsideration of a final rule without further 
proceedings. Each petition shall be decided not later than 4 months 
after its receipt by the Docket Clerk. In the event he determines to 
reconsider a rule, the Administrator may amend the rule or initiate a 
new rulemaking proceeding. An appropriate notice is published in the 
Federal Register.
    (b) Whenever the Administrator determines that a petition should be

[[Page 63]]

granted or denied, a notice of the grant or denial of a petition for 
reconsideration is sent to the petitioner. When a petition is granted, a 
notice is published in the Federal Register.
    (c) The Administrator may consolidate petitions relating to the same 
rule.



                           Subpart C--Waivers



Sec. 211.41  Processing of petitions for waiver of safety rules.

    (a) General. Each petition for a permanent or temporary waiver of a 
safety rule, regulation or standard filed as prescribed in Secs. 211.7 
and 211.9, is referred to the Railroad Safety Board for decision and 
decided not later than 9 months after receipt.
    (b) Notice and hearing. If required by statute or the Administrator 
or the Railroad Safety Board deems it desirable, a notice is published 
in the Federal Register, an opportunity for public comment is provided, 
and a hearing is held in accordance with Sec. 211.25, before the 
petition is granted or denied.
    (c) Grants. If the Railroad Safety Board determines that the 
petition complies with the requirements of Sec. 211.9 and that a waiver 
is justified, it grants the petition. Conditions may be imposed on the 
grant of waiver if the Board concludes they are necessary to assure 
safety or are in the public interest.
    (d) Denials. If the Railroad Safety Board determines that the 
petition does not comply with the requirements of Sec. 211.9 or that a 
waiver is not justified, it denies the petition.
    (e) Notification. Whenever the Railroad Safety Board grants or 
denies a petition, a notice of that grant or denial is sent to the 
petitioner. When a petition has been decided, interested persons are 
also notified or a notice is published in the Federal Register.
    (f) Petition for reconsideration. Any person may petition for 
reconsideration of the grant or denial of a waiver under procedures set 
forth in Sec. 211.57. Each petition shall be processed in accordance 
with Sec. 211.59.



Sec. 211.43  Processing of other waiver petitions.

    (a) General. Except as provided in Sec. 211.41, each petition for a 
permanent or temporary waiver of a rule, regulation or standard shall be 
filed and processed as prescribed in Secs. 211.7 and 211.9.
    (b) Notice and hearing. If required by statute or the Administrator 
deems it desirable, a notice is published in the Federal Register, an 
opportunity for public comment is provided, and a hearing is held in 
accordance with Sec. 211.25, before the petition is granted or denied.
    (c) Grants. If the Administrator determines that the petition 
complies with the requirements of Sec. 211.9 and that a waiver is 
justified, he grants the waiver. Conditions may be imposed on the grant 
of waiver if the Administrator concludes they are necessary to achieve 
the purposes of programs affected by the grant of waiver or are 
otherwise in the public interest.
    (d) Denials. If the Administrator determines that the petition does 
not comply with the requirements of Sec. 211.9 or that a waiver is not 
justified, he denies the waiver.
    (e) Notification. Whenever the Administrator grants or denies a 
petition, a notice of the grant or denial is sent to the petitioner. 
When a petition has been decided, interested persons are also notified 
or a notice is published in the Federal Register.
    (f) Petitions for reconsideration. Any person may petition for 
reconsideration of the grant or denial of a waiver under procedures set 
forth in Sec. 211.57. Each petition shall be processed in accordance 
with Sec. 211.59.



                       Subpart D--Emergency Orders



Sec. 211.47  Review procedures.

    (a) As specified in section 203, Public Law 91-458, 84 Stat. 972 (45 
U.S.C. 432), opportunity for review of Emergency orders issued under 
that section will be provided in accordance with section 554 of title 5 
of the U.S.C.. Petitions for such review must be submitted in writing to 
the Office of Chief Counsel, Federal Railroad Administration, 
Washington, DC 20590. Upon receipt of a petition, FRA will immediately 
contact the petitioner and make the necessary

[[Page 64]]

arrangements for a conference to be held at the earliest date acceptable 
to the petitioner. At this conference, the petitioner will be afforded 
an opportunity to submit facts, arguments and proposals for modification 
or withdrawal of the Emergency order. If the controversy is not resolved 
at the conference and a hearing is desired, the petitioner must submit a 
written request for a hearing within 15 days after the conference. The 
hearing will commence within 14 calendar days f receipt of the request 
and will be conducted in accordance with sections 556 and 575, title 5, 
U.S.C. Each petition for review shall be decided not later than 3 months 
after receipt.
    (b) Unless stayed or modified by the Administrator, the requirements 
of each Emergency order shall remain in effect and be observed pending 
decision on a petition for review.



    Subpart E--Miscellaneous Safety-Related Proceedings and Inquiries



Sec. 211.51  Tests.

    (a) Pursuant to the Department of Transportation Act (80 Stat. 931, 
49 U.S.C. 1651 et seq.), the Federal Railroad Safety Act of 1970 (84 
Stat. 971, 45 U.S.C. 421, 431-441), or both, the Administrator may 
temporarily suspend compliance with a substantive rule of the Federal 
Railroad Administration, if:
    (1) The suspension is necessary to the conduct of a Federal Railroad 
Administration approved test program designed to evaluate the 
effectiveness of new technology or operational approaches or instituted 
in furtherance of a present or proposed rulemaking proceeding;
    (2) The suspension is limited in scope and application to such 
relief as may be necessary to facilitate the conduct of the test 
program; and
    (3) The suspension is conditioned on the observance of standards 
sufficient to assure safety.
    (b) When required by statute, a notice is published in the Federal 
Register, an opportunity is provided for public comment, and a hearing 
is held in accordance with Sec. 211.25, before the FRA approved test 
program is implemented.
    (c) When the Administrator approves suspension of compliance with 
any rule in connection with a test program, a description of the test 
program containing an explanatory statement responsive to paragraph (a) 
of this section is published in the Federal Register.



Sec. 211.53  Signal applications.

    Applications for approval of discontinuance or material modification 
of a signal system authorized by part 235 or waiver of a requirement of 
part 236 of this chapter must be submitted in triplicate to the 
Secretary, Railroad Safety Board, handled in accordance with procedures 
set forth in part 235 or 236, respectively, and decided not later than 9 
months after receipt. When a decision is issued, the applicant and other 
interested parties are notified or a notice is published in the Federal 
Register.



Sec. 211.55  Special approvals.

    Requests for special approval pertaining to safety not otherwise 
provided for in this chapter, must be submitted in triplicate to the 
Secretary, Railroad Safety Board; specifying the action requested. These 
requests shall be considered by the Board and appropriate action shall 
be taken not later than 9 months after receipt. When a decision is 
issued, the requestor and other interested parties are notified or a 
notice is published in the Federal Register.



Sec. 211.57  Petitions for reconsideration.

    (a) Any person may petition the Administrator for reconsideration of 
final action taken in proceedings subject to subpart C or E of this 
part.
    (b) The petition must specify with particularity the grounds for 
modification or revocation of the action in question.
    (c) The Administrator does not consider repetitious petitions.
    (d) Unless the Administrator specifically provides otherwise, and 
gives notice to interested parties or publishes notice in the Federal 
Register, the filing of a petition under this section does not stay the 
effectiveness of the action sought to be reconsidered.

[[Page 65]]



Sec. 211.59  Proceedings on petitions for reconsideration.

    (a) The Administrator may invite public comment or seek a response 
from the party at whose request the final action was taken before 
deciding a petition for reconsideration submitted under Sec. 211.57.
    (b) The Administrator may reaffirm, modify, or revoke the final 
action without further proceedings and shall issue notification of his 
decision to the petitioner and other interested parties or publish a 
notice in the Federal Register. Each petition for reconsideration shall 
be decided not later than 4 months after receipt. Petitions for 
reconsideration relating to the same rule may be consolidated for 
decision. In the event the Administrator determines to reconsider a 
final action, and appropriate notice is published in the Federal 
Register.



Sec. 211.61  Informal safety inquiries.

    The Administrator may conduct informal safety inquiries to collect 
information on selected topics relating to railroad safety. A notice of 
each such inquiry will be published in the Federal Register outlining 
the area of inquiry and inviting interested persons to assist by 
submitting written material or participating in informal public 
conferences and discussions. Upon completion of the inquiry, the 
Administrator will review the information obtained and may, on his own 
motion, initiate a rulemaking proceeding under Sec. 211.13 or take 
whatever other action he deems appropriate.



    Subpart F--Interim Procedures for the Review of Emergency Orders

    Authority: Secs. 203 and 208(a), 84 Stat. 972, 974-975 (45 U.S.C. 
432, 437(a)) and 5 U.S.C. 554-559.

    Source: 44 FR 13029, Mar. 9, 1979, unless otherwise noted.



Sec. 211.71  General.

    (a) This subpart consists of interim procedures for the review of 
emergency orders issued under section 203 of the Federal Railroad Safety 
Act of 1970, supplementing Sec. 211.47 of this part.
    (b) Proceedings under this subpart are subject to the requirements 
of 5 U.S.C. 554-559.
    (c) Notwithstanding Sec. 211.1 of this part, as used in this subpart 
Administrator means the Federal Railroad Administrator or Deputy 
Administrator.



Sec. 211.73  Presiding officer; powers.

    (a) An administrative hearing for the review of an emergency order 
is presided over by the Administrator or by an administrative law judge 
designated at the request of FRA pursuant to 5 CFR 930.213.
    (b) The presiding officer may exercise the powers of the FRA to 
regulate the conduct of the hearing and associated proceedings for the 
purpose of achieving a prompt and fair determination of all material 
issues in controversy.
    (c) The final decision of the presiding officer shall set forth 
findings and conclusions based on the administrative record. That 
decision may set aside, modify or affirm the requirements of the 
emergency order under review.
    (d) Except as provided in Sec. 211.77, the decision of the presiding 
officer is administratively final.



Sec. 211.75  Evidence.

    (a) The Federal Rules of Evidence for United States Courts and 
Magistrates shall be employed as general guidelines for the introduction 
of evidence in proceedings under this subpart. However, except as 
provided in paragraph (b) of this section, all relevant and probative 
evidence offered by a party shall be received in evidence.
    (b) The presiding officer may deny the admission of evidence which 
is determined to be--
    (1) Unduly repetitive; or
    (2) So extensive and lacking in relevance or probative effect that 
its admission would impair the prompt, orderly, and fair resolution of 
the proceeding.



Sec. 211.77  Appeal to the Administrator.

    (a) Any party aggrieved by the final decision of a presiding officer 
(other than the Administrator) may appeal to the Administrator. The 
appeal must be filed within twenty (20) days from

[[Page 66]]

issuance of the presiding officer's decision and must set forth the 
specific exceptions of the party to the decision, making reference to 
the portions of the administrative record which are believed to support 
the exceptions. The notice of appeal and any supporting papers shall be 
accompanied by a certificate stating that they have been served on all 
parties to the proceeding.
    (b) [Reserved]



PART 212--STATE SAFETY PARTICIPATION REGULATIONS--Table of Contents




                           Subpart A--General

Sec.
212.1  Purpose and scope.
212.3  Definitions.
212.5  Filing.

                     Subpart B--State/Federal Roles

212.101  Program principles.
212.103  Investigative and surveillance authority.
212.105  Agreements.
212.107  Certification.
212.109  Joint planning of inspections.
212.111  Monitoring and other inspections.
212.113  Program termination.
212.115  Enforcement actions.

                  Subpart C--State Inspection Personnel

212.201  General qualifications of State inspection personnel.
212.203  Track inspector.
212.205  Apprentice track inspector.
212.207  Signal and train control inspector.
212.209  Train control inspector.
212.211  Apprentice signal and train control inspector.
212.213  Motive power and equipment (MP&E) inspector.
212.215  Locomotive inspector.
212.217  Car inspector.
212.219  Apprentice MP&E inspector.
212.221  Operating practices inspector.
212.223  Operating practices compliance inspector.
212.225  Apprentice operating practices inspector.
212.227  Hazardous materials inspector.
212.229  Apprentice hazardous materials inspector.
212.231  Highway-rail grade crossing inspector.
212.233  Apprentice highway-rail grade crossing inspector.
212.235  Inapplicable qualification requirements.

    Authority: 49 U.S.C. 20103, 20106, 20105, and 20113 (formerly secs. 
202, 205, 206, and 208, of the Federal Railroad Safety Act of 1970, as 
amended (45 U.S.C. 431, 434, 435, and 436)); and 49 CFR 1.49.

    Source: 47 FR 41051, Sept. 16, 1982, unless otherwise noted.



                           Subpart A--General



Sec. 212.1  Purpose and scope.

    This part establishes standards and procedures for State 
participation in investigative and surveillance activities under the 
Federal railroad safety laws and regulations.



Sec. 212.3  Definitions.

    As used in this part:
    (a) Administrator means the Federal Railroad Administrator or the 
Deputy Administrator or the delegate of either of them.
    (b) Associate Administrator means the Associate Administrator for 
Safety, Federal Railroad Administration (FRA), or the Deputy Associate 
Administrator for Safety, FRA.
    (c) FRA means the Federal Railroad Administration.
    (d) Federal railroad safety laws means the following enactments, 
together with regulations and orders issued under their authority:
    (1) The Federal Railroad Safety Act of 1970, as amended (45 U.S.C. 
421, 431-441);
    (2) The Safety Appliance Acts, as amended (45 U.S.C. 1-16);
    (3) The Locomotive Inspection Act, as amended (45 U.S.C. 22-34);
    (4) The Signal Inspection Act, as amended (49 U.S.C. 26);
    (5) The Accident Reports Act, as amended (45 U.S.C. 38-42);
    (6) The Hours of Service Act, as amended (45 U.S.C. 61-64(b); and
    (7) The Hazardous Materials Transportation Act (49 app. U.S.C. 1801 
et seq.), as it pertains to shipment or transportation by railroad.
    (e) Manufacturer means a person that manufactures, fabricates, 
marks, maintains, reconditions, repairs, or tests containers which are 
represented, marked, certified, or sold for use in the bulk 
transportation of hazardous materials by railroad.

[[Page 67]]

    (f) Shipper means a person that offers a hazardous material for 
transportation or otherwise causes it to be transported.
    (g) Planned compliance inspections means investigative and 
surveillance activities described in the annual work plan required by 
Sec. 212.109 of this part that provide basic surveillance of railroad 
facilities, equipment and/or operations for the purpose of determining 
the level of compliance with relevant Federal safety requirements.

[47 FR 41051, Sept. 16, 1982, as amended at 57 FR 28115, June 24, 1992]



Sec. 212.5  Filing.

    Each State agency desiring to conduct investigative and surveillance 
activities must submit to the Associate Administrator for Safety, 
Federal Railroad Administration, 400 Seventh Street, SW., Washington, DC 
20590, the documentation which contains the information prescribed by 
Secs. 212.105 and 212.107.



                     Subpart B--State/Federal Roles



Sec. 212.101  Program principles.

    (a) The purpose of the national railroad safety program is to 
promote safety in all areas of railroad operations in order to reduce 
deaths, injuries and damage to property resulting from railroad 
accidents.
    (b)(1) The national railroad safety program is carried out in part 
through the issuance of mandatory Federal safety requirements and 
through inspection efforts designed to monitor compliance with those 
requirements. FRA and State inspections determine the extent to which 
the railroads, shippers, and manufacturers have fulfilled their 
obligations with respect to inspection, maintenance, training, and 
supervision. The FRA and participating States do not conduct inspections 
of track, equipment, signal systems, operating practices, and hazardous 
materials handling for the railroads, shippers, and manufacturers.
    (2) The national railroad safety program is also carried out through 
routine inspections, accident investigations, formal and informal 
educational efforts, complaint investigations, safety assessments, 
special inquiries, regulatory development, research and similar 
initiatives.
    (c) It is the policy of the FRA to maintain direct oversight of 
railroad, shipper, and manufacturer conditions and practices relevant to 
safety by conducting inspections and investigations in concert with 
participating State agencies.
    (d) The principal role of the State Safety Participation Program in 
the national railroad safety effort is to provide an enhanced 
investigative and surveillance capability through assumption, by 
participating State agencies, of responsibility for planned routine 
compliance inspections. The FRA encourages further State contributions 
to the national railroad safety program consistent with overall program 
needs, individual State capabilities, and the willingness of the States 
to undertake additional investigative and surveillance activities.
    (e) It is the policy of the FRA to promote the growth and vitality 
of the State Safety Participation Program through liaison with State 
government, coordination of Federal and State investigative and 
surveillance activities, and training of inspection personnel.

[47 FR 41051, Sept. 16, 1982, as amended at 57 FR 28115, June 24, 1992]



Sec. 212.103  Investigative and surveillance authority.

    (a) Subject to the requirements of this part, a State agency with 
jurisdiction under State law may participate in investigative and 
surveillance activities concerning Federal railroad safety laws and 
regulations by entering into an agreement under Sec. 212.105 for the 
exercise of specified authority.
    (b) Subject to requirements of this part, a State agency with 
jurisdiction under State law may participate in investigative and 
surveillance activities with respect to particular rules, regulations, 
orders or standards issued under the regulatory authority of the Federal 
Railroad Safety Act of 1970 by filing an annual certification under 
Sec. 212.107.

[[Page 68]]



Sec. 212.105  Agreements.

    (a) Scope. The principal method by which States may participate in 
investigative and surveillance activities is by agreement with FRA. An 
agreement may delegate investigative and surveillance authority with 
respect to all or any part of the Federal railroad safety laws.
    (b) Duration. An agreement may be for a fixed term or for an 
indefinite duration.
    (c) Amendments. An agreement may be amended to expand or contract 
its scope by consent of FRA and the State.
    (d) Common terms. Each agreement entered into under this section 
provides that:
    (1) The State agency is delegated certain specified authority with 
respect to investigative and surveillance activities;
    (2) The delgation is effective only to the extent it is carried out 
through personnel recognized by the State and the FRA (pursuant to 
subpart C of this part) to be qualified to perform the particular 
investigative and surveillance activities to which the personnel are 
assigned; and
    (3) The State agency agrees to provide the capability necessary to 
assure coverage of facilities, equipment, and operating practices 
through planned routine compliance inspections for all, or a specified 
part of, the territory of the State.
    (e) Request for agreement. A request for agreement shall contain the 
following information:
    (1) An opinion of the counsel for the State agency stating that:
    (i) The agency has jurisdiction over the safety practices of the 
facilities, equipment, rolling stock, and operations of railroads in 
that State and whether the agency has jurisdiction over shippers and 
manufacturers;
    (ii) The agency has the authority and capability to conduct 
investigative and surveillance activities in connection with the rules, 
regulations, orders, and standards issued by the Administrator under the 
Federal railroad safety laws; and
    (iii) State funds may be used for this purpose.
    (2) A statement that the State agency has been furnished a copy of 
each Federal safety statute, rule, regulation, order, or standard 
pertinent to the State's participation;
    (3) The names of the railroads operating in the State together with 
the number of miles of main and branch lines operated by each railroad 
in the State;
    (4) The name, title and telephone number of the person designated by 
the agency to coordinate the program; and
    (5) A description of the organization, programs, and functions of 
the agency with respect to railroad safety.
    (f) Developmental agreement. Consistent with national program 
requirements, the Associate Administrator may enter into an agreement 
under this section prior to the qualification of inspection personnel of 
the State under subpart C of this part. In such a case, the agreement 
shall (1) specify the date at which the State will assume investigative 
and surveillance duties, and (2) refer to any undertaking by the FRA to 
provide training for State inspection personnel, including a schedule 
for the training courses that will be made available.
    (g) Action on request. The Associate Administrator responds to a 
request for agreement by entering into an agreement based on the 
request, by declining the request, or by suggesting modifications.

(Approved by the Office of Management and Budget under control number 
2130-0509)

[47 FR 41051, Sept. 16, 1982, as amended at 57 FR 28115, June 24, 1992]



Sec. 212.107  Certification.

    (a) Scope. In the event the FRA and the State agency do not agree on 
terms for the participation of the State under Sec. 212.105 of this part 
and the State wishes to engage in investigative and surveillance 
activities with respect to any rule, regulation, order, or standard 
issued under the authority of the Federal Railroad Safety Act of 1970, 
the State shall file an annual certification with respect to such 
activities.
    (b) Content. The annual certification shall be filed not less than 
60 days before the beginning of the Federal fiscal year to which it 
applies, shall contain the information required by Sec. 212.105(e) of 
this part and, in addition, shall certify that:

[[Page 69]]

    (1) The State agency has the authority and capability to conduct 
investigative and surveillance activities under the requirements of this 
part with respect to each rule, regulation, order or standard for which 
certification is submitted; and
    (2) The State agency will, at a minimum, conduct planned compliance 
inspections meeting the level of effort prescribed in the applicable 
appendix to this part.
    (c) Action on certification. The Associate Administrator responds to 
the filing of an annual certification within 60 days of its receipt by 
accepting it or by rejecting it for cause stated.
    (d) Delegation of authority. Acceptance of an annual certification 
constitutes a delegation of authority to conduct investigative and 
surveillance activities only to the extent that the delegation is 
carried out through personnel recognized by the State and the FRA 
(pursuant to subpart C of this part) to be qualified to perform the 
particular investigative and surveillance activities to which the 
personnel are assigned.

(Approved by the Office of Management and Budget under control number 
2130-0509)



Sec. 212.109  Joint planning of inspections.

    Prior to the beginning of each calendar year, each participating 
State applying for grant assistance under subpart D of this part shall 
develop, in conjunction with the FRA Regional Director of the region in 
which the State is located, an annual work plan for the conduct of 
investigative and surveillance activities by the State agency. The plan 
shall include a program of inspections designed to monitor the 
compliance of the railroads, shippers, and manufacturers operating 
within the State (or portion thereof) with applicable Federal railroad 
safety laws and regulations. In the event the participating State and 
the FRA Regional Director cannot agree on an annual work plan, the 
Associate Administrator for Safety shall review the matter.

(Approved by the Office of Management and Budget under control number 
2130-0509)

[57 FR 28115, June 24, 1992]



Sec. 212.111  Monitoring and other inspections.

    (a) It is the policy of the FRA to monitor State investigative and 
surveillance practices at the program level.
    (b) It is the policy of the FRA to coordinate its direct inspection 
and investigative functions in participating States with the responsible 
State agency, providing prior advice to the States whenever practicable.
    (c) The FRA may conduct such monitoring of State investigative and 
surveillance practices and such other inspection and investigation as 
may be necessary to aid in the enforcement of the Federal railroad 
safety laws.



Sec. 212.113  Program termination.

    (a) A State agency participating in investigative and surveillance 
activities by agreement or certification shall provide thirty (30) days 
notice of its intent to terminate its participation.
    (b) The Administrator may, on his own initiative, terminate the 
participation of a State agency if, after at least thirty (30) days 
notice an opportunity for oral hearing under section 553 of title 5 
U.S.C., the State agency does not establish that it has complied and is 
complying with:
    (1) The requirements of this part;
    (2) Relevant directives, enforcement manuals, and written 
interpretations of law and regulations provided by the FRA for guidance 
of the program; and
    (3) The rule of national uniformity of laws, rules, regulations, 
orders, and standards relating to railroad safety as expressed in 
section 205 of the Federal Railroad Safety Act of 1970 (45 U.S.C. 434).



Sec. 212.115  Enforcement actions.

    (a) Except as provided in paragraph (b) of this section, the FRA 
reserves exclusive authority to assess and compromise penalties, to 
issue emergency orders and compliance orders, institute or cause to be 
instituted actions for collection of civil penalties or for injunctive 
relief, and to commence any and all other enforcement actions under the 
Federal railroad safety laws.

[[Page 70]]

    (b)(1) Section 207(a) of the Federal Railroad Safety Act of 1970, as 
amended (45 U.S.C. 436(a)), authorizes a participating State to bring an 
action for assessment and collection of a civil penalty in a Federal 
district court of proper venue, if the FRA has not acted on a request 
for civil penalty assessment originated by the State, within sixty (60) 
days of receipt, by assessing the penalty or by determining in writing 
that no violation occurred.
    (2) Section 207(b) of the Federal Railroad Safety Act of 1970, as 
amended (45 U.S.C. 436(b)), authorizes a participating State to bring an 
action for injunctive relief in a Federal district court of proper 
venue, if the FRA has not acted on a request to initiate such an action 
within fifteen (15) days of receipt, by referring the matter to the 
Attorney General for litigation, by undertaking other enforcement 
action, or by determining in writing that no violation has occurred.
    (3) For purposes of this paragraph, a request for legal action is 
deemed to be received when a legally sufficient investigative report 
specifying the action requested is received by the designated FRA 
offices.
    (c)(1) Requests for civil penalty assessments and other 
administrative actions shall be submitted to the FRA Regional Director 
for Railroad Safety for the FRA region in which the State is located.
    (2) Requests for the institution of injunctive actions shall be 
submitted simultaneously to (i) the FRA Regional Director for Railroad 
Safety for the FRA region in which the State is located and (ii) the 
Enforcement Division, Office of Chief Counsel, FRA, Washington, DC 
20590.



                  Subpart C--State Inspection Personnel



Sec. 212.201  General qualifications of State inspection personnel.

    (a) This subpart prescribes the minimum qualification requirements 
for State railroad safety inspectors, compliance inspectors and 
inspector apprentices. A State agency may establish more stringent or 
additional requirements for its employees.
    (b) An inspector, compliance inspector, or apprentice inspector 
shall be recognized as qualified under this part by the State agency and 
the Associate Administrator prior to assuming the responsibilities of 
the position.
    (c) Each inspector, compliance inspectors and apprentice inspector 
shall be a bona fide employee of the State agency.
    (d) Each inspector, compliance inspector, and apprentice inspector 
shall demonstrate:
    (1) The ability to read and comprehend written materials such as 
training and enforcement manuals, regulations, operating and safety 
rules of the railroad, and similar materials;
    (2) The ability to compose narrative reports of investigative 
findings that are clear, complete, and grammatically acceptable;
    (3) The ability to record data on standard report forms with a high 
degree of accuracy;
    (4) The ability to communicate orally; and
    (5) Basic knowledge of rail transportation functions, the 
organization of railroad, shipper, and manufacturer companies, and 
standard industry rules for personal safety.
    (e) Each inspector shall demonstrate a thorough knowledge of:
    (1) Railroad rules, practices, record systems, and terminology 
common to operating and maintenance functions; and
    (2) The scope and major requirements of all of the Federal railroad 
safety laws and regulations.
    (f) In addition to meeting the requirements of this section, each 
inspector and apprentice inspector shall meet the applicable 
requirements of Secs. 212.203 through 212.229 of this subpart.

[47 FR 41051, Sept. 16, 1982, as amended at 57 FR 28115, June 24, 1992]



Sec. 212.203  Track inspector.

    (a) The track inspector is required, at a minimum, to be able to 
conduct independent inspections of track structures for the purpose of 
determining compliance with the Track Safety Standards (49 CFR part 
213), to make reports of those inspections, and to recommend the 
institution of enforcement actions

[[Page 71]]

when appropriate to promote compliance.
    (b) The track inspector is required, at a minimum to have at least 
four years of recent experience in track construction or maintenance. A 
bachelor's degree in engineering or a related technical specialization 
may be substituted for two of the four years of this experience 
requirement and successful completion of the apprentice training program 
may be substituted for the four years of this experience requirement.
    (c) The track inspector shall demonstrate the following specific 
qualifications:
    (1) A comprehensive knowledge of track nomenclature, track 
inspection techniques, track maintenance methods, and track equipment;
    (2) The ability to understand and detect deviations from:
    (i) Track maintenance standards accepted in the industry; and
    (ii) The Track Safety Standards (49 CFR part 213).
    (3) Knowledge of operating practices and vehicle/track interaction 
sufficient to understand the safety significance of deviations and 
combinations of deviations; and
    (4) Specialized knowledge of the requirements of the Track Safety 
Standards, including the remedial action required to bring defective 
track into compliance with the standards.



Sec. 212.205  Apprentice track inspector.

    (a) The apprentice track inspector must be enrolled in a program of 
training prescribed by the Associate Administrator leading to 
qualification as a track inspector. The apprentice track inspector may 
not participate in investigative and surveillance activities, except as 
an assistant to a qualified State or FRA inspector while accompanying 
that qualified inspector.
    (b) An apprentice track inspector shall demonstrate basic knowledge 
of track inspection techniques, track maintenance methods, and track 
equipment prior to being enrolled in the program.



Sec. 212.207  Signal and train control inspector.

    (a) The signal and train control inspector is required, at a 
minimum, to be able to conduct independent inspections of all types of 
signal and train control systems for the purpose of determining 
compliance with the Rules, Standards and Instructions for Railroad 
Signal Systems (49 CFR part 236), to make reports of those inspections, 
and to recommend the institution of enforcement actions when appropriate 
to promote compliance.
    (b) The signal and train inspector is required, at a minimum, to 
have at least four years of recent experience in signal construction or 
maintenance. A bachelor's degree in electrical engineering or a related 
technical specialization may be substituted for two of the four years of 
this experience requirement and successful completion of the apprentice 
training program may be substituted for the four years of this 
requirement.
    (c) The signal and train control inspector shall demonstrate the 
following specific qualifications:
    (1) A comprehensive knowledge of signal and train control systems, 
maintenance practices, test and inspection techniques;
    (2) The ability to understand and detect deviations from:
    (i) Signal and train control maintenance standards accepted in the 
industry; and
    (ii) The Rules, Standards and Instructions for Railroad Signal 
Systems (49 CFR part 236).
    (3) The ability to examine plans and records, to make inspections of 
signal train control systems and to determine adequacy of stopping 
distances from prescribed speeds;
    (4) Knowledge of operating practices and signal systems sufficient 
to understand the safety significance of deviations and combination of 
deviations; and
    (5) Specialized knowledge of the requirements of the Rules, 
Standards and Instructions for Railroad Signal Systems, including the 
remedial action required to bring signal and train control systems into 
compliance with the standards.



Sec. 212.209  Train control inspector.

    (a) The train control inspector is required, at a minimum, to be 
able to conduct independent inspections of

[[Page 72]]

automatic cab signal, automatic train stop, and automatic train control 
devices on board locomotives for the purpose of determining compliance 
with subpart E of the Rules, Standards and Instructions for Railroad 
Signal Systems (49 CFR part 236) and to recommend the institution of 
enforcement action when appropriate to promote compliance.
    (b) The train control inspector is required, at a minimum, to have 
at least four years of recent experience in locomotive construction or 
maintenance. A bachelor's degree in electrical engineering or a related 
technical specialization may be substituted for two of the four years of 
this experience requirement and successful completion of the apprentice 
training program may be substituted for the four year experience 
requirement.
    (c) The train control inspector shall demonstrate the following 
specific qualifications:
    (1) A comprehensive knowledge of the various train control systems 
used on board locomotives, locomotive air brake systems and test and 
inspection procedures;
    (2) The ability to understand and detect deviations from:
    (i) Train control maintenance standards accepted in the industry; 
and
    (ii) Subpart E of the Rules, Standards and Instructions for Railroad 
Signal Systems (49 CFR part 236);
    (3) Knowledge of operating practices and train control systems 
sufficient to understand the safety significance of deviations and 
combinations of deviations; and
    (4) Specialized knowledge of the requirements of subpart E of the 
Rules, Standards and Instructions for Railroad Signal Systems, including 
the remedial action required to bring train control systems used on 
board locomotives into compliance with the standards.



Sec. 212.211  Apprentice signal and train control inspector.

    (a) The apprentice signal and train control inspector must be 
enrolled in a program of training prescribed by the Associate 
Administrator leading to qualification as a signal and train control 
inspector. The apprentice inspector may not participate in the 
investigative and surveillance activities, except as an assistant to a 
qualified State or FRA inspector while accompanying that qualified 
inspector.
    (b) Prior to being enrolled in the program the apprentice inspector 
shall demonstrate:
    (1) Working knowledge of basic electricity and the ability to use 
electrical test equipment in direct current and alternating current 
circuits; and
    (2) A basic knowledge of signal and train control inspection and 
maintenance methods and procedures.



Sec. 212.213  Motive power and equipment (MP&E) inspector.

    (a) The MP&E inspector is required, at a minimum, to be able to 
conduct independent inspections of railroad equipment for the purpose of 
determining compliance with all sections of the Freight Car Safety 
Standards (49 CFR part 215), Safety Glazing Standards (49 CFR part 223), 
Locomotive Safety Standards (49 CFR part 229), Safety Appliance 
Standards (49 CFR part 231), and Power Brake Standards (49 CFR part 
232), to make reports of those inspections and to recommend the 
institution of enforcement actions when appropriate to promote 
compliance.
    (b) The MP&E inspector is required, at a minimum, to have at least 
four years of recent experience in the construction or maintenance of 
railroad rolling equipment. A bachelor's degree in engineering or a 
related technical specialization may be substituted for two of the four 
years of this experience requirement and successful completion of the 
apprentice training program may be substituted for the four year 
experience requirement.
    (c) The MP&E inspector shall demonstrate the following 
qualifications:
    (1) A comprehensive knowledge of construction, testing, inspecting 
and repair of railroad freight cars, passenger cars, locomotives and air 
brakes;
    (2) The ability to understand and detect deviations from:
    (i) Railroad equipment maintenance standards accepted in the 
industry; and

[[Page 73]]

    (ii) The Freight Car Safety Standards, Safety Glazing Standards, 
Locomotive Safety Standards, Safety Appliance Standards and Power Brake 
Standards.
    (3) The knowledge of railroad operating procedures associated with 
the operation of freight cars, passenger cars, locomotives and air 
brakes sufficient to understand the safety significance of deviations 
and combinations of deviations; and
    (4) Specialized knowledge of proper remedial action to be taken in 
order to bring defective freight cars, passenger cars, locomotives, and 
air brakes into compliance with applicable Federal standards.



Sec. 212.215  Locomotive inspector.

    (a) The locomotive inspector is required, at a minimum, to be able 
to conduct independent inspections of locomotives and air brake systems 
for the purpose of determining compliance with applicable sections of 
the Safety Glazing Standards (49 CFR part 223), Locomotive Safety 
Standards (49 CFR part 229), Safety Appliance Standards (49 CFR part 
231) and Power Brake Standards (49 CFR part 232), to make reports of 
those inspections and to recommend the institution of enforcement 
actions when appropriate to promote compliance.
    (b) The locomotive inspector is required, at a minimum, to have at 
least four years of experience in locomotive construction or 
maintenance. A bachelor's degree in mechanical engineering or a related 
technical specialization may be substituted for two of the four years of 
this experience requirement and successful completion of the apprentice 
training program may be substituted for the four year experience 
requirement.
    (c) The locomotive inspector shall demonstrate the following 
specific qualifications:
    (1) A comprehensive knowledge of construction, testing, inspecting 
and repair of locomotive and air brakes;
    (2) The ability to understand and detect deviations from:
    (i) Railroad equipment maintenance standards accepted in the 
industry; and
    (ii) Safety Glazing Standards, Locomotive Safety Standards, Safety 
Appliance Standards and Power Brake Standards;
    (3) The knowledge of railroad operating procedures associated with 
the operation of locomotives and air brakes sufficient to understand the 
safety significance of deviations and combinations of deviations; and
    (4) Specialized knowledge of proper remedial action to be taken in 
order to bring defective locomotives, and air brakes into compliance 
with applicable Federal standards.



Sec. 212.217  Car inspector.

    (a) The car inspector is required, at a minimum, to be able to 
conduct independent inspections of railroad rolling stock for the 
purpose of determining compliance with all sections of the Freight Car 
Safety Standards (49 CFR part 215), Safety Glazing Standards (49 CFR 
part 223), Safety Appliance Standards (49 CFR part 231) and Power Brake 
Standards (49 CFR part 232), to make reports of those inspections and to 
recommend the institution of enforcement actions when appropriate to 
promote compliance.
    (b) The car inspector is required, at a minimum, to have at least 
two years of recent experience in freight car or passenger car 
construction, maintenance or inspection. Successful completion of the 
apprentice training program may be substituted for this two year 
experience requirement.
    (c) The car inspector shall demonstrate the following specific 
qualifications:
    (1) A comprehensive knowledge of the construction and testing of 
freight and passenger cars and air brakes;
    (2) The ability to understand and detect deviations from:
    (i) Railroad freight and passenger car maintenance standards 
accepted in the industry; and
    (ii) The Freight Car Safety Standards (49 CFR part 215), Safety 
Glazing Standards (49 CFR part 223), Safety Appliance Standards (49 CFR 
part 231) and Power Brake Standards (49 CFR part 232);
    (3) The knowledge of railroad operating procedures associated with 
the operation of freight and passenger cars and air brakes sufficient to 
understand

[[Page 74]]

the safety significance of deviations and combinations of deviations; 
and
    (4) Specialized knowledge of proper remedial action to be taken in 
order to bring defective freight and passenger car equipment and air 
brakes into compliance with applicable Federal standards.



Sec. 212.219  Apprentice MP&E inspector.

    (a) The apprentice MP&E inspector must be enrolled in a program of 
training prescribed by the Associate Administrator leading to 
qualification as an MP&E inspector. The apprentice may not participate 
in investigative and surveillance activities, except as an assistant to 
a qualified State or FRA inspector while accompanying that qualified 
inspector.
    (b) An apprentice MP&E inspector shall demonstrate basic knowledge 
of railroad equipment and air brake inspection, testing and maintenance, 
prior to being enrolled in the program.



Sec. 212.221  Operating practices inspector.

    (a) The operating practices inspector is required, at a minimum, to 
be able to conduct independent inspections for the purpose of 
determining compliance with all sections of the Federal operating 
practice regulations (49 CFR parts 217, 218, 219, 220, 221, 225 and 228) 
and the Hours of Service Act (45 U.S.C. 61-64b), to make reports of 
those inspections, and to recommend the institution of enforcement 
actions when appropriate to promote compliance.
    (b) The operating practices inspector is required at a minimum to 
have at least four years of recent experience in developing or 
administering railroad operating rules. Successful completion of the 
apprentice training program may be substituted for this four year 
experience requirement.
    (c) The operating practices inspector shall demonstrate the 
following specific qualifications:
    (1) A comprehensive knowledge of railroad operating practices, 
railroad operating rules, duties of railroad employees, and general 
railroad nomenclature;
    (2) The ability to understand and detect deviations from:
    (i) Railroad operating rules accepted in the industry; and
    (ii) Federal operating practice regulations;
    (3) Knowledge of operating practices and rules sufficient to 
understand the safety significance of deviations; and
    (4) Specialized knowledge of the requirements of the Federal 
operating practices regulations listed in paragraph (a) of this section, 
including the remedial action required to bring railroad operations into 
compliance with the regulations.

[47 FR 41051, Sept. 16, 1982, as amended at 50 FR 31578, Aug. 2, 1985]



Sec. 212.223  Operating practices compliance inspector.

    (a) The operating practices compliance inspector is required, at a 
minimum, to be able to conduct independent inspections for the purpose 
of determining compliance with the requirements of the following:
    (1) Operating Rules--blue flag (49 CFR part 218);
    (2) Control of Alcohol and Drug Use (49 CFR part 219);
    (3) Rear End Marking Device Regulations (49 CFR part 221);
    (4) Railroad accidents/incidents: reports classification and 
investigations (49 CFR part 225); and
    (5) Hours of Service Act (45 U.S.C. 61-64b) and implementing 
regulations (49 CFR part 228); to make reports of those inspections and 
to recommend the institution of enforcement actions when appropriate to 
promote compliance.
    (b) The operating practices compliance inspector is required, at a 
minimum, to have at least two years of recent experience in developing 
or administering railroad operating rules. Successful completion of the 
apprentice training program may be substituted for the two year 
experience requirement.
    (c) The compliance inspector shall demonstrate the following 
specific qualifications.
    (1) A basic knowledge of railroad operations, duties of railroad 
employees and general railroad safety as it relates to the protection of 
railroad employees;
    (2) A basic knowledge of railroad rules and practices;

[[Page 75]]

    (3) The ability to understand and detect deviations from the 
requirements cited in paragraph (a) of this section; and
    (4) Specialized knowledge of the requirements of the Federal 
operating practices regulations listed in paragraph (a) of this section, 
including the remedial action required to bring defective conditions 
into compliance with the applicable Federal standards.

[47 FR 41051, Sept. 16, 1982, as amended at 50 FR 31578, Aug. 2, 1985]



Sec. 212.225  Apprentice operating practices inspector.

    (a) The apprentice operating practices inspector must be enrolled in 
a program of training prescribed by the Associate Administrator leading 
to qualification as an inspector. The apprentice inspector may not 
participate in investigative and surveillance activities, except as an 
assistant to a qualified State or FRA inspector while accompanying that 
qualified inspector.
    (b) An apprentice operating practices inspector shall demonstrate 
basic knowledge of railroad operating practices, railroad operating 
rules and general duties of railroad employees prior to being enrolled 
in the program.



Sec. 212.227  Hazardous materials inspector.

    (a) The hazardous materials inspector is required, at a minimum, to 
be able to conduct independent inspections to determine compliance with 
all pertinent sections of the Federal hazardous materials regulations 
(49 CFR parts 171 through 174, and 179), to make reports of those 
inspections and findings, and to recommend the institution of 
enforcement actions when appropriate to promote compliance.
    (b) The hazardous materials inspector is required, at a minimum, to 
have at least two years of recent experience in developing, 
administering, or performing managerial functions related to compliance 
with the hazardous materials regulations; four years of recent 
experience in performing functions related to compliance with the 
hazardous materials regulations; or a bachelor's degree in a related 
technical specialization. Successful completion of the apprentice 
training program may be substituted for this requirement.
    (c) The hazardous materials inspector shall demonstrate the 
following specific qualifications:
    (1) A comprehensive knowledge of the transportation and operating 
procedures employed in the railroad, shipping, or manufacturing 
industries associated with the transportation of hazardous materials;
    (2) Knowledge and ability to understand and detect deviations from 
the Department of Transportation's Hazardous Materials Regulations, 
including Federal requirements and industry standards for the 
manufacturing of bulk packaging used in the transportation of hazardous 
materials by railroad;
    (3) Knowledge of the physical and chemical properties and chemical 
hazards associated with hazardous materials that are transported by 
railroad;
    (4) Knowledge of the proper remedial actions required to bring 
railroad, shipper, and/or manufacturing facilities into compliance with 
the Federal regulations; and
    (5) Knowledge of the proper remedial actions required when a 
hazardous materials transportation accident or incident occurs.

[57 FR 28115, June 24, 1992]



Sec. 212.229  Apprentice hazardous materials inspector.

    (a) The apprentice hazardous materials inspector must be enrolled in 
a program of training prescribed by the Associate Administrator for 
Safety leading to qualification as a hazardous materials inspector. The 
apprentice may not participate in investigative and surveillance 
activities, except as an assistant to a qualified State or FRA inspector 
while accompanying that qualified inspector.
    (b) An apprentice hazardous materials inspector shall demonstrate a 
basic knowledge of the chemical hazards associated with hazardous 
materials that are transported by railroad, including requirements such 
as shipping papers, marking, labeling, placarding, and the manufacturing 
and

[[Page 76]]

maintenance of packagings associated with these shipments.

[57 FR 28116, June 24, 1992]



Sec. 212.231  Highway-rail grade crossing inspector.

    (a) The highway-rail grade crossing inspector is required, at a 
minimum, to be able to conduct independent inspections of all types of 
highway-rail grade crossing warning systems for the purpose of 
determining compliance with Grade Crossing Signal System Safety Rules 
(49 CFR part 234), to make reports of those inspections, and to 
recommend institution of enforcement actions when appropriate to promote 
compliance.
    (b) The highway-rail grade crossing inspector is required, at a 
minimum, to have at least four years of recent experience in highway-
rail grade crossing construction or maintenance. A bachelor's degree in 
engineering or a related technical specialization may be substituted for 
two of the four years of this experience requirement. Successful 
completion of an apprentice training program under Sec. 212.233 may be 
substituted for the four years of this experience requirement.
    (c) The highway-rail grade crossing inspector shall demonstrate the 
following specific qualifications:
    (1) A comprehensive knowledge of highway-rail grade crossing 
nomenclature, inspection techniques, maintenance requirements, and 
methods;
    (2) The ability to understand and detect deviations from:
    (i) Grade crossing signal system maintenance, inspection and testing 
standards accepted in the industry; and
    (ii) The Grade Crossing Signal System Safety Rules (49 CFR part 
234);
    (3) Knowledge of operating practices and highway-rail grade crossing 
systems sufficient to understand the safety significance of deviations 
and combinations of deviations from Sec. 212.231(c)(2) (i) and (ii);
    (4) Specialized knowledge of the requirements of the Grade Crossing 
Signal System Safety Rules (49 CFR part 234), including the remedial 
action required to bring highway-rail grade crossing signal systems into 
compliance with those Rules;
    (5) Specialized knowledge of highway-rail grade crossing standards 
contained in the Manual on Uniform Traffic Control Devices; and
    (6) Knowledge of railroad signal systems sufficient to ensure that 
highway-rail grade crossing warning systems and inspections of those 
systems do not adversely affect the safety of railroad signal systems.
    (d) A State signal and train control inspector qualified under this 
part and who has demonstrated the ability to understand and detect 
deviations from the Grade Crossing Signal System Safety Rules (49 CFR 
part 234) is deemed to meet all requirements of this section and is 
qualified to conduct independent inspections of all types of highway-
rail grade crossing warning systems for the purpose of determining 
compliance with Grade Crossing Signal System Safety Rules (49 CFR part 
234), to make reports of those inspections, and to recommend institution 
of enforcement actions when appropriate to promote compliance.

[59 FR 50104, Sept. 30, 1994]



Sec. 212.233  Apprentice highway-rail grade crossing inspector.

    (a) An apprentice highway-rail grade crossing inspector shall be 
enrolled in a program of training prescribed by the Associate 
Administrator for Safety leading to qualification as a highway-rail 
grade crossing inspector. The apprentice inspector may not participate 
in investigative and surveillance activities, except as an assistant to 
a qualified State or FRA inspector while accompanying that qualified 
inspector.
    (b) Prior to being enrolled in the program the apprentice inspector 
shall demonstrate:
    (1) Working basic knowledge of electricity;
    (2) The ability to use electrical test equipment in direct current 
and alternating current circuits; and
    (3) A basic knowledge of highway-rail grade crossing inspection and 
maintenance methods and procedures.

[59 FR 50104, Sept. 30, 1994]

[[Page 77]]



Sec. 212.235  Inapplicable qualification requirements.

    The Associate Administrator may determine that a specific 
requirement of this subpart is inapplicable to an identified position 
created by a State agency if it is not relevant to the actual duties of 
the position. The determination is made in writing.

[47 FR 41051, Sept. 16, 1982. Redesignated at 57 FR 28115, June 24, 
1992. Further redesignated at 59 FR 50104, Sept. 30, 1994]



PART 213--TRACK SAFETY STANDARDS--Table of Contents


                           Subpart A--General

Sec.
213.1  Scope of part.
213.2  Preemptive effect.
213.3  Application.
213.4  Excepted track.
213.5  Responsibility for compliance.
213.7  Designation of qualified persons to supervise certain renewals 
          and inspect track.
213.9  Classes of track: operating speed limits.
213.11  Restoration or renewal of track under traffic conditions.
213.13  Measuring track not under load.
213.15  Penalties.
213.17  Waivers.
213.19  Information collection.



                           Subpart B--Roadbed

213.31  Scope.
213.33  Drainage.
213.37  Vegetation.



                        Subpart C--Track Geometry

213.51  Scope.
213.53  Gage.
213.55  Alinement.
213.57  Curves; elevation and speed limitations.
213.59  Elevation of curved track; runoff.
213.63  Track surface.



                       Subpart D--Track Structure

213.101  Scope.
213.103  Ballast; general.
213.109  Crossties.
213.113  Defective rails.
213.115  Rail end mismatch.
213.119  Continuous welded rail (CWR); general.
213.121  Rail joints.
213.122  Torch cut rail.
213.123  Tie plates.
213.127  Rail fastening systems.
213.133  Turnouts and track crossings generally.
213.135  Switches.
213.137  Frogs.
213.139  Spring rail frogs.
213.141  Self-guarded frogs.
213.143  Frog guard rails and guard faces; gage.



          Subpart E--Track Appliances and Track-Related Devices

213.201  Scope.
213.205  Derails



                          Subpart F--Inspection

213.231  Scope.
213.233  Track inspections.
213.235  Inspection of switches, track crossings, and lift rail 
          assemblies or other transition devices on moveable bridges.
213.237  Inspection of rail.
213.239  Special inspections.
213.241  Inspection records.



        Subpart G--Train Operations at Track Classes 6 and Higher

213.301  Scope of subpart.
213.303  Responsibility for compliance.
213.305  Designation of qualified individuals; general qualifications.
213.307  Class of track: operating speed limits.
213.309  Restoration or renewal of track under traffic conditions.
213.311  Measuring track not under load.
213.317  Waivers.
213.319  Drainage.
213.321  Vegetation.
213.323  Track gage.
213.327  Alinement.
213.329  Curves, elevation and speed limitations.
213.331  Track surface.
213.333  Automated vehicle inspection systems.
213.334  Ballast; general.
213.335  Crossties.
213.337  Defective rails.
213.339  Inspection of rail in service.
213.341  Initial inspection of new rail and welds.
213.343  Continuous welded rail (CWR).
213.345  Vehicle qualification testing.
213.347  Automotive or railroad crossings at grade.
213.349  Rail end mismatch.
213.351  Rail joints.
213.352  Torch cut rail.

[[Page 78]]

213.353  Turnouts, crossovers, and lift rail assemblies or other 
          transition devices on moveable bridges.
213.355  Frog guard rails and guard faces; gage.
213.357  Derails.
213.359  Track stiffness.
213.361  Right of way.
213.365  Visual inspections.
213.367  Special inspections.
213.369  Inspection records.

Appendix A to Part 213--Maximum Allowable Curving Speeds
Appendix B to Part 213--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20102-20114 and 20142; 28 U.S.C. 2461; and 49 
CFR 1.49(m).

    Source: 63 FR 34029, June 22, 1998, unless otherwise noted.



                           Subpart A--General



Sec. 213.1  Scope of part.

    (a) This part prescribes minimum safety requirements for railroad 
track that is part of the general railroad system of transportation. The 
requirements prescribed in this part apply to specific track conditions 
existing in isolation. Therefore, a combination of track conditions, 
none of which individually amounts to a deviation from the requirements 
in this part, may require remedial action to provide for safe operations 
over that track. This part does not restrict a railroad from adopting 
and enforcing additional or more stringent requirements not inconsistent 
with this part.
    (b) Subparts A through F apply to track Classes 1 through 5. Subpart 
G and 213.2, 213.3, and 213.15 apply to track over which trains are 
operated at speeds in excess of those permitted over Class 5 track.



Sec. 213.2  Preemptive effect.

    Under 49 U.S.C. 20106, issuance of these regulations preempts any 
State law, regulation, or order covering the same subject matter, except 
an additional or more stringent law, regulation, or order that is 
necessary to eliminate or reduce an essentially local safety hazard; is 
not incompatible with a law, regulation, or order of the United States 
Government; and that does not impose an unreasonable burden on 
interstate commerce.



Sec. 213.3  Application.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to all standard gage track in the general railroad system of 
transportation.
    (b) This part does not apply to track--
    (1) Located inside an installation which is not part of the general 
railroad system of transportation; or
    (2) Used exclusively for rapid transit operations in an urban area 
that are not connected with the general railroad system of 
transportation.



Sec. 213.4  Excepted track.

    A track owner may designate a segment of track as excepted track 
provided that--
    (a) The segment is identified in the timetable, special 
instructions, general order, or other appropriate records which are 
available for inspection during regular business hours;
    (b) The identified segment is not located within 30 feet of an 
adjacent track which can be subjected to simultaneous use at speeds in 
excess of 10 miles per hour;
    (c) The identified segment is inspected in accordance with 
213.233(c) and 213.235 at the frequency specified for Class 1 track;
    (d) The identified segment of track is not located on a bridge 
including the track approaching the bridge for 100 feet on either side, 
or located on a public street or highway, if railroad cars containing 
commodities required to be placarded by the Hazardous Materials 
Regulations (49 CFR part 172), are moved over the track; and
    (e) The railroad conducts operations on the identified segment under 
the following conditions:
    (1) No train shall be operated at speeds in excess of 10 miles per 
hour;
    (2) No occupied passenger train shall be operated;
    (3) No freight train shall be operated that contains more than five 
cars required to be placarded by the Hazardous Materials Regulations (49 
CFR part 172); and
    (4) The gage on excepted track shall not be more than 4 feet 10\1/4\ 
inches. This paragraph (e)(4) is applicable September 21, 1999.

[[Page 79]]

    (f) A track owner shall advise the appropriate FRA Regional Office 
at least 10 days prior to removal of a segment of track from excepted 
status.



Sec. 213.5  Responsibility for compliance.

    (a) Except as provided in paragraph (b) of this section, any owner 
of track to which this part applies who knows or has notice that the 
track does not comply with the requirements of this part, shall--
    (1) Bring the track into compliance;
    (2) Halt operations over that track; or
    (3) Operate under authority of a person designated under 
Sec. 213.7(a), who has at least one year of supervisory experience in 
railroad track maintenance, subject to conditions set forth in this 
part.
    (b) If an owner of track to which this part applies designates a 
segment of track as ``excepted track'' under the provisions of 
Sec. 213.4, operations may continue over that track without complying 
with the provisions of subparts B, C, D, and E of this part, unless 
otherwise expressly stated.
    (c) If an owner of track to which this part applies assigns 
responsibility for the track to another person (by lease or otherwise), 
written notification of the assignment shall be provided to the 
appropriate FRA Regional Office at least 30 days in advance of the 
assignment. The notification may be made by any party to that 
assignment, but shall be in writing and include the following--
    (1) The name and address of the track owner;
    (2) The name and address of the person to whom responsibility is 
assigned (assignee);
    (3) A statement of the exact relationship between the track owner 
and the assignee;
    (4) A precise identification of the track;
    (5) A statement as to the competence and ability of the assignee to 
carry out the duties of the track owner under this part; and
    (6) A statement signed by the assignee acknowledging the assignment 
to him of responsibility for purposes of compliance with this part.
    (d) The Administrator may hold the track owner or the assignee or 
both responsible for compliance with this part and subject to penalties 
under Sec. 213.15.
    (e) A common carrier by railroad which is directed by the Surface 
Transportation Board to provide service over the track of another 
railroad under 49 U.S.C. 11123 is considered the owner of that track for 
the purposes of the application of this part during the period the 
directed service order remains in effect.
    (f) When any person, including a contractor for a railroad or track 
owner, performs any function required by this part, that person is 
required to perform that function in accordance with this part.



Sec. 213.7  Designation of qualified persons to supervise certain renewals and inspect track.

    (a) Each track owner to which this part applies shall designate 
qualified persons to supervise restorations and renewals of track under 
traffic conditions. Each person designated shall have--
    (1) At least--
    (i) 1 year of supervisory experience in railroad track maintenance; 
or
    (ii) A combination of supervisory experience in track maintenance 
and training from a course in track maintenance or from a college level 
educational program related to track maintenance;
    (2) Demonstrated to the owner that he or she--
    (i) Knows and understands the requirements of this part;
    (ii) Can detect deviations from those requirements; and
    (iii) Can prescribe appropriate remedial action to correct or safely 
compensate for those deviations; and
    (3) Written authorization from the track owner to prescribe remedial 
actions to correct or safely compensate for deviations from the 
requirements in this part.
    (b) Each track owner to which this part applies shall designate 
qualified persons to inspect track for defects. Each person designated 
shall have--
    (1) At least--
    (i) 1 year of experience in railroad track inspection; or

[[Page 80]]

    (ii) A combination of experience in track inspection and training 
from a course in track inspection or from a college level educational 
program related to track inspection;
    (2) Demonstrated to the owner that he or she--
    (i) Knows and understands the requirements of this part;
    (ii) Can detect deviations from those requirements; and
    (iii) Can prescribe appropriate remedial action to correct or safely 
compensate for those deviations; and
    (3) Written authorization from the track owner to prescribe remedial 
actions to correct or safely compensate for deviations from the 
requirements of this part, pending review by a qualified person 
designated under paragraph (a) of this section.
    (c) Persons not fully qualified to supervise certain renewals and 
inspect track as outlined in paragraphs (a) and (b) of this section, but 
with at least one year of maintenance-of-way or signal experience, may 
pass trains over broken rails and pull aparts provided that--
    (1) The track owner determines the person to be qualified and, as 
part of doing so, trains, examines, and re-examines the person 
periodically within two years after each prior examination on the 
following topics as they relate to the safe passage of trains over 
broken rails or pull aparts: rail defect identification, crosstie 
condition, track surface and alinement, gage restraint, rail end 
mismatch, joint bars, and maximum distance between rail ends over which 
trains may be allowed to pass. The sole purpose of the examination is to 
ascertain the person's ability to effectively apply these requirements 
and the examination may not be used to disqualify the person from other 
duties. A minimum of four hours training is adequate for initial 
training;
    (2) The person deems it safe and train speeds are limited to a 
maximum of 10 m.p.h. over the broken rail or pull apart;
    (3) The person shall watch all movements over the broken rail or 
pull apart and be prepared to stop the train if necessary; and
    (4) Person(s) fully qualified under Sec. 213.7 of this part are 
notified and dispatched to the location promptly for the purpose of 
authorizing movements and effecting temporary or permanent repairs.
    (d) With respect to designations under paragraphs (a), (b), and (c) 
of this section, each track owner shall maintain written records of--
    (1) Each designation in effect;
    (2) The basis for each designation; and
    (3) Track inspections made by each designated qualified person as 
required by Sec. 213.241. These records shall be kept available for 
inspection or copying by the Federal Railroad Administration during 
regular business hours.



Sec. 213.9  Classes of track: operating speed limits.

    (a) Except as provided in paragraph (b) of this section and 
Secs. 213.57(b), 213.59(a), 213.113(a), and 213.137(b) and (c), the 
following maximum allowable operating speeds apply--

                           [In miles per hour]
------------------------------------------------------------------------
                                       The maximum        The maximum
 Over track that meets all of the       allowable          allowable
  requirements prescribed in this    operating speed    operating speed
            part for--                 for freight       for passenger
                                       trains is--        trains is--
------------------------------------------------------------------------
Excepted track....................                 10                N/A
Class 1 track.....................                 10                 15
Class 2 track.....................                 25                 30
Class 3 track.....................                 40                 60
Class 4 track.....................                 60                 80
Class 5 track.....................                 80                 90
------------------------------------------------------------------------

    (b) If a segment of track does not meet all of the requirements for 
its intended class, it is reclassified to the next lowest class of track 
for which it does meet all of the requirements of this part. However, if 
the segment of

[[Page 81]]

track does not at least meet the requirements for Class 1 track, 
operations may continue at Class 1 speeds for a period of not more than 
30 days without bringing the track into compliance, under the authority 
of a person designated under Sec. 213.7(a), who has at least one year of 
supervisory experience in railroad track maintenance, after that person 
determines that operations may safely continue and subject to any 
limiting conditions specified by such person.



Sec. 213.11  Restoration or renewal of track under traffic conditions.

    If during a period of restoration or renewal, track is under traffic 
conditions and does not meet all of the requirements prescribed in this 
part, the work on the track shall be under the continuous supervision of 
a person designated under Sec. 213.7(a) who has at least one year of 
supervisory experience in railroad track maintenance, and subject to any 
limiting conditions specified by such person. The term ``continuous 
supervision'' as used in this section means the physical presence of 
that person at a job site. However, since the work may be performed over 
a large area, it is not necessary that each phase of the work be done 
under the visual supervision of that person.



Sec. 213.13  Measuring track not under load.

    When unloaded track is measured to determine compliance with 
requirements of this part, the amount of rail movement, if any, that 
occurs while the track is loaded must be added to the measurements of 
the unloaded track.



Sec. 213.15  Penalties.

    (a) Any person who violates any requirement of this part or causes 
the violation of any such requirement is subject to a civil penalty of 
at least $500 and not more than $11,000 per violation, except that: 
Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. ``Person'' means an entity of any type 
covered under 1 U.S.C. 1, including but not limited to the following: a 
railroad; a manager, supervisor, official, or other employee or agent of 
a railroad; any owner, manufacturer, lessor, or lessee of railroad 
equipment, track, or facilities; any independent contractor providing 
goods or services to a railroad; any employee of such owner, 
manufacturer, lessor, lessee, or independent contractor; and anyone held 
by the Federal Railroad Administrator to be responsible under 
Sec. 213.5(d) or Sec. 213.303(c). Each day a violation continues shall 
constitute a separate offense. See appendix B to this part for a 
statement of agency civil penalty policy.
    (b) Any person who knowingly and willfully falsifies a record or 
report required by this part may be subject to criminal penalties under 
49 U.S.C. 21311.



Sec. 213.17  Waivers.

    (a) Any owner of track to which this part applies, or other person 
subject to this part, may petition the Federal Railroad Administrator 
for a waiver from any or all requirements prescribed in this part. The 
filing of such a petition does not affect that person's responsibility 
for compliance with that requirement while the petition is being 
considered.
    (b) Each petition for a waiver under this section shall be filed in 
the manner and contain the information required by part 211 of this 
chapter.
    (c) If the Administrator finds that a waiver is in the public 
interest and is consistent with railroad safety, the Administrator may 
grant the exemption subject to any conditions the Administrator deems 
necessary. Where a waiver is granted, the Administrator publishes a 
notice containing the reasons for granting the waiver.



213.19  Information collection.

    (a) The information collection requirements of this part were 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) and are 
assigned OMB control number 2130-0010.

[[Page 82]]

    (b) The information collection requirements are found in the 
following sections: Secs. 213.4, 213.5, 213.7, 213.17, 213.57, 213.119, 
213.122, 213.233, 213.237, 213.241, 213.303, 213.305, 213.317, 213.329, 
213.333, 213.339, 213.341, 213.343, 213.345, 213.353, 213.361, 213.369.



                           Subpart B--Roadbed



Sec. 213.31  Scope.

    This subpart prescribes minimum requirements for roadbed and areas 
immediately adjacent to roadbed.



Sec. 213.33  Drainage.

    Each drainage or other water carrying facility under or immediately 
adjacent to the roadbed shall be maintained and kept free of 
obstruction, to accommodate expected water flow for the area concerned.



Sec. 213.37  Vegetation.

    Vegetation on railroad property which is on or immediately adjacent 
to roadbed shall be controlled so that it does not--
    (a) Become a fire hazard to track-carrying structures;
    (b) Obstruct visibility of railroad signs and signals:
    (1) Along the right-of-way, and
    (2) At highway-rail crossings; (This paragraph (b)(2) is applicable 
September 21, 1999.)
    (c) Interfere with railroad employees performing normal trackside 
duties;
    (d) Prevent proper functioning of signal and communication lines; or
    (e) Prevent railroad employees from visually inspecting moving 
equipment from their normal duty stations.



                        Subpart C--Track Geometry



Sec. 213.51  Scope.

    This subpart prescribes requirements for the gage, alinement, and 
surface of track, and the elevation of outer rails and speed limitations 
for curved track.



Sec. 213.53  Gage.

    (a) Gage is measured between the heads of the rails at right-angles 
to the rails in a plane five-eighths of an inch below the top of the 
rail head.
    (b) Gage shall be within the limits prescribed in the following 
table--

----------------------------------------------------------------------------------------------------------------
             Class of track                 The gage must be at least--             But not more than--
----------------------------------------------------------------------------------------------------------------
Excepted track..........................  N/A............................  4'10\1/4\".
Class 1 track...........................  4'8"...........................  4'10".
Class 2 and 3 track.....................  4'8"...........................  4'9\3/4\".
Class 4 and 5 track.....................  4'8"...........................  4'9\1/2\".
----------------------------------------------------------------------------------------------------------------



Sec. 213.55  Alinement.

    Alinement may not deviate from uniformity more than the amount 
prescribed in the following table:

----------------------------------------------------------------------------------------------------------------
                                                           Tangent track                Curved track
                                                        --------------------------------------------------------
                                                          The deviation of   The deviation of   The deviation of
                                                           the mid-offset    the mid-ordinate   the mid-ordinate
                     Class of track                        from a 62-foot     from a 31-foot     from a 62-foot
                                                          line\1\ may not    chord\2\ may not   chord\2\ may not
                                                           be more than--     be more than--     be more than--
                                                              (inches)           (inches)           (inches)
----------------------------------------------------------------------------------------------------------------
Class 1 track..........................................                  5            \3\ N/A                  5
Class 2 track..........................................                  3            \3\ N/A                  3
Class 3 track..........................................             1\3/4\             1\1/4\             1\3/4\
Class 4 track..........................................             1\1/2\                  1             1\1/2\
Class 5 track..........................................              \3/4\              \1/2\              \5/8\
----------------------------------------------------------------------------------------------------------------
\1\ The ends of the line shall be at points on the gage side of the line rail, five-eighths of an inch below the
  top of the railhead. Either rail may be used as the line rail, however, the same rail shall be used for the
  full length of that tangential segment of track.
\2\ The ends of the chord shall be at points on the gage side of the outer rail, five-eighths of an inch below
  the top of the railhead.
\3\ N/A--Not Applicable.


[[Page 83]]



Sec. 213.57  Curves; elevation and speed limitations.

    (a) The maximum crosslevel on the outside rail of a curve may not be 
more than 8 inches on track Classes 1 and 2 and 7 inches on Classes 3 
through 5. Except as provided in Sec. 213.63, the outside rail of a 
curve may not be lower than the inside rail. (The first sentence of 
paragraph (a) is applicable September 21, 1999.)
    (b)(1) The maximum allowable operating speed for each curve is 
determined by the following formula--
[GRAPHIC] [TIFF OMITTED] TR22JN98.001

Where--

Vmax = Maximum allowable operating speed (miles per hour).
Ea = Actual elevation of the outside rail (inches).\1\
---------------------------------------------------------------------------

    \1\ Actual elevation for each 155 foot track segment in the body of 
the curve is determined by averaging the elevation for 10 points through 
the segment at 15.5 foot spacing. If the curve length is less than 155 
feet, average the points through the full length of the body of the 
curve.
---------------------------------------------------------------------------

D = Degree of curvature (degrees).\2\
---------------------------------------------------------------------------

    \2\ Degree of curvature is determined by averaging the degree of 
curvature over the same track segment as the elevation.

    (2) Table 1 of Appendix A is a table of maximum allowable operating 
speed computed in accordance with this formula for various elevations 
and degrees of curvature.
    (c)(1) For rolling stock meeting the requirements specified in 
paragraph (d) of this section, the maximum operating speed for each 
curve may be determined by the following formula--
[GRAPHIC] [TIFF OMITTED] TR22JN98.002

Where--

Vmax = Maximum allowable operating speed (miles per hour).
Ea = Actual elevation of the outside rail (inches).\1\
D = Degree of curvature (degrees).\2\

    (2) Table 2 of Appendix A is a table of maximum allowable operating 
speed computed in accordance with this formula for various elevations 
and degrees of curvature.
    (d) Qualified equipment may be operated at curving speeds determined 
by the formula in paragraph (c) of this section, provided each specific 
class of equipment is approved for operation by the Federal Railroad 
Administration and the railroad demonstrates that:
    (1) When positioned on a track with a uniform 4-inch superelevation, 
the roll angle between the floor of the equipment and the horizontal 
does not exceed 5.7 degrees; and
    (2) When positioned on a track with a uniform 6 inch superelevation, 
no wheel of the equipment unloads to a value of 60 percent of its static 
value on perfectly level track, and the roll angle between the floor of 
the equipment and the horizontal does not exceed 8.6 degrees.
    (3) The track owner shall notify the Federal Railroad Administrator 
no less than 30 calendar days prior to the proposed implementation of 
the higher curving speeds allowed under the formula in paragraph (c) of 
this section. The notification shall be in writing and shall contain, at 
a minimum, the following information--
    (i) A complete description of the class of equipment involved, 
including schematic diagrams of the suspension systems and the location 
of the center of gravity above top of rail;
    (ii) A complete description of the test procedure \3\ and 
instrumentation used to qualify the equipment and the maximum values for 
wheel unloading and roll angles which were observed during testing;
---------------------------------------------------------------------------

    \3\ The test procedure may be conducted in a test facility whereby 
all the wheels on one side (right or left) of the equipment are 
alternately raised and lowered by 4 and 6 inches and the vertical wheel 
loads under each wheel are measured and a level is used to record the 
angle through which the floor of the equipment has been rotated.
---------------------------------------------------------------------------

    (iii) Procedures or standards in effect which relate to the 
maintenance of the suspension system for the particular class of 
equipment; and
    (iv) Identification of line segment on which the higher curving 
speeds are proposed to be implemented.
    (e) A track owner, or an operator of a passenger or commuter 
service, who

[[Page 84]]

provides passenger or commuter service over trackage of more than one 
track owner with the same class of equipment may provide written 
notification to the Federal Railroad Administrator with the written 
consent of the other affected track owners.
    (f) Equipment presently operating at curving speeds allowed under 
the formula in paragraph (c) of this section, by reason of conditional 
waivers granted by the Federal Railroad Administration, shall be 
considered to have successfully complied with the requirements of 
paragraph (d) of this section.
    (g) A track owner or a railroad operating above Class 5 speeds, may 
request approval from the Federal Railroad Administrator to operate 
specified equipment at a level of cant deficiency greater than four 
inches in accordance with Sec. 213.329(c) and (d) on curves in Class 1 
through 5 track which are contiguous to the high speed track provided 
that--
    (1) The track owner or railroad submits a test plan to the Federal 
Railroad Administrator for approval no less than thirty calendar days 
prior to any proposed implementation of the higher curving speeds. The 
test plan shall include an analysis and determination of carbody 
acceleration safety limits for each vehicle type which indicate wheel 
unloading of 60 percent in a steady state condition and 80 percent in a 
transient (point by point) condition. Accelerometers shall be laterally-
oriented and floor-mounted near the end of a representative vehicle of 
each type;
    (2) Upon FRA approval of a test plan, the track owner or railroad 
conducts incrementally increasing train speed test runs over the curves 
in the identified track segment(s) to demonstrate that wheel unloading 
is within the limits prescribed in paragraph (g)(1) of this section;
    (3) Upon FRA approval of a cant deficiency level, the track owner or 
railroad inspects the curves in the identified track segment with a 
Track Geometry Measurement System (TGMS) qualified in accordance with 
Sec. 213.333 (b) through (g) at an inspection frequency of at least 
twice annually with not less than 120 days interval between inspections; 
and
    (4) The track owner or railroad operates an instrumented car having 
dynamic response characteristics that are representative of other 
equipment assigned to service or a portable device that monitors on-
board instrumentation on trains over the curves in the identified track 
segment at the revenue speed profile at a frequency of at least once 
every 90-day period with not less than 30 days interval between 
inspections. The instrumented car or the portable device shall monitor a 
laterally-oriented accelerometer placed near the end of the vehicle at 
the floor level. If the carbody lateral acceleration measurement exceeds 
the safety limits prescribed in paragraph (g)(1), the railroad shall 
operate trains at curving speeds in accordance with paragraph (b) or (c) 
of this section; and
    (5) The track owner or railroad shall maintain a copy of the most 
recent exception printouts for the inspections required under paragraphs 
(g)(3) and (4) of this section.

[63 FR 34029, June 22, 1998; 63 FR 54078, Oct. 8, 1998]



Sec. 213.59  Elevation of curved track; runoff.

    (a) If a curve is elevated, the full elevation shall be provided 
throughout the curve, unless physical conditions do not permit. If 
elevation runoff occurs in a curve, the actual minimum elevation shall 
be used in computing the maximum allowable operating speed for that 
curve under Sec. 213.57(b).
    (b) Elevation runoff shall be at a uniform rate, within the limits 
of track surface deviation prescribed in Sec. 213.63, and it shall 
extend at least the full length of the spirals. If physical conditions 
do not permit a spiral long enough to accommodate the minimum length of 
runoff, part of the runoff may be on tangent track.



Sec. 213.63  Track surface.

    Each owner of the track to which this part applies shall maintain 
the surface of its track within the limits prescribed in the following 
table:

[[Page 85]]



----------------------------------------------------------------------------------------------------------------
                                                                               Class of track
                                                          ------------------------------------------------------
                      Track surface                            1          2          3          4          5
                                                            (inches)   (inches)   (inches)   (inches)   (inches)
----------------------------------------------------------------------------------------------------------------
The runoff in any 31 feet of rail at the end of a raise       3\1/2\          3          2     1\1/2\          1
 may not be more than....................................
The deviation from uniform profile on either rail at the           3     2\3/4\     2\1/4\          2     1\1/4\
 mid-ordinate of a 62-foot chord may not be more than....
The deviation from zero crosslevel at any point on                 3          2     1\3/4\     1\1/4\          1
 tangent or reverse crosslevel elevation on curves may
 not be more than........................................
The difference in crosslevel between any two points less           3     2\1/4\          2     1\3/4\     1\1/2\
 than 62 feet apart may not be more than* 1,  2..........
* Where determined by engineering decision prior to the            2     1\3/4\     1\1/4\          1      \3/4\
 promulgation of this rule, due to physical restrictions
 on spiral length and operating practices and experience,
 the variation in crosslevel on spirals per 31 feet may
 not be more than........................................
----------------------------------------------------------------------------------------------------------------
\1\ Except as limited by Sec.  213.57(a), where the elevation at any point in a curve equals or exceeds 6
  inches, the difference in crosslevel within 62 feet between that point and a point with greater elevation may
  not be more than 1\1/2\ inches. (Footnote 1 is applicable September 21, 1999.)
\2\ However, to control harmonics on Class 2 through 5 jointed track with staggered joints, the crosslevel
  differences shall not exceed 1\1/4\ inches in all of six consecutive pairs of joints, as created by 7 low
  joints. Track with joints staggered less than 10 feet shall not be considered as having staggered joints.
  Joints within the 7 low joints outside of the regular joint spacing shall not be considered as joints for
  purposes of this footnote. (Footnote 2 is applicable September 21, 1999.)


[63 FR 34029, June 22, 1998; 63 FR 45959, Aug. 28, 1998]



                       Subpart D--Track Structure



Sec. 213.101  Scope.

    This subpart prescribes minimum requirements for ballast, crossties, 
track assembly fittings, and the physical conditions of rails.



Sec. 213.103  Ballast; general.

    Unless it is otherwise structurally supported, all track shall be 
supported by material which will --
    (a) Transmit and distribute the load of the track and railroad 
rolling equipment to the subgrade;
    (b) Restrain the track laterally, longitudinally, and vertically 
under dynamic loads imposed by railroad rolling equipment and thermal 
stress exerted by the rails;
    (c) Provide adequate drainage for the track; and
    (d) Maintain proper track crosslevel, surface, and alinement.



Sec. 213.109  Crossties.

    (a) Crossties shall be made of a material to which rail can be 
securely fastened.
    (b) Each 39 foot segment of track shall have--
    (1) A sufficient number of crossties which in combination provide 
effective support that will--
    (i) Hold gage within the limits prescribed in Sec. 213.53(b);
    (ii) Maintain surface within the limits prescribed in Sec. 213.63; 
and
    (iii) Maintain alinement within the limits prescribed in 
Sec. 213.55.
    (2) The minimum number and type of crossties specified in paragraphs 
(c) and (d) of this section effectively distributed to support the 
entire segment; and
    (3) At least one crosstie of the type specified in paragraphs (c) 
and (d) of this section that is located at a joint location as specified 
in paragraph (f) of this section.
    (c) Each 39 foot segment of: Class 1 track shall have five 
crossties; Classes 2 and 3 track shall have eight crossties; and Classes 
4 and 5 track shall have 12 crossties, which are not:
    (1) Broken through;
    (2) Split or otherwise impaired to the extent the crossties will 
allow the ballast to work through, or will not hold spikes or rail 
fasteners;
    (3) So deteriorated that the tie plate or base of rail can move 
laterally more than \1/2\ inch relative to the crossties; or
    (4) Cut by the tie plate through more than 40 percent of a ties' 
thickness.
    (d) Each 39 foot segment of track shall have the minimum number and 
type of crossties as indicated in the following table (this paragraph 
(d) is applicable September 21, 2000).

[[Page 86]]



------------------------------------------------------------------------
                                                                Turnouts
                                                    Tangent       and
                                                   track and     curved
                 Class of track                   curves 2      over 2
                                                    degrees     degrees
------------------------------------------------------------------------
Class 1 track..................................            5           6
Class 2 track..................................            8           9
Class 3 track..................................            8          10
Class 4 and 5 track............................           12          14
------------------------------------------------------------------------

    (e) Crossties counted to satisfy the requirements set forth in the 
table in paragraph (d) of this section shall not be--
    (1) Broken through;
    (2) Split or otherwise impaired to the extent the crossties will 
allow the ballast to work through, or will not hold spikes or rail 
fasteners;
    (3) So deteriorated that the tie plate or base of rail can move 
laterally \1/2\ inch relative to the crossties; or
    (4) Cut by the tie plate through more than 40 percent of a 
crosstie's thickness (this paragraph (e) is applicable September 21, 
2000).
    (f) Class 1 and Class 2 track shall have one crosstie whose 
centerline is within 24 inches of each rail joint location, and Classes 
3 through 5 track shall have one crosstie whose centerline is within 18 
inches of each rail joint location or, two crossties whose centerlines 
are within 24 inches either side of each rail joint location. The 
relative position of these ties is described in the following diagrams:

[GRAPHIC] [TIFF OMITTED] TR22JN98.003

Each rail joint in Classes 1 and 2 track shall be supported by at least 
 one crosstie specified in paragraphs (c) and (d) of this section whose 
                  centerline is within 48" shown above.
[GRAPHIC] [TIFF OMITTED] TR22JN98.004


[[Page 87]]



   Each rail joint in Classes 3 through 5 track shall be supported by 
either at least one crosstie specified in paragraphs (c) and (d) of this 
         section whose centerline is within 36" shown above, or:
[GRAPHIC] [TIFF OMITTED] TR22JN98.005

Two crossties, one on each side of the rail joint, whose centerlines are 
           within 24" of the rail joint location shown above.

    (g) For track constructed without crossties, such as slab track, 
track connected directly to bridge structural components and track over 
servicing pits, the track structure shall meet the requirements of 
paragraphs (b)(1)(i), (ii), and (iii) of this section.

[63 FR 34029, June 22, 1998; 63 FR 46102, Aug. 28, 1998]



Sec. 213.113  Defective rails.

    (a) When an owner of track to which this part applies learns, 
through inspection or otherwise, that a rail in that track contains any 
of the defects listed in the following table, a person designated under 
Sec. 213.7 shall determine whether or not the track may continue in use. 
If he determines that the track may continue in use, operation over the 
defective rail is not permitted until--
    (1) The rail is replaced; or
    (2) The remedial action prescribed in the table is initiated.

[[Page 88]]

[GRAPHIC] [TIFF OMITTED] TN28SE98.059


    Notes A. Assign person designated under Sec. 213.7 to visually 
supervise each operation over defective rail.
    A2. Assign person designated under Sec. 213.7 to make visual 
inspection. After a visual inspection, that person may authorize 
operation to continue without continuous visual

[[Page 89]]

supervision at a maximum of 10 m.p.h. for up to 24 hours prior to 
another such visual inspection or replacement or repair of the rail.
    B. Limit operating speed over defective rail to that as authorized 
by a person designated under Sec. 213.7(a), who has at least one year of 
supervisory experience in railroad track maintenance. The operating 
speed cannot be over 30 m.p.h. or the maximum allowable speed under 
Sec. 213.9 for the class of track concerned, whichever is lower.
    C. Apply joint bars bolted only through the outermost holes to 
defect within 20 days after it is determined to continue the track in 
use. In the case of Classes 3 through 5 track, limit operating speed 
over defective rail to 30 m.p.h. until joint bars are applied; 
thereafter, limit speed to 50 m.p.h. or the maximum allowable speed 
under Sec. 213.9 for the class of track concerned, whichever is lower. 
When a search for internal rail defects is conducted under Sec. 213.237, 
and defects are discovered in Classes 3 through 5 which require remedial 
action C, the operating speed shall be limited to 50 m.p.h., or the 
maximum allowable speed under Sec. 213.9 for the class of track 
concerned, whichever is lower, for a period not to exceed 4 days. If the 
defective rail has not been removed from the track or a permanent repair 
made within 4 days of the discovery, limit operating speed over the 
defective rail to 30 m.p.h. until joint bars are applied; thereafter, 
limit speed to 50 m.p.h. or the maximum allowable speed under Sec. 213.9 
for the class of track concerned, whichever is lower.
    D. Apply joint bars bolted only through the outermost holes to 
defect within 10 days after it is determined to continue the track in 
use. In the case of Classes 3 through 5 track, limit operating speed 
over the defective rail to 30 m.p.h. or less as authorized by a person 
designated under Sec. 213.7(a), who has at least one year of supervisory 
experience in railroad track maintenance, until joint bars are applied; 
thereafter, limit speed to 50 m.p.h. or the maximum allowable speed 
under Sec. 213.9 for the class of track concerned, whichever is lower.
    E. Apply joint bars to defect and bolt in accordance with 
Sec. 213.121(d) and (e).
    F. Inspect rail 90 days after it is determined to continue the track 
in use.
    G. Inspect rail 30 days after it is determined to continue the track 
in use.
    H. Limit operating speed over defective rail to 50 m.p.h. or the 
maximum allowable speed under Sec. 213.9 for the class of track 
concerned, whichever is lower.
    I. Limit operating speed over defective rail to 30 m.p.h. or the 
maximum allowable speed under Sec. 213.9 for the class of track 
concerned, whichever is lower.

    (b) As used in this section--
    (1) Transverse fissure means a progressive crosswise fracture 
starting from a crystalline center or nucleus inside the head from which 
it spreads outward as a smooth, bright, or dark, round or oval surface 
substantially at a right angle to the length of the rail. The 
distinguishing features of a transverse fissure from other types of 
fractures or defects are the crystalline center or nucleus and the 
nearly smooth surface of the development which surrounds it.
    (2) Compound fissure means a progressive fracture originating in a 
horizontal split head which turns up or down in the head of the rail as 
a smooth, bright, or dark surface progressing until substantially at a 
right angle to the length of the rail. Compound fissures require 
examination of both faces of the fracture to locate the horizontal split 
head from which they originate.
    (3) Horizontal split head means a horizontal progressive defect 
originating inside of the rail head, usually one-quarter inch or more 
below the running surface and progressing horizontally in all 
directions, and generally accompanied by a flat spot on the running 
surface. The defect appears as a crack lengthwise of the rail when it 
reaches the side of the rail head.
    (4) Vertical split head means a vertical split through or near the 
middle of the head, and extending into or through it. A crack or rust 
streak may show under the head close to the web or pieces may be split 
off the side of the head.
    (5) Split web means a lengthwise crack along the side of the web and 
extending into or through it.
    (6) Piped rail means a vertical split in a rail, usually in the web, 
due to failure of the shrinkage cavity in the ingot to unite in rolling.
    (7) Broken base means any break in the base of the rail.
    (8) Detail fracture means a progressive fracture originating at or 
near the surface of the rail head. These fractures should not be 
confused with transverse fissures, compound fissures, or other defects 
which have internal origins. Detail fractures may arise from shelly 
spots, head checks, or flaking.
    (9) Engine burn fracture means a progressive fracture originating in 
spots where driving wheels have slipped on top of the rail head. In 
developing downward they frequently resemble the

[[Page 90]]

compound or even transverse fissures with which they should not be 
confused or classified.
    (10) Ordinary break means a partial or complete break in which there 
is no sign of a fissure, and in which none of the other defects 
described in this paragraph (b) are found.
    (11) Damaged rail means any rail broken or injured by wrecks, 
broken, flat, or unbalanced wheels, slipping, or similar causes.
    (12) Flattened rail means a short length of rail, not at a joint, 
which has flattened out across the width of the rail head to a depth of 
\3/8\ inch or more below the rest of the rail. Flattened rail 
occurrences have no repetitive regularity and thus do not include 
corrugations, and have no apparent localized cause such as a weld or 
engine burn. Their individual length is relatively short, as compared to 
a condition such as head flow on the low rail of curves.
    (13) Bolt hole crack means a crack across the web, originating from 
a bolt hole, and progressing on a path either inclined upward toward the 
rail head or inclined downward toward the base. Fully developed bolt 
hole cracks may continue horizontally along the head/web or base/web 
fillet, or they may progress into and through the head or base to 
separate a piece of the rail end from the rail. Multiple cracks 
occurring in one rail end are considered to be a single defect. However, 
bolt hole cracks occurring in adjacent rail ends within the same joint 
must be reported as separate defects.
    (14) Defective weld means a field or plant weld containing any 
discontinuities or pockets, exceeding 5 percent of the rail head area 
individually or 10 percent in the aggregate, oriented in or near the 
transverse plane, due to incomplete penetration of the weld metal 
between the rail ends, lack of fusion between weld and rail end metal, 
entrainment of slag or sand, under-bead or other shrinkage cracking, or 
fatigue cracking. Weld defects may originate in the rail head, web, or 
base, and in some cases, cracks may progress from the defect into either 
or both adjoining rail ends.
    (15) Head and web separation means a progressive fracture, 
longitudinally separating the head from the web of the rail at the head 
fillet area.

[63 FR 34029, June 22, 1998; 63 FR 51639, Sept. 28, 1998]



Sec. 213.115  Rail end mismatch.

    Any mismatch of rails at joints may not be more than that prescribed 
by the following table--

------------------------------------------------------------------------
                                     Any mismatch of rails at joints may
                                      not be more than the following--
                                   -------------------------------------
          Class of track             On the tread of    On the gage side
                                      the rail ends     of the rail ends
                                          (inch)             (inch)
------------------------------------------------------------------------
Class 1 track.....................              \1/4\              \1/4\
Class 2 track.....................              \1/4\             \3/16\
Class 3 track.....................             \3/16\             \3/16\
Class 4 and 5 track...............              \1/8\              \1/8\
------------------------------------------------------------------------



Sec. 213.119  Continuous welded rail (CWR); general.

    Each track owner with track constructed of CWR shall have in effect 
and comply with written procedures which address the installation, 
adjustment, maintenance and inspection of CWR, and a training program 
for the application of those procedures, which shall be submitted to the 
Federal Railroad Administration by March 22, 1999. FRA reviews each plan 
for compliance with the following--
    (a) Procedures for the installation and adjustment of CWR which 
include--
    (1) Designation of a desired rail installation temperature range for 
the geographic area in which the CWR is located; and
    (2) De-stressing procedures/methods which address proper attainment 
of the desired rail installation temperature range when adjusting CWR.
    (b) Rail anchoring or fastening requirements that will provide 
sufficient

[[Page 91]]

restraint to limit longitudinal rail and crosstie movement to the extent 
practical, and specifically addressing CWR rail anchoring or fastening 
patterns on bridges, bridge approaches, and at other locations where 
possible longitudinal rail and crosstie movement associated with 
normally expected train-induced forces, is restricted.
    (c) Procedures which specifically address maintaining a desired rail 
installation temperature range when cutting CWR including rail repairs, 
in-track welding, and in conjunction with adjustments made in the area 
of tight track, a track buckle, or a pull-apart. Rail repair practices 
shall take into consideration existing rail temperature so that--
    (1) When rail is removed, the length installed shall be determined 
by taking into consideration the existing rail temperature and the 
desired rail installation temperature range; and
    (2) Under no circumstances should rail be added when the rail 
temperature is below that designated by paragraph (a)(1) of this 
section, without provisions for later adjustment.
    (d) Procedures which address the monitoring of CWR in curved track 
for inward shifts of alinement toward the center of the curve as a 
result of disturbed track.
    (e) Procedures which control train speed on CWR track when--
    (1) Maintenance work, track rehabilitation, track construction, or 
any other event occurs which disturbs the roadbed or ballast section and 
reduces the lateral or longitudinal resistance of the track; and
    (2) In formulating the procedures under this paragraph (e), the 
track owner shall--
    (i) Determine the speed required, and the duration and subsequent 
removal of any speed restriction based on the restoration of the 
ballast, along with sufficient ballast re-consolidation to stabilize the 
track to a level that can accommodate expected train-induced forces. 
Ballast re-consolidation can be achieved through either the passage of 
train tonnage or mechanical stabilization procedures, or both; and
    (ii) Take into consideration the type of crossties used.
    (f) Procedures which prescribe when physical track inspections are 
to be performed to detect buckling prone conditions in CWR track. At a 
minimum, these procedures shall address inspecting track to identify--
    (1) Locations where tight or kinky rail conditions are likely to 
occur;
    (2) Locations where track work of the nature described in paragraph 
(e)(1) of this section have recently been performed; and
    (3) In formulating the procedures under this paragraph (f), the 
track owner shall--
    (i) Specify the timing of the inspection; and
    (ii) Specify the appropriate remedial actions to be taken when 
buckling prone conditions are found.
    (g) The track owner shall have in effect a comprehensive training 
program for the application of these written CWR procedures, with 
provisions for periodic re-training, for those individuals designated 
under Sec. 213.7 of this part as qualified to supervise the 
installation, adjustment, and maintenance of CWR track and to perform 
inspections of CWR track.
    (h) The track owner shall prescribe recordkeeping requirements 
necessary to provide an adequate history of track constructed with CWR. 
At a minimum, these records must include:
    (1) Rail temperature, location and date of CWR installations. This 
record shall be retained for at least one year; and
    (2) A record of any CWR installation or maintenance work that does 
not conform with the written procedures. Such record shall include the 
location of the rail and be maintained until the CWR is brought into 
conformance with such procedures.
    (i) As used in this section--
    (1) Adjusting/de-stressing means the procedure by which a rail's 
temperature is re-adjusted to the desired value. It typically consists 
of cutting the rail and removing rail anchoring devices, which provides 
for the necessary expansion and contraction, and then re-assembling the 
track.
    (2) Buckling incident means the formation of a lateral mis-alinement 
sufficient in magnitude to constitute a deviation from the Class 1 
requirements

[[Page 92]]

specified in Sec. 213.55 of this part. These normally occur when rail 
temperatures are relatively high and are caused by high longitudinal 
compressive forces.
    (3) Continuous welded rail (CWR) means rail that has been welded 
together into lengths exceeding 400 feet.
    (4) Desired rail installation temperature range means the rail 
temperature range, within a specific geographical area, at which forces 
in CWR should not cause a buckling incident in extreme heat, or a pull-
apart during extreme cold weather.
    (5) Disturbed track means the disturbance of the roadbed or ballast 
section, as a result of track maintenance or any other event, which 
reduces the lateral or longitudinal resistance of the track, or both.
    (6) Mechanical stabilization means a type of procedure used to 
restore track resistance to disturbed track following certain 
maintenance operations. This procedure may incorporate dynamic track 
stabilizers or ballast consolidators, which are units of work equipment 
that are used as a substitute for the stabilization action provided by 
the passage of tonnage trains.
    (7) Rail anchors means those devices which are attached to the rail 
and bear against the side of the crosstie to control longitudinal rail 
movement. Certain types of rail fasteners also act as rail anchors and 
control longitudinal rail movement by exerting a downward clamping force 
on the upper surface of the rail base.
    (8) Rail temperature means the temperature of the rail, measured 
with a rail thermometer.
    (9) Tight/kinky rail means CWR which exhibits minute alinement 
irregularities which indicate that the rail is in a considerable amount 
of compression.
    (10) Train-induced forces means the vertical, longitudinal, and 
lateral dynamic forces which are generated during train movement and 
which can contribute to the buckling potential.
    (11) Track lateral resistance means the resistance provided to the 
rail/crosstie structure against lateral displacement.
    (12) Track longitudinal resistance means the resistance provided by 
the rail anchors/rail fasteners and the ballast section to the rail/
crosstie structure against longitudinal displacement.

[63 FR 34029, June 22, 1998; 63 FR 46102, Aug. 28, 1998; 63 FR 49382, 
Sept. 15, 1998]



Sec. 213.121  Rail joints.

    (a) Each rail joint, insulated joint, and compromise joint shall be 
of a structurally sound design and dimensions for the rail on which it 
is applied.
    (b) If a joint bar on Classes 3 through 5 track is cracked, broken, 
or because of wear allows excessive vertical movement of either rail 
when all bolts are tight, it shall be replaced.
    (c) If a joint bar is cracked or broken between the middle two bolt 
holes it shall be replaced.
    (d) In the case of conventional jointed track, each rail shall be 
bolted with at least two bolts at each joint in Classes 2 through 5 
track, and with at least one bolt in Class 1 track.
    (e) In the case of continuous welded rail track, each rail shall be 
bolted with at least two bolts at each joint.
    (f) Each joint bar shall be held in position by track bolts 
tightened to allow the joint bar to firmly support the abutting rail 
ends and to allow longitudinal movement of the rail in the joint to 
accommodate expansion and contraction due to temperature variations. 
When no-slip, joint-to-rail contact exists by design, the requirements 
of this paragraph do not apply. Those locations when over 400 feet in 
length, are considered to be continuous welded rail track and shall meet 
all the requirements for continuous welded rail track prescribed in this 
part.
    (g) No rail shall have a bolt hole which is torch cut or burned in 
Classes 2 through 5 track. For Class 2 track, this paragraph (g) is 
applicable September 21, 1999.
    (h) No joint bar shall be reconfigured by torch cutting in Classes 3 
through 5 track.



Sec. 213.122  Torch cut rail.

    (a) Except as a temporary repair in emergency situations no rail 
having a torch cut end shall be used in Classes 3 through 5 track. When 
a rail end is torch cut in emergency situations, train speed over that 
rail end shall not exceed the maximum allowable for Class 2 track. For 
existing torch cut

[[Page 93]]

rail ends in Classes 3 through 5 track the following shall apply--
    (1) Within one year of September 21, 1998, all torch cut rail ends 
in Class 5 track shall be removed;
    (2) Within two years of September 21, 1998, all torch cut rail ends 
in Class 4 track shall be removed; and
    (3) Within one year of September 21, 1998, all torch cut rail ends 
in Class 3 track over which regularly scheduled passenger trains 
operate, shall be inventoried by the track owner.
    (b) Following the expiration of the time limits specified in 
paragraphs (a)(1), (2), and (3) of this section, any torch cut rail end 
not removed from Classes 4 and 5 track, or any torch cut rail end not 
inventoried in Class 3 track over which regularly scheduled passenger 
trains operate, shall be removed within 30 days of discovery. Train 
speed over that rail end shall not exceed the maximum allowable for 
Class 2 track until removed.



Sec. 213.123  Tie plates.

    (a) In Classes 3 through 5 track where timber crossties are in use 
there shall be tie plates under the running rails on at least eight of 
any 10 consecutive ties.
    (b) In Classes 3 through 5 track no metal object which causes a 
concentrated load by solely supporting a rail shall be allowed between 
the base of the rail and the bearing surface of the tie plate. This 
paragraph (b) is applicable September 21, 1999.)



Sec. 213.127  Rail fastening systems.

    Track shall be fastened by a system of components which effectively 
maintains gage within the limits prescribed in Sec. 213.53(b). Each 
component of each such system shall be evaluated to determine whether 
gage is effectively being maintained.



Sec. 213.133  Turnouts and track crossings generally.

    (a) In turnouts and track crossings, the fastenings shall be intact 
and maintained so as to keep the components securely in place. Also, 
each switch, frog, and guard rail shall be kept free of obstructions 
that may interfere with the passage of wheels.
    (b) Classes 3 through 5 track shall be equipped with rail anchoring 
through and on each side of track crossings and turnouts, to restrain 
rail movement affecting the position of switch points and frogs. For 
Class 3 track, this paragraph (b) is applicable September 21, 1999.)
    (c) Each flangeway at turnouts and track crossings shall be at least 
1\1/2\ inches wide.



Sec. 213.135  Switches.

    (a) Each stock rail must be securely seated in switch plates, but 
care shall be used to avoid canting the rail by overtightening the rail 
braces.
    (b) Each switch point shall fit its stock rail properly, with the 
switch stand in either of its closed positions to allow wheels to pass 
the switch point. Lateral and vertical movement of a stock rail in the 
switch plates or of a switch plate on a tie shall not adversely affect 
the fit of the switch point to the stock rail. Broken or cracked switch 
point rails will be subject to the requirements of Sec. 213.113, except 
that where remedial actions C, D, or E require the use of joint bars, 
and joint bars cannot be placed due to the physical configuration of the 
switch, remedial action B will govern, taking into account any added 
safety provided by the presence of reinforcing bars on the switch 
points.
    (c) Each switch shall be maintained so that the outer edge of the 
wheel tread cannot contact the gage side of the stock rail.
    (d) The heel of each switch rail shall be secure and the bolts in 
each heel shall be kept tight.
    (e) Each switch stand and connecting rod shall be securely fastened 
and operable without excessive lost motion.
    (f) Each throw lever shall be maintained so that it cannot be 
operated with the lock or keeper in place.
    (g) Each switch position indicator shall be clearly visible at all 
times.
    (h) Unusually chipped or worn switch points shall be repaired or 
replaced. Metal flow shall be removed to insure proper closure.
    (i) Tongue & Plain Mate switches, which by design exceed Class 1 and 
excepted track maximum gage limits, are

[[Page 94]]

permitted in Class 1 and excepted track.



Sec. 213.137  Frogs.

    (a) The flangeway depth measured from a plane across the wheel-
bearing area of a frog on Class 1 track shall not be less than 1\3/8\ 
inches, or less than 1\1/2\ inches on Classes 2 through 5 track.
    (b) If a frog point is chipped, broken, or worn more than five-
eighths inch down and 6 inches back, operating speed over the frog shall 
not be more than 10 m.p.h..
    (c) If the tread portion of a frog casting is worn down more than 
three-eighths inch below the original contour, operating speed over that 
frog shall not be more than 10 m.p.h..
    (d) Where frogs are designed as flange-bearing, flangeway depth may 
be less than that shown for Class 1 if operated at Class 1 speeds.



Sec. 213.139  Spring rail frogs.

    (a) The outer edge of a wheel tread shall not contact the gage side 
of a spring wing rail.
    (b) The toe of each wing rail shall be solidly tamped and fully and 
tightly bolted.
    (c) Each frog with a bolt hole defect or head-web separation shall 
be replaced.
    (d) Each spring shall have compression sufficient to hold the wing 
rail against the point rail.
    (e) The clearance between the holddown housing and the horn shall 
not be more than one-fourth of an inch.



Sec. 213.141  Self-guarded frogs.

    (a) The raised guard on a self-guarded frog shall not be worn more 
than three-eighths of an inch.
    (b) If repairs are made to a self-guarded frog without removing it 
from service, the guarding face shall be restored before rebuilding the 
point.



Sec. 213.143  Frog guard rails and guard faces; gage.

    The guard check and guard face gages in frogs shall be within the 
limits prescribed in the following table--

----------------------------------------------------------------------------------------------------------------
                                           Guard check gage  The distance
                                          between the gage line of a frog
                                            to the guard line \1\ of its   Guard face gage  The distance between
                                            guard rail or guarding face,    guard lines \1\, measured across the
             Class of track                 measured across the track at     track at right angles to the gage
                                           right angles to the gage line      line \2\, may not be more than--
                                            \2\, may not be less than--
 
----------------------------------------------------------------------------------------------------------------
Class 1 track...........................  4'6\1/8\"......................  4' 5\1/4\"
Class 2 track...........................  4'6\1/4\"......................  4' 5\1/8\"
Class 3 and 4 track.....................  4' 6\3/8\".....................  4'5\1/8\"
Class 5 track...........................  4'6\1/2\"......................  4' 5"
----------------------------------------------------------------------------------------------------------------
\1\ A line along that side of the flangeway which is nearer to the center of the track and at the same elevation
  as the gage line.
\2\ A line \5/8\ inch below the top of the center line of the head of the running rail, or corresponding
  location of the tread portion of the track structure.


  [GRAPHIC] [TIFF OMITTED] TR22JN98.006
  

[[Page 95]]

[GRAPHIC] [TIFF OMITTED] TR22JN98.007




          Subpart E--Track Appliances and Track-Related Devices



Sec. 213.201  Scope.

    This subpart prescribes minimum requirements for certain track 
appliances and track-related devices.



Sec. 213.205  Derails.

    (a) Each derail shall be clearly visible.
    (b) When in a locked position, a derail shall be free of lost motion 
which would prevent it from performing its intended function.
    (c) Each derail shall be maintained to function as intended.
    (d) Each derail shall be properly installed for the rail to which it 
is applied. (This paragraph (d) is applicable September 21, 1999.)



                          Subpart F--Inspection



Sec. 213.231  Scope.

    This subpart prescribes requirements for the frequency and manner of 
inspecting track to detect deviations from the standards prescribed in 
this part.



Sec. 213.233  Track inspections.

    (a) All track shall be inspected in accordance with the schedule 
prescribed in paragraph (c) of this section by a person designated under 
Sec. 213.7.
    (b) Each inspection shall be made on foot or by riding over the 
track in a vehicle at a speed that allows the person making the 
inspection to visually inspect the track structure for compliance with 
this part. However, mechanical, electrical, and other track inspection 
devices may be used to supplement visual inspection. If a vehicle is 
used for visual inspection, the speed of the vehicle may not be more 
than 5 miles per hour when passing over track crossings and turnouts, 
otherwise, the inspection vehicle speed shall be at the sole discretion 
of the inspector, based on track conditions and inspection requirements. 
When riding over the track in a vehicle, the inspection will be subject 
to the following conditions--
    (1) One inspector in a vehicle may inspect up to two tracks at one 
time provided that the inspector's visibility remains unobstructed by 
any cause and that the second track is not centered more than 30 feet 
from the track upon which the inspector is riding;
    (2) Two inspectors in one vehicle may inspect up to four tracks at a 
time provided that the inspectors' visibility remains unobstructed by 
any cause and that each track being inspected is centered within 39 feet 
from the track upon which the inspectors are riding;
    (3) Each main track is actually traversed by the vehicle or 
inspected on foot at least once every two weeks, and each siding is 
actually traversed by the vehicle or inspected on foot at least once 
every month. On high density commuter railroad lines where track time 
does not permit an on track vehicle inspection, and where track centers 
are 15 foot or less, the requirements of this paragraph (b)(3) will not 
apply; and
    (4) Track inspection records shall indicate which track(s) are 
traversed by the vehicle or inspected on foot as outlined in paragraph 
(b)(3) of this section.
    (c) Each track inspection shall be made in accordance with the 
following schedule--

[[Page 96]]



------------------------------------------------------------------------
       Class of track             Type of track      Required frequency
------------------------------------------------------------------------
Excepted track and Class 1,   Main track and        Weekly with at least
 2, and 3 track.               sidings.              3 calendar days
                                                     interval between
                                                     inspections, or
                                                     before use, if the
                                                     track is used less
                                                     than once a week,
                                                     or twice weekly
                                                     with at least 1
                                                     calendar day
                                                     interval between
                                                     inspections, if the
                                                     track carries
                                                     passenger trains or
                                                     more than 10
                                                     million gross tons
                                                     of traffic during
                                                     the preceding
                                                     calendar year.
Excepted track and Class 1,   Other than main       Monthly with at
 2, and 3 track.               track and sidings.    least 20 calendar
                                                     days interval
                                                     between
                                                     inspections.
Class 4 and 5 track.........  ....................  Twice weekly with at
                                                     least 1 calendar
                                                     day interval
                                                     between
                                                     inspections.
------------------------------------------------------------------------

    (d) If the person making the inspection finds a deviation from the 
requirements of this part, the inspector shall immediately initiate 
remedial action.

    Note to Sec. 213.233: Except as provided in paragraph (b) of this 
section, no part of this section will in any way be construed to limit 
the inspector's discretion as it involves inspection speed and sight 
distance.



Sec. 213.235  Inspection of switches, track crossings, and lift rail assemblies or other transition devices on moveable bridges.

    (a) Except as provided in paragraph (c) of this section, each 
switch, turnout, track crossing, and moveable bridge lift rail assembly 
or other transition device shall be inspected on foot at least monthly.
    (b) Each switch in Classes 3 through 5 track that is held in 
position only by the operating mechanism and one connecting rod shall be 
operated to all of its positions during one inspection in every 3 month 
period.
    (c) In the case of track that is used less than once a month, each 
switch, turnout, track crossing, and moveable bridge lift rail assembly 
or other transition device shall be inspected on foot before it is used.



Sec. 213.237  Inspection of rail.

    (a) In addition to the track inspections required by Sec. 213.233, a 
continuous search for internal defects shall be made of all rail in 
Classes 4 through 5 track, and Class 3 track over which passenger trains 
operate, at least once every 40 million gross tons (mgt) or once a year, 
whichever interval is shorter. On Class 3 track over which passenger 
trains do not operate such a search shall be made at least once every 30 
mgt or once a year, whichever interval is longer. (This paragraph (a) is 
applicable January 1, 1999.
    (b) Inspection equipment shall be capable of detecting defects 
between joint bars, in the area enclosed by joint bars.
    (c) Each defective rail shall be marked with a highly visible 
marking on both sides of the web and base.
    (d) If the person assigned to operate the rail defect detection 
equipment being used determines that, due to rail surface conditions, a 
valid search for internal defects could not be made over a particular 
length of track, the test on that particular length of track cannot be 
considered as a search for internal defects under paragraph (a) of this 
section. (This paragraph (d) is not retroactive to tests performed prior 
to September 21, 1998.
    (e) If a valid search for internal defects cannot be conducted for 
reasons described in paragraph (d) of this section, the track owner 
shall, before the expiration of time or tonnage limits--
    (1) Conduct a valid search for internal defects;
    (2) Reduce operating speed to a maximum of 25 miles per hour until 
such time as a valid search for internal defects can be made; or
    (3) Remove the rail from service.



Sec. 213.239  Special inspections.

    In the event of fire, flood, severe storm, or other occurrence which 
might have damaged track structure, a special inspection shall be made 
of the track involved as soon as possible after the occurrence and, if 
possible, before the operation of any train over that track.

[[Page 97]]



Sec. 213.241  Inspection records.

    (a) Each owner of track to which this part applies shall keep a 
record of each inspection required to be performed on that track under 
this subpart.
    (b) Each record of an inspection under Secs. 213.4, 213.233, and 
213.235 shall be prepared on the day the inspection is made and signed 
by the person making the inspection. Records shall specify the track 
inspected, date of inspection, location and nature of any deviation from 
the requirements of this part, and the remedial action taken by the 
person making the inspection. The owner shall designate the location(s) 
where each original record shall be maintained for at least one year 
after the inspection covered by the record. The owner shall also 
designate one location, within 100 miles of each state in which they 
conduct operations, where copies of records which apply to those 
operations are either maintained or can be viewed following 10 days 
notice by the Federal Railroad Administration.
    (c) Rail inspection records shall specify the date of inspection, 
the location and nature of any internal defects found, the remedial 
action taken and the date thereof, and the location of any intervals of 
track not tested per Sec. 213.237(d). The owner shall retain a rail 
inspection record for at least two years after the inspection and for 
one year after remedial action is taken.
    (d) Each owner required to keep inspection records under this 
section shall make those records available for inspection and copying by 
the Federal Railroad Administration.
    (e) For purposes of compliance with the requirements of this 
section, an owner of track may maintain and transfer records through 
electronic transmission, storage, and retrieval provided that--
    (1) The electronic system be designed so that the integrity of each 
record is maintained through appropriate levels of security such as 
recognition of an electronic signature, or other means, which uniquely 
identify the initiating person as the author of that record. No two 
persons shall have the same electronic identity;
    (2) The electronic storage of each record shall be initiated by the 
person making the inspection within 24 hours following the completion of 
that inspection;
    (3) The electronic system shall ensure that each record cannot be 
modified in any way, or replaced, once the record is transmitted and 
stored;
    (4) Any amendment to a record shall be electronically stored apart 
from the record which it amends. Each amendment to a record shall be 
uniquely identified as to the person making the amendment;
    (5) The electronic system shall provide for the maintenance of 
inspection records as originally submitted without corruption or loss of 
data;
    (6) Paper copies of electronic records and amendments to those 
records, that may be necessary to document compliance with this part 
shall be made available for inspection and copying by the Federal 
Railroad Administration at the locations specified in paragraph (b) of 
this section; and
    (7) Track inspection records shall be kept available to persons who 
performed the inspections and to persons performing subsequent 
inspections.



        Subpart G--Train Operations at Track Classes 6 and Higher



Sec. 213.301  Scope of subpart.

    This subpart applies to all track used for the operation of trains 
at a speed greater than 90 m.p.h. for passenger equipment and greater 
than 80 m.p.h. for freight equipment.



Sec. 213.303  Responsibility for compliance.

    (a) Any owner of track to which this subpart applies who knows or 
has notice that the track does not comply with the requirements of this 
subpart, shall--
    (1) Bring the track into compliance; or
    (2) Halt operations over that track.
    (b) If an owner of track to which this subpart applies assigns 
responsibility for the track to another person (by lease or otherwise), 
notification of the assignment shall be provided to the appropriate FRA 
Regional Office at least 30 days in advance of the assignment. The 
notification may be made by any

[[Page 98]]

party to that assignment, but shall be in writing and include the 
following--
    (1) The name and address of the track owner;
    (2) The name and address of the person to whom responsibility is 
assigned (assignee);
    (3) A statement of the exact relationship between the track owner 
and the assignee;
    (4) A precise identification of the track;
    (5) A statement as to the competence and ability of the assignee to 
carry out the duties of the track owner under this subpart;
    (6) A statement signed by the assignee acknowledging the assignment 
to that person of responsibility for purposes of compliance with this 
subpart.
    (c) The Administrator may hold the track owner or the assignee or 
both responsible for compliance with this subpart and subject to the 
penalties under Sec. 213.15.
    (d) When any person, including a contractor for a railroad or track 
owner, performs any function required by this part, that person is 
required to perform that function in accordance with this part.



Sec. 213.305  Designation of qualified individuals; general qualifications.

    Each track owner to which this subpart applies shall designate 
qualified individuals responsible for the maintenance and inspection of 
track in compliance with the safety requirements prescribed in this 
subpart. Each individual, including a contractor or an employee of a 
contractor who is not a railroad employee, designated to:
    (a) Supervise restorations and renewals of track shall meet the 
following minimum requirements:
    (1) At least;
    (i) Five years of responsible supervisory experience in railroad 
track maintenance in track Class 4 or higher and the successful 
completion of a course offered by the employer or by a college level 
engineering program, supplemented by special on the job training 
emphasizing the techniques to be employed in the supervision, 
restoration, and renewal of high speed track; or
    (ii) A combination of at least one year of responsible supervisory 
experience in track maintenance in Class 4 or higher and the successful 
completion of a minimum of 80 hours of specialized training in the 
maintenance of high speed track provided by the employer or by a college 
level engineering program, supplemented by special on the job training 
provided by the employer with emphasis on the maintenance of high speed 
track; or
    (iii) A combination of at least two years of experience in track 
maintenance in track Class 4 or higher and the successful completion of 
a minimum of 120 hours of specialized training in the maintenance of 
high speed track provided by the employer or by a college level 
engineering program supplemented by special on the job training provided 
by the employer with emphasis on the maintenance of high speed track.
    (2) Demonstrate to the track owner that the individual:
    (i) Knows and understands the requirements of this subpart;
    (ii) Can detect deviations from those requirements; and
    (iii) Can prescribe appropriate remedial action to correct or safely 
compensate for those deviations; and
    (3) Be authorized in writing by the track owner to prescribe 
remedial actions to correct or safely compensate for deviations from the 
requirements of this subpart and successful completion of a recorded 
examination on this subpart as part of the qualification process.
    (b) Inspect track for defects shall meet the following minimum 
qualifications:
    (1) At least:
    (i) Five years of responsible experience inspecting track in Class 4 
or above and the successful completion of a course offered by the 
employer or by a college level engineering program, supplemented by 
special on the job training emphasizing the techniques to be employed in 
the inspection of high speed track; or
    (ii) A combination of at least one year of responsible experience in 
track inspection in Class 4 or above and the successful completion of a 
minimum of 80 hours of specialized training in the

[[Page 99]]

inspection of high speed track provided by the employer or by a college 
level engineering program, supplemented by special on the job training 
provided by the employer with emphasis on the inspection of high speed 
track; or
    (iii) A combination of at least two years of experience in track 
maintenance in Class 4 or above and the successful completion of a 
minimum of 120 hours of specialized training in the inspection of high 
speed track provided by the employer or from a college level engineering 
program, supplemented by special on the job training provided by the 
employer with emphasis on the inspection of high speed track.
    (2) Demonstrate to the track owner that the individual:
    (i) Knows and understands the requirements of this subpart;
    (ii) Can detect deviations from those requirements; and
    (iii) Can prescribe appropriate remedial action to correct or safely 
compensate for those deviations; and
    (3) Be authorized in writing by the track owner to prescribe 
remedial actions to correct or safely compensate for deviations from the 
requirements in this subpart and successful completion of a recorded 
examination on this subpart as part of the qualification process.
    (c) Individuals designated under paragraphs (a) or (b) of this 
section that inspect continuous welded rail (CWR) track or supervise the 
installation, adjustment, and maintenance of CWR in accordance with the 
written procedures established by the track owner shall have:
    (1) Current qualifications under either paragraph (a) or (b) of this 
section;
    (2) Successfully completed a training course of at least eight hours 
duration specifically developed for the application of written CWR 
procedures issued by the track owner; and
    (3) Demonstrated to the track owner that the individual:
    (i) Knows and understands the requirements of those written CWR 
procedures;
    (ii) Can detect deviations from those requirements; and
    (iii) Can prescribe appropriate remedial action to correct or safely 
compensate for those deviations; and
    (4) Written authorization from the track owner to prescribe remedial 
actions to correct or safely compensate for deviations from the 
requirements in those procedures and successful completion of a recorded 
examination on those procedures as part of the qualification process. 
The recorded examination may be written, or it may be a computer file 
with the results of an interactive training course.
    (d) Persons not fully qualified to supervise certain renewals and 
inspect track as outlined in paragraphs (a), (b) and (c) of this 
section, but with at least one year of maintenance of way or signal 
experience, may pass trains over broken rails and pull aparts provided 
that--
    (1) The track owner determines the person to be qualified and, as 
part of doing so, trains, examines, and re-examines the person 
periodically within two years after each prior examination on the 
following topics as they relate to the safe passage of trains over 
broken rails or pull aparts: rail defect identification, crosstie 
condition, track surface and alinement, gage restraint, rail end 
mismatch, joint bars, and maximum distance between rail ends over which 
trains may be allowed to pass. The sole purpose of the examination is to 
ascertain the person's ability to effectively apply these requirements 
and the examination may not be used to disqualify the person from other 
duties. A minimum of four hours training is adequate for initial 
training;
    (2) The person deems it safe, and train speeds are limited to a 
maximum of 10 m.p.h. over the broken rail or pull apart;
    (3) The person shall watch all movements over the broken rail or 
pull apart and be prepared to stop the train if necessary; and
    (4) Person(s) fully qualified under Sec. 213.305 of this subpart are 
notified and dispatched to the location as soon as practicable for the 
purpose of authorizing movements and effectuating temporary or permanent 
repairs.
    (e) With respect to designations under paragraphs (a), (b), (c) and 
(d) of

[[Page 100]]

this section, each track owner shall maintain written records of:
    (1) Each designation in effect;
    (2) The basis for each designation, including but not limited to:
    (i) The exact nature of any training courses attended and the dates 
thereof;
    (ii) The manner in which the track owner has determined a successful 
completion of that training course, including test scores or other 
qualifying results;
    (3) Track inspections made by each individual as required by 
Sec. 213.369. These records shall be made available for inspection and 
copying by the Federal Railroad Administration during regular business 
hours.

[63 FR 34029, June 22, 1998; 63 FR 45959, Aug. 28, 1998]



Sec. 213.307  Class of track: operating speed limits.

    (a) Except as provided in paragraph (b) of this section and 
Secs. 213.329, 213.337(a) and 213.345(c), the following maximum 
allowable operating speeds apply:

------------------------------------------------------------------------
     Over track that meets all of the          The maximum allowable
 requirements prescribed in this subpart    operating speed for trains 1
                  for--                                 is--
------------------------------------------------------------------------
Class 6 track............................  110 m.p.h.
Class 7 track............................  125 m.p.h.
Class 8 track............................  160 m.p.h.\2\
Class 9 track............................  200 m.p.h.
------------------------------------------------------------------------
1 Freight may be transported at passenger train speeds if the following
  conditions are met:
(1) The vehicles utilized to carry such freight are of equal dynamic
  performance and have been qualified in accordance with Sections
  213.345 and 213.329(d) of this subpart.
(2) The load distribution and securement in the freight vehicle will not
  adversely affect the dynamic performance of the vehicle. The axle
  loading pattern is uniform and does not exceed the passenger
  locomotive axle loadings utilized in passenger service operating at
  the same maximum speed.
(3) No carrier may accept or transport a hazardous material, as defined
  at 49 CFR 171.8, except as provided in Column 9A of the Hazardous
  Materials Table (49 CFR 172.101) for movement in the same train as a
  passenger-carrying vehicle or in Column 9B of the Table for movement
  in a train with no passenger-carrying vehicles.
2 Operating speeds in excess of 150 m.p.h. are authorized by this part
  only in conjunction with a rule of particular applicability addressing
  other safety issues presented by the system.

    (b) If a segment of track does not meet all of the requirements for 
its intended class, it is to be reclassified to the next lower class of 
track for which it does meet all of the requirements of this subpart. If 
a segment does not meet all of the requirements for Class 6, the 
requirements for Classes 1 through 5 apply.



Sec. 213.309  Restoration or renewal of track under traffic conditions.

    (a) Restoration or renewal of track under traffic conditions is 
limited to the replacement of worn, broken, or missing components or 
fastenings that do not affect the safe passage of trains.
    (b) The following activities are expressly prohibited under traffic 
conditions:
    (1) Any work that interrupts rail continuity, e.g., as in joint bar 
replacement or rail replacement;
    (2) Any work that adversely affects the lateral or vertical 
stability of the track with the exception of spot tamping an isolated 
condition where not more than 15 lineal feet of track are involved at 
any one time and the ambient air temperature is not above 95 degrees 
Fahrenheit; and
    (3) Removal and replacement of the rail fastenings on more than one 
tie at a time within 15 feet.



Sec. 213.311  Measuring track not under load.

    When unloaded track is measured to determine compliance with 
requirements of this subpart, evidence of rail movement, if any, that 
occurs while the track is loaded shall be added to the measurements of 
the unloaded track.



Sec. 213.317  Waivers.

    (a) Any owner of track to which this subpart applies may petition 
the Federal Railroad Administrator for a waiver from any or all 
requirements prescribed in this subpart.
    (b) Each petition for a waiver under this section shall be filed in 
the manner and contain the information required by Secs. 211.7 and 211.9 
of this chapter.
    (c) If the Administrator finds that a waiver is in the public 
interest and is consistent with railroad safety, the Administrator may 
grant the waiver subject to any conditions the Administrator deems 
necessary. Where a waiver is granted, the Administrator publishes a 
notice containing the reasons for granting the waiver.

[[Page 101]]



Sec. 213.319  Drainage.

    Each drainage or other water carrying facility under or immediately 
adjacent to the roadbed shall be maintained and kept free of 
obstruction, to accommodate expected water flow for the area concerned.



Sec. 213.321  Vegetation.

    Vegetation on railroad property which is on or immediately adjacent 
to roadbed shall be controlled so that it does not --
    (a) Become a fire hazard to track-carrying structures;
    (b) Obstruct visibility of railroad signs and signals:
    (1) Along the right of way, and
    (2) At highway-rail crossings;
    (c) Interfere with railroad employees performing normal trackside 
duties;
    (d) Prevent proper functioning of signal and communication lines; or
    (e) Prevent railroad employees from visually inspecting moving 
equipment from their normal duty stations.



Sec. 213.323  Track gage.

    (a) Gage is measured between the heads of the rails at right-angles 
to the rails in a plane five-eighths of an inch below the top of the 
rail head.
    (b) Gage shall be within the limits prescribed in the following 
table:

------------------------------------------------------------------------
                                                                   The
                                                                  change
                                                                 of gage
                                                                  within
         Class of track           The gage must   But not more   31 feet
                                  be at least--      than--        must
                                                                  not be
                                                                 greater
                                                                  than--
------------------------------------------------------------------------
6..............................  '8"...........  4'9\1/4\".....   \1/2\"
7..............................  4'8"..........  4'9\1/4\".....   \1/2\"
8..............................  4'8"..........  4'9\1/4\".....   \1/2\"
9..............................  4'8\1/4\".....  4'9\1/4\".....   \1/2\"
------------------------------------------------------------------------



Sec. 213.327  Alinement.

    (a) Uniformity at any point along the track is established by 
averaging the measured mid-chord offset values for nine consecutive 
points centered around that point and which are spaced according to the 
following table:

------------------------------------------------------------------------
                Chord length                           Spacing
------------------------------------------------------------------------
31'........................................  7'9"
62'........................................  15'6"
124'.......................................  31'0"
------------------------------------------------------------------------

    (b) For a single deviation, alinement may not deviate from 
uniformity more than the amount prescribed in the following table:

----------------------------------------------------------------------------------------------------------------
                                                                   The deviation   The deviation   The deviation
                                                                       from            from            from
                                                                   uniformity of   uniformity of   uniformity of
                                                                   the mid-chord   the mid-chord   the mid-chord
                         Class of track                            offset for a    offset for a    offset for a
                                                                   31-foot chord   62-foot chord  124-foot chord
                                                                    may not be      may not be      may not be
                                                                    more than--     more than--     more than--
                                                                     (inches)        (inches)        (inches)
----------------------------------------------------------------------------------------------------------------
6...............................................................           \1/2\           \3/4\          1\1/2\
7...............................................................           \1/2\           \1/2\          1\1/4\
8...............................................................           \1/2\           \1/2\           \3/4\
9...............................................................           \1/2\           \1/2\           \3/4\
----------------------------------------------------------------------------------------------------------------

    (c) For three or more non-overlapping deviations from uniformity in 
track alinement occurring within a distance equal to five times the 
specified chord length, each of which exceeds the limits in the 
following table, each owner of the track to which this subpart applies 
shall maintain the alinement of the track within the limits prescribed 
for each deviation:

----------------------------------------------------------------------------------------------------------------
                                                                   The deviation   The deviation   The deviation
                                                                       from            from            from
                                                                   uniformity of   uniformity of   uniformity of
                                                                   the mid-chord   the mid-chord   the mid-chord
                         Class of track                            offset for a    offset for a    offset for a
                                                                   31-foot chord   62-foot chord  124-foot chord
                                                                    may not be      may not be      may not be
                                                                    more than--     more than--     more than--
                                                                     (inches)        (inches)        (inches)
----------------------------------------------------------------------------------------------------------------
6...............................................................           \3/8\           \1/2\               1

[[Page 102]]

 
7...............................................................           \3/8\           \3/8\           \7/8\
8...............................................................           \3/8\           \3/8\           \1/2\
9...............................................................           \3/8\           \3/8\           \1/2\
----------------------------------------------------------------------------------------------------------------



Sec. 213.329  Curves, elevation and speed limitations.

    (a) The maximum crosslevel on the outside rail of a curve may not be 
more than 7 inches. The outside rail of a curve may not be more than \1/
2\ inch lower than the inside rail.
    (b) (1) The maximum allowable operating speed for each curve is 
determined by the following formula:
[GRAPHIC] [TIFF OMITTED] TR22JN98.009

Where--

Vmax = Maximum allowable operating speed (miles per hour).
Ea = Actual elevation of the outside rail (inches) \4\.
---------------------------------------------------------------------------

    \4\ Actual elevation for each 155 foot track segment in the body of 
the curve is determined by averaging the elevation for 10 points through 
the segment at 15.5 foot spacing. If the curve length is less than 155 
feet, average the points through the full length of the body of the 
curve. If Eu exceeds 4 inches, the Vmax formula applies to 
the spirals on both ends of the curve.
---------------------------------------------------------------------------

D = Degree of curvature (degrees) \5\.
---------------------------------------------------------------------------

    \5\ Degree of curvature is determined by averaging the degree of 
curvature over the same track segment as the elevation.
---------------------------------------------------------------------------

3 = 3 inches of unbalance.

    (2) Appendix A includes tables showing maximum allowable operating 
speeds computed in accordance with this formula for various elevations 
and degrees of curvature for track speeds greater than 90 m.p.h.
    (c) For rolling stock meeting the requirements specified in 
paragraph (d) of this section, the maximum operating speed for each 
curve may be determined by the following formula:
[GRAPHIC] [TIFF OMITTED] TR22JN98.008

Where--

Vmax = Maximum allowable operating speed (miles per hour).
Ea = Actual elevation of the outside rail (inches) \4\.
D = Degree of curvature (degrees) \5\.
Eu = Unbalanced elevation (inches).

    (d) Qualified equipment may be operated at curving speeds determined 
by the formula in paragraph (c) of this section, provided each specific 
class of equipment is approved for operation by the Federal Railroad 
Administration and the railroad demonstrates that--
    (1) When positioned on a track with uniform superelevation, 
Ea, reflecting the intended target cant deficiency, 
Eu, no wheel of the equipment unloads to a value of 60 
percent or less of its static value on perfectly level track and, for 
passenger-carrying equipment, the roll angle between the floor of the 
vehicle and the horizontal does not exceed 5.7 degrees.
    (2) When positioned on a track with a uniform 7-inch superelevation, 
no wheel unloads to a value less than 60% of its static value on 
perfectly level track and, for passenger-carrying equipment, the angle, 
measured about the roll axis, between the floor of the vehicle and the 
horizontal does not exceed 8.6 degrees.
    (e) The track owner shall notify the Federal Railroad Administrator 
no less than thirty calendar days prior to any proposed implementation 
of the higher curving speeds allowed when the ``Eu'' term, 
above, will exceed three inches. This notification shall be in writing 
and shall contain, at a minimum, the following information:

[[Page 103]]

    (1) A complete description of the class of equipment involved, 
including schematic diagrams of the suspension system and the location 
of the center of gravity above top of rail;
    (2) A complete description of the test procedure \6\ and 
instrumentation used to qualify the equipment and the maximum values for 
wheel unloading and roll angles which were observed during testing;
---------------------------------------------------------------------------

    \6\ The test procedure may be conducted in a test facility whereby 
all wheels on one side (right or left) of the equipment are raised or 
lowered by six and then seven inches, the vertical wheel loads under 
each wheel are measured and a level is used to record the angle through 
which the floor of the vehicle has been rotated.
---------------------------------------------------------------------------

    (3) Procedures or standards in effect which relate to the 
maintenance of the suspension system for the particular class of 
equipment;
    (4) Identification of line segment on which the higher curving 
speeds are proposed to be implemented.
    (f) A track owner, or an operator of a passenger or commuter 
service, who provides passenger or commuter service over trackage of 
more than one track owner with the same class of equipment, may provide 
written notification to the Federal Railroad Administrator with the 
written consent of the other affected track owners.

[63 FR 34029, June 22, 1998; 63 FR 46102, Aug. 28, 1998]



Sec. 213.331  Track surface.

    (a) For a single deviation in track surface, each owner of the track 
to which this subpart applies shall maintain the surface of its track 
within the limits prescribed in the following table:

------------------------------------------------------------------------
                                            Class of track
                             -------------------------------------------
        Track surface             6          7          8          9
                               (inches)   (inches)   (inches)   (inches)
------------------------------------------------------------------------
The deviation from uniform            1          1      \3/4\      \1/2\
 \1\ profile on either rail
 at the midordinate of a 31-
 foot chord may not be more
 than.......................
The deviation from uniform            1          1          1      \3/4\
 profile on either rail at
 the midordinate of a 62-
 foot chord may not be more
 than.......................
The deviation from uniform       1\3/4\     1\1/2\     1\1/4\     1\1/4\
 profile on either rail at
 the midordinate of a 124-
 foot chord may not be more
 than.......................
The difference in crosslevel     1\1/2\     1\1/2\     1\1/2\     1\1/2\
 between any two points less
 than 62 feet apart may not
 be more than \2\...........
------------------------------------------------------------------------
\1\ Uniformity for profile is established by placing the midpoint of the
  specified chord at the point of maximum measurement.
\2\ However, to control harmonics on jointed track with staggered
  joints, the crosslevel differences shall not exceed 1\1/4\ inches in
  all of six consecutive pairs of joints, as created by 7 joints. Track
  with joints staggered less than 10 feet shall not be considered as
  having staggered joints. Joints within the 7 low joints outside of the
  regular joint spacing shall not be considered as joints for purposes
  of this footnote.

    (b) For three or more non-overlapping deviations in track surface 
occurring within a distance equal to five times the specified chord 
length, each of which exceeds the limits in the following table, each 
owner of the track to which this subpart applies shall maintain the 
surface of the track within the limits prescribed for each deviation:

------------------------------------------------------------------------
                                            Class of track
                             -------------------------------------------
        Track surface             6          7          8          9
                               (inches)   (inches)   (inches)   (inches)
------------------------------------------------------------------------
The deviation from uniform        \3/4\      \3/4\      \1/2\      \3/8\
 profile on either rail at
 the midordinate of a 31-
 foot chord may not be more
 than.......................
The deviation from uniform        \3/4\      \3/4\      \3/4\      \1/2\
 profile on either rail at
 the midordinate of a 62-
 foot chord may not be more
 than.......................
The deviation from uniform       1\1/4\          1      \7/8\      \7/8\
 profile on either rail at
 the midordinate of a 124-
 foot chord may not be more
 than.......................
------------------------------------------------------------------------


[[Page 104]]



Sec. 213.333  Automated vehicle inspection systems.

    (a) For track Class 7, a qualifying Track Geometry Measurement 
System (TGMS) vehicle shall be operated at least twice within 120 
calendar days with not less than 30 days between inspections. For track 
Classes 8 and 9, it shall be operated at least twice within 60 days with 
not less than 15 days between inspections.
    (b) A qualifying TGMS shall meet or exceed minimum design 
requirements which specify that--
    (1) Track geometry measurements shall be taken no more than 3 feet 
away from the contact point of wheels carrying a vertical load of no 
less than 10,000 pounds per wheel;
    (2) Track geometry measurements shall be taken and recorded on a 
distance-based sampling interval which shall not exceed 2 feet; and
    (3) Calibration procedures and parameters are assigned to the system 
which assure that measured and recorded values accurately represent 
track conditions. Track geometry measurements recorded by the system 
shall not differ on repeated runs at the same site at the same speed 
more than 1/8 inch.
    (c) A qualifying TGMS shall be capable of measuring and processing 
the necessary track geometry parameters, at an interval of no more than 
every 2 feet, which enables the system to determine compliance with: 
Sec. 213.323, Track gage; Sec. 213.327, Alinement; Sec. 213.329, Curves; 
elevation and speed limitations; and Sec. 213.331, Track surface.
    (d) A qualifying TGMS shall be capable of producing, within 24 hours 
of the inspection, output reports that --
    (1) Provide a continuous plot, on a constant-distance axis, of all 
measured track geometry parameters required in paragraph (c) of this 
section;
    (2) Provide an exception report containing a systematic listing of 
all track geometry conditions which constitute an exception to the class 
of track over the segment surveyed.
    (e) The output reports required under paragraph (c) of this section 
shall contain sufficient location identification information which 
enable field forces to easily locate indicated exceptions.
    (f) Following a track inspection performed by a qualifying TGMS, the 
track owner shall, within two days after the inspection, field verify 
and institute remedial action for all exceptions to the class of track.
    (g) The track owner shall maintain for a period of one year 
following an inspection performed by a qualifying TGMS, copy of the plot 
and the exception printout for the track segment involved, and 
additional records which:
    (1) Specify the date the inspection was made and the track segment 
involved; and
    (2) Specify the location, remedial action taken, and the date 
thereof, for all listed exceptions to the class.
    (h) For track Classes 8 and 9, a qualifying Gage Restraint 
Measurement System (GRMS) shall be operated at least once annually with 
at least 180 days between inspections to continuously compare loaded 
track gage to unloaded gage under a known loading condition. The lateral 
capacity of the track structure shall not permit a gage widening ratio 
(GWR) greater than 0.5 inches.
    (i) A GRMS shall meet or exceed minimum design requirements which 
specify that--
    (1) Gage restraint shall be measured between the heads of the rail--
    (i) At an interval not exceeding 16 inches;
    (ii) Under an applied vertical load of no less than 10,000 pounds 
per rail;
    (iii) Under an applied lateral load which provides for lateral/
vertical load ratio of between 0.5 and 1.25 \7\, and a load severity 
greater than 3,000 pounds but less than 8,000 pounds per rail. Load 
severity is defined by the formula--
---------------------------------------------------------------------------

    \7\ GRMS equipment using load combinations developing L/V ratios 
which exceed 0.8 shall be operated with caution to protect against the 
risk of wheel climb by the test wheelset.

---------------------------------------------------------------------------
S = L -cV

where:

S = Load severity, defined as the lateral load applied to the fastener 
system (pounds).
L = Actual lateral load applied (pounds).

[[Page 105]]

c = Coefficient of friction between rail/tie which is assigned a nominal 
value of (0.4).
V = Actual vertical load applied (pounds).

    (2) The measured gage value shall be converted to a gage widening 
ratio (GWR) as follows:
[GRAPHIC] [TIFF OMITTED] TR22JN98.010

Where:

UTG=Unloaded track gage measured by the GRMS vehicle at a point no less 
than 10 feet from any lateral or vertical load application.
LTG=Loaded track gage measured by the GRMS vehicle at the point of 
application of the lateral load.
L=Actual lateral load applied (pounds).
    (j) At least one vehicle in one train per day operating in Classes 8 
and 9 shall be equipped with functioning on-board truck frame and 
carbody accelerometers. Each track owner shall have in effect written 
procedures for the notification of track personnel when on-board 
accelerometers on trains in Classes 8 and 9 indicate a possible track-
related condition.
    (k) For track Classes 7 , 8 and 9, an instrumented car having 
dynamic response characteristics that are representative of other 
equipment assigned to service or a portable device that monitors on-
board instrumentation on trains shall be operated over the track at the 
revenue speed profile at a frequency of at least twice within 60 days 
with not less than 15 days between inspections. The instrumented car or 
the portable device shall monitor vertically and laterally oriented 
accelerometers placed near the end of the vehicle at the floor level. In 
addition, accelerometers shall be mounted on the truck frame. If the 
carbody lateral, carbody vertical, or truck frame lateral safety limits 
in the following table of vehicle/track interaction safety limits are 
exceeded, speeds will be reduced until these safety limits are not 
exceeded.
    (l) For track Classes 8 and 9, an instrumented car having dynamic 
response characteristics that are representative of other equipment 
assigned to service shall be operated over the track at the revenue 
speed profile annually with not less than 180 days between inspections. 
The instrumented car shall be equipped with functioning instrumented 
wheelsets to measure wheel/rail forces. If the wheel/rail force limits 
in the following table of vehicle/track interaction safety limits are 
exceeded, speeds will be reduced until these safety limits are not 
exceeded.
    (m) The track owner shall maintain a copy of the most recent 
exception printouts for the inspections required under paragraphs (k) 
and (l) of this section.

[[Page 106]]

[GRAPHIC] [TIFF OMITTED] TC15NO91.207

    \1\ The lateral and vertical wheel forces shall be measured with 
instrumented wheelsets with the measurements processed through a low 
pass filter with a minimum cut-off frequency of 25 Hz. The sample rate 
for wheel force data shall be at least 250 samples/sec.
    \2\ Carbody lateral and vertical accelerations shall be measured 
near the car ends at the floor level.
    \3\ Truck accelerations in the lateral direction shall be measured 
on the truck frame. The measurements shall be processed through a filter 
having a pass band of 0.5 to 10 Hz.
    \4\ Truck hunting is defined as a sustained cyclic oscillation of 
the truck which is evidenced by lateral accelerations in excess of 0.4 g 
root mean square (mean-removed) for 2 seconds.
[63 FR 34029, June 22, 1998; 63 FR 46102, Aug. 28, 1998]



Sec. 213.334  Ballast; general.

    Unless it is otherwise structurally supported, all track shall be 
supported by material which will--
    (a) Transmit and distribute the load of the track and railroad 
rolling equipment to the subgrade;
    (b) Restrain the track laterally, longitudinally, and vertically 
under dynamic loads imposed by railroad rolling equipment and thermal 
stress exerted by the rails;
    (c) Provide adequate drainage for the track; and
    (d) Maintain proper track crosslevel, surface, and alinement.

[[Page 107]]



Sec. 213.335  Crossties.

    (a) Crossties shall be made of a material to which rail can be 
securely fastened.
    (b) Each 39 foot segment of track shall have--
    (1) A sufficient number of crossties which in combination provide 
effective support that will--
    (i) Hold gage within the limits prescribed in Sec. 213.323(b);
    (ii) Maintain surface within the limits prescribed in Sec. 213.331; 
and
    (iii) Maintain alinement within the limits prescribed in 
Sec. 213.327.
    (2) The minimum number and type of crossties specified in paragraph 
(c) of this section effectively distributed to support the entire 
segment; and
    (3) Crossties of the type specified in paragraph (c) of this section 
that are(is) located at a joint location as specified in paragraph (e) 
of this section.
    (c) For non-concrete tie construction, each 39 foot segment of Class 
6 track shall have fourteen crossties; Classes 7, 8 and 9 shall have 18 
crossties which are not--
    (1) Broken through;
    (2) Split or otherwise impaired to the extent the crossties will 
allow the ballast to work through, or will not hold spikes or rail 
fasteners;
    (3) So deteriorated that the tie plate or base of rail can move 
laterally \3/8\ inch relative to the crossties;
    (4) Cut by the tie plate through more than 40 percent of a 
crosstie's thickness;
    (5) Configured with less than 2 rail holding spikes or fasteners per 
tie plate; or
    (6) So unable, due to insufficient fastener toeload, to maintain 
longitudinal restraint and maintain rail hold down and gage.
    (d) For concrete tie construction, each 39 foot segment of Class 6 
track shall have fourteen crossties, Classes 7, 8 and 9 shall have 16 
crossties which are not--
    (1) So deteriorated that the prestress strands are ineffective or 
withdrawn into the tie at one end and the tie exhibits structural cracks 
in the rail seat or in the gage of track;
    (2) Configured with less than 2 fasteners on the same rail;
    (3) So deteriorated in the vicinity of the rail fastener such that 
the fastener assembly may pull out or move laterally more than \3/8\ 
inch relative to the crosstie;
    (4) So deteriorated that the fastener base plate or base of rail can 
move laterally more than \3/8\ inch relative to the crossties;
    (5) So deteriorated that rail seat abrasion is sufficiently deep so 
as to cause loss of rail fastener toeload;
    (6) Completely broken through; or
    (7) So unable, due to insufficient fastener toeload, to maintain 
longitudinal restraint and maintain rail hold down and gage.
    (e) Class 6 track shall have one non-defective crosstie whose 
centerline is within 18 inches of the rail joint location or two 
crossties whose center lines are within 24 inches either side of the 
rail joint location. Class 7, 8, and 9 track shall have two non-
defective ties within 24 inches each side of the rail joint.
    (f) For track constructed without crossties, such as slab track and 
track connected directly to bridge structural components, the track 
structure shall meet the requirements of paragraphs (b)(1)(i), (ii), and 
(iii) of this section.
    (g) In Classes 7, 8 and 9 there shall be at least three non-
defective ties each side of a defective tie.
    (h) Where timber crossties are in use there shall be tie plates 
under the running rails on at least nine of 10 consecutive ties.
    (i) No metal object which causes a concentrated load by solely 
supporting a rail shall be allowed between the base of the rail and the 
bearing surface of the tie plate.



Sec. 213.337  Defective rails.

    (a) When an owner of track to which this part applies learns, 
through inspection or otherwise, that a rail in that track contains any 
of the defects listed in the following table, a person designated under 
Sec. 213.305 shall determine whether or not the track may continue in 
use. If the person determines that the track may continue in use, 
operation over the defective rail is not permitted until--
    (1) The rail is replaced; or

[[Page 108]]

    (2) The remedial action prescribed in the table is initiated--
    [GRAPHIC] [TIFF OMITTED] TN28SE98.059
    


[[Page 109]]


    Notes: A. Assign person designated under Sec. 213.305 to visually 
supervise each operation over defective rail.
    A2. Assign person designated under Sec. 213.305 to make visual 
inspection. That person may authorize operation to continue without 
visual supervision at a maximum of 10 m.p.h. for up to 24 hours prior to 
another such visual inspection or replacement or repair of the rail.
    B. Limit operating speed over defective rail to that as authorized 
by a person designated under Sec. 213.305(a)(1)(i) or (ii). The 
operating speed cannot be over 30 m.p.h.
    C. Apply joint bars bolted only through the outermost holes to 
defect within 20 days after it is determined to continue the track in 
use. Limit operating speed over defective rail to 30 m.p.h. until joint 
bars are applied; thereafter, limit speed to 50 m.p.h. When a search for 
internal rail defects is conducted under Sec. 213.339 and defects are 
discovered which require remedial action C, the operating speed shall be 
limited to 50 m.p.h., for a period not to exceed 4 days. If the 
defective rail has not been removed from the track or a permanent repair 
made within 4 days of the discovery, limit operating speed over the 
defective rail to 30 m.p.h. until joint bars are applied; thereafter, 
limit speed to 50 m.p.h.
    D. Apply joint bars bolted only through the outermost holes to 
defect within 10 days after it is determined to continue the track in 
use. Limit operating speed over the defective rail to 30 m.p.h. or less 
as authorized by a person designated under Sec. 213.305(a)(1)(i) or (ii) 
until joint bars are applied; thereafter, limit speed to 50 m.p.h.
    E. Apply joint bars to defect and bolt in accordance with 
Sec. 213.351(d) and (e).
    F. Inspect rail 90 days after it is determined to continue the track 
in use.
    G. Inspect rail 30 days after it is determined to continue the track 
in use.
    H. Limit operating speed over defective rail to 50 m.p.h.
    I. Limit operating speed over defective rail to 30 m.p.h.

    (b) As used in this section--
    (1) Transverse fissure means a progressive crosswise fracture 
starting from a crystalline center or nucleus inside the head from which 
it spreads outward as a smooth, bright, or dark, round or oval surface 
substantially at a right angle to the length of the rail. The 
distinguishing features of a transverse fissure from other types of 
fractures or defects are the crystalline center or nucleus and the 
nearly smooth surface of the development which surrounds it.
    (2) Compound fissure means a progressive fracture originating in a 
horizontal split head which turns up or down in the head of the rail as 
a smooth, bright, or dark surface progressing until substantially at a 
right angle to the length of the rail. Compound fissures require 
examination of both faces of the fracture to locate the horizontal split 
head from which they originate.
    (3) Horizontal split head means a horizontal progressive defect 
originating inside of the rail head, usually one-quarter inch or more 
below the running surface and progressing horizontally in all 
directions, and generally accompanied by a flat spot on the running 
surface. The defect appears as a crack lengthwise of the rail when it 
reaches the side of the rail head.
    (4) Vertical split head means a vertical split through or near the 
middle of the head, and extending into or through it. A crack or rust 
streak may show under the head close to the web or pieces may be split 
off the side of the head.
    (5) Split web means a lengthwise crack along the side of the web and 
extending into or through it.
    (6) Piped rail means a vertical split in a rail, usually in the web, 
due to failure of the shrinkage cavity in the ingot to unite in rolling.
    (7) Broken base means any break in the base of the rail.
    (8) Detail fracture means a progressive fracture originating at or 
near the surface of the rail head. These fractures should not be 
confused with transverse fissures, compound fissures, or other defects 
which have internal origins. Detail fractures may arise from shelly 
spots, head checks, or flaking.
    (9) Engine burn fracture means a progressive fracture originating in 
spots where driving wheels have slipped on top of the rail head. In 
developing downward they frequently resemble the compound or even 
transverse fissures with which they should not be confused or 
classified.
    (10) Ordinary break means a partial or complete break in which there 
is no sign of a fissure, and in which none of the other defects 
described in this paragraph (b) are found.
    (11) Damaged rail means any rail broken or injured by wrecks, 
broken, flat, or unbalanced wheels, slipping, or similar causes.

[[Page 110]]

    (12) Flattened rail means a short length of rail, not a joint, which 
has flattened out across the width of the rail head to a depth of \3/8\ 
inch or more below the rest of the rail. Flattened rail occurrences have 
no repetitive regularity and thus do not include corrugations, and have 
no apparent localized cause such as a weld or engine burn. Their 
individual length is relatively short, as compared to a condition such 
as head flow on the low rail of curves.
    (13) Bolt hole crack means a crack across the web, originating from 
a bolt hole, and progressing on a path either inclined upward toward the 
rail head or inclined downward toward the base. Fully developed bolt 
hole cracks may continue horizontally along the head/web or base/web 
fillet, or they may progress into and through the head or base to 
separate a piece of the rail end from the rail. Multiple cracks 
occurring in one rail end are considered to be a single defect. However, 
bolt hole cracks occurring in adjacent rail ends within the same joint 
shall be reported as separate defects.
    (14) Defective weld means a field or plant weld containing any 
discontinuities or pockets, exceeding 5 percent of the rail head area 
individually or 10 percent in the aggregate, oriented in or near the 
transverse plane, due to incomplete penetration of the weld metal 
between the rail ends, lack of fusion between weld and rail end metal, 
entrainment of slag or sand, under-bead or other shrinkage cracking, or 
fatigue cracking. Weld defects may originate in the rail head, web, or 
base, and in some cases, cracks may progress from the defect into either 
or both adjoining rail ends.
    (15) Head and web separation means a progressive fracture, 
longitudinally separating the head from the web of the rail at the head 
fillet area.

[63 FR 34029, June 22, 1998; 63 FR 51638, Sept. 28, 1998]



Sec. 213.339  Inspection of rail in service.

    (a) A continuous search for internal defects shall be made of all 
rail in track at least twice annually with not less than 120 days 
between inspections.
    (b) Inspection equipment shall be capable of detecting defects 
between joint bars, in the area enclosed by joint bars.
    (c) Each defective rail shall be marked with a highly visible 
marking on both sides of the web and base.
    (d) If the person assigned to operate the rail defect detection 
equipment being used determines that, due to rail surface conditions, a 
valid search for internal defects could not be made over a particular 
length of track, the test on that particular length of track cannot be 
considered as a search for internal defects under Sec. 213.337(a).
    (e) If a valid search for internal defects cannot be conducted for 
reasons described in paragraph (d) of this section, the track owner 
shall, before the expiration of time limits--
    (1) Conduct a valid search for internal defects;
    (2) Reduce operating speed to a maximum of 25 miles per hour until 
such time as a valid search for internal defects can be made; or
    (3) Remove the rail from service.



Sec. 213.341  Initial inspection of new rail and welds.

    The track owner shall provide for the initial inspection of newly 
manufactured rail, and for initial inspection of new welds made in 
either new or used rail. A track owner may demonstrate compliance with 
this section by providing for:
    (a) In-service inspection--A scheduled periodic inspection of rail 
and welds that have been placed in service, if conducted in accordance 
with the provisions of Sec. 213.339, and if conducted not later than 90 
days after installation, shall constitute compliance with paragraphs (b) 
and (c) of this section;
    (b) Mill inspection--A continuous inspection at the rail 
manufacturer's mill shall constitute compliance with the requirement for 
initial inspection of new rail, provided that the inspection equipment 
meets the applicable requirements specified in Sec. 213.339. The track 
owner shall obtain a copy of the manufacturer's report of inspection and 
retain it as a record until the rail receives its first scheduled 
inspection under Sec. 213.339;
    (c) Welding plant inspection--A continuous inspection at a welding 
plant, if

[[Page 111]]

conducted in accordance with the provisions of paragraph (b) of this 
section, and accompanied by a plant operator's report of inspection 
which is retained as a record by the track owner, shall constitute 
compliance with the requirements for initial inspection of new rail and 
plant welds, or of new plant welds made in used rail; and
    (d) Inspection of field welds--An initial inspection of field welds, 
either those joining the ends of CWR strings or those made for isolated 
repairs, shall be conducted not less than one day and not more than 30 
days after the welds have been made. The initial inspection may be 
conducted by means of portable test equipment. The track owner shall 
retain a record of such inspections until the welds receive their first 
scheduled inspection under Sec. 213.339.
    (e) Each defective rail found during inspections conducted under 
paragraph (a) or (d) of this section shall be marked with highly visible 
markings on both sides of the web and base and the remedial action as 
appropriate under Sec. 213.337 will apply.



Sec. 213.343  Continuous welded rail (CWR).

    Each track owner with track constructed of CWR shall have in effect 
and comply with written procedures which address the installation, 
adjustment, maintenance and inspection of CWR, and a training program 
for the application of those procedures, which shall be submitted to the 
Federal Railroad Administration by March 21, 1999. FRA reviews each plan 
for compliance with the following--
    (a) Procedures for the installation and adjustment of CWR which 
include--
    (1) Designation of a desired rail installation temperature range for 
the geographic area in which the CWR is located; and
    (2) De-stressing procedures/methods which address proper attainment 
of the desired rail installation temperature range when adjusting CWR.
    (b) Rail anchoring or fastening requirements that will provide 
sufficient restraint to limit longitudinal rail and crosstie movement to 
the extent practical, and specifically addressing CWR rail anchoring or 
fastening patterns on bridges, bridge approaches, and at other locations 
where possible longitudinal rail and crosstie movement associated with 
normally expected train-induced forces, is restricted.
    (c) Procedures which specifically address maintaining a desired rail 
installation temperature range when cutting CWR including rail repairs, 
in-track welding, and in conjunction with adjustments made in the area 
of tight track, a track buckle, or a pull-apart. Rail repair practices 
shall take into consideration existing rail temperature so that--
    (1) When rail is removed, the length installed shall be determined 
by taking into consideration the existing rail temperature and the 
desired rail installation temperature range; and
    (2) Under no circumstances should rail be added when the rail 
temperature is below that designated by paragraph (a)(1) of this 
section, without provisions for later adjustment.
    (d) Procedures which address the monitoring of CWR in curved track 
for inward shifts of alinement toward the center of the curve as a 
result of disturbed track.
    (e) Procedures which control train speed on CWR track when --
    (1) Maintenance work, track rehabilitation, track construction, or 
any other event occurs which disturbs the roadbed or ballast section and 
reduces the lateral and/or longitudinal resistance of the track; and
    (2) In formulating the procedures under this paragraph (e), the 
track owner shall--
    (i) Determine the speed required, and the duration and subsequent 
removal of any speed restriction based on the restoration of the 
ballast, along with sufficient ballast re-consolidation to stabilize the 
track to a level that can accommodate expected train-induced forces. 
Ballast re-consolidation can be achieved through either the passage of 
train tonnage or mechanical stabilization procedures, or both; and
    (ii) Take into consideration the type of crossties used.
    (f) Procedures which prescribe when physical track inspections are 
to be performed to detect buckling prone

[[Page 112]]

conditions in CWR track. At a minimum, these procedures shall address 
inspecting track to identify --
    (1) Locations where tight or kinky rail conditions are likely to 
occur;
    (2) Locations where track work of the nature described in paragraph 
(e)(1) of this section have recently been performed; and
    (3) In formulating the procedures under this paragraph (f), the 
track owner shall--
    (i) Specify the timing of the inspection; and
    (ii) Specify the appropriate remedial actions to be taken when 
buckling prone conditions are found.
    (g) The track owner shall have in effect a comprehensive training 
program for the application of these written CWR procedures, with 
provisions for periodic re-training, for those individuals designated 
under Sec. 213.305(c) of this part as qualified to supervise the 
installation, adjustment, and maintenance of CWR track and to perform 
inspections of CWR track.
    (h) The track owner shall prescribe recordkeeping requirements 
necessary to provide an adequate history of track constructed with CWR. 
At a minimum, these records shall include:
    (1) Rail temperature, location and date of CWR installations. This 
record shall be retained for at least one year; and
    (2) A record of any CWR installation or maintenance work that does 
not conform with the written procedures. Such record shall include the 
location of the rail and be maintained until the CWR is brought into 
conformance with such procedures.
    (i) As used in this section--
    (1) Adjusting/de-stressing means the procedure by which a rail's 
temperature is re-adjusted to the desired value. It typically consists 
of cutting the rail and removing rail anchoring devices, which provides 
for the necessary expansion and contraction, and then re-assembling the 
track.
    (2) Buckling incident means the formation of a lateral mis-alinement 
sufficient in magnitude to constitute a deviation of 5 inches measured 
with a 62-foot chord. These normally occur when rail temperatures are 
relatively high and are caused by high longitudinal compressive forces.
    (3) Continuous welded rail (CWR) means rail that has been welded 
together into lengths exceeding 400 feet.
    (4) Desired rail installation temperature range means the rail 
temperature range, within a specific geographical area, at which forces 
in CWR should not cause a buckling incident in extreme heat, or a pull-
apart during extreme cold weather.
    (5) Disturbed track means the disturbance of the roadbed or ballast 
section, as a result of track maintenance or any other event, which 
reduces the lateral or longitudinal resistance of the track, or both.
    (6) Mechanical stabilization means a type of procedure used to 
restore track resistance to disturbed track following certain 
maintenance operations. This procedure may incorporate dynamic track 
stabilizers or ballast consolidators, which are units of work equipment 
that are used as a substitute for the stabilization action provided by 
the passage of tonnage trains.
    (7) Rail anchors means those devices which are attached to the rail 
and bear against the side of the crosstie to control longitudinal rail 
movement. Certain types of rail fasteners also act as rail anchors and 
control longitudinal rail movement by exerting a downward clamping force 
on the upper surface of the rail base.
    (8) Rail temperature means the temperature of the rail, measured 
with a rail thermometer.
    (9) Tight/kinky rail means CWR which exhibits minute alinement 
irregularities which indicate that the rail is in a considerable amount 
of compression.
    (10) Train-induced forces means the vertical, longitudinal, and 
lateral dynamic forces which are generated during train movement and 
which can contribute to the buckling potential.
    (11) Track lateral resistance means the resistance provided to the 
rail/crosstie structure against lateral displacement.
    (12) Track longitudinal resistance means the resistance provided by 
the

[[Page 113]]

rail anchors/rail fasteners and the ballast section to the rail/crosstie 
structure against longitudinal displacement.

[63 FR 34029, June 22, 1998; 63 FR 45959, Aug. 28, 1998]



Sec. 213.345  Vehicle qualification testing.

    (a) All rolling stock types which operate at Class 6 speeds and 
above shall be qualified for operation for their intended track classes 
in order to demonstrate that the vehicle dynamic response to track 
alinement and geometry variations are within acceptable limits to assure 
safe operation. Rolling stock operating in Class 6 within one year prior 
to the promulgation of this subpart shall be considered as being 
successfully qualified for Class 6 track and vehicles presently 
operating at Class 7 speeds by reason of conditional waivers shall be 
considered as qualified for Class 7.
    (b) The qualification testing shall ensure that, at any speed less 
than 10 m.p.h. above the proposed maximum operating speed, the equipment 
will not exceed the wheel/rail force safety limits and the truck lateral 
accelerations specified in Sec. 213.333, and the testing shall 
demonstrate the following:
    (1) The vertical acceleration, as measured by a vertical 
accelerometer mounted on the car floor, shall be limited to no greater 
than 0.55g single event, peak-to-peak.
    (2) The lateral acceleration, as measured by a lateral accelerometer 
mounted on the car floor, shall be limited to no greater than 0.3g 
single event, peak-to-peak; and
    (3) The combination of the lateral acceleration (L) and the vertical 
acceleration (V) within any period of two consecutive seconds as 
expressed by the square root of (V2 + L2) shall be 
limited to no greater than 0.604, where L may not exceed 0.3g and V may 
not exceed 0.55g.
    (c) To obtain the test data necessary to support the analysis 
required in paragraphs (a) and (b) of this section, the track owner 
shall have a test plan which shall consider the operating practices and 
conditions, signal system, road crossings and trains on adjacent tracks 
during testing. The track owner shall establish a target maximum testing 
speed (at least 10 m.p.h. above the maximum proposed operating speed) 
and target test and operating conditions and conduct a test program 
sufficient to evaluate the operating limits of the track and equipment. 
The test program shall demonstrate vehicle dynamic response as speeds 
are incrementally increased from acceptable Class 6 limits to the target 
maximum test speeds. The test shall be suspended at that speed where any 
of the safety limits specified in paragraph (b) are exceeded.
    (d) At the end of the test, when maximum safe operating speed is 
known along with permissible levels of cant deficiency, an additional 
run shall be made with the subject equipment over the entire route 
proposed for revenue service at the speeds the railroad will request FRA 
to approve for such service and a second run again at 10 m.p.h. above 
this speed. A report of the test procedures and results shall be 
submitted to FRA upon the completions of the tests. The test report 
shall include the design flange angle of the equipment which shall be 
used for the determination of the lateral to vertical wheel load safety 
limit for the track/vehicle interaction safety measurements required per 
Sec. 213.333(l).
    (e) As part of the submittal required in paragraph (d) of the 
section, the operator shall include an analysis and description of the 
signal system and operating practices to govern operations in Classes 7 
and 8. This statement shall include a statement of sufficiency in these 
areas for the class of operation. Operation at speeds in excess of 150 
m.p.h. is authorized only in conjunction with a rule of particular 
applicability addressing other safety issues presented by the system.
    (f) Based on test results and submissions, FRA will approve a 
maximum train speed and value of cant deficiency for revenue service.

[63 FR 34029, June 22, 1998; 63 FR 54078, Oct. 8, 1998]



Sec. 213.347  Automotive or railroad crossings at grade.

    (a) There shall be no at-grade (level) highway crossings, public or 
private, or rail-to-rail crossings at-grade on Class 8 and 9 track.

[[Page 114]]

    (b) If train operation is projected at Class 7 speed for a track 
segment that will include rail-highway grade crossings, the track owner 
shall submit for FRA's approval a complete description of the proposed 
warning/barrier system to address the protection of highway traffic and 
high speed trains. Trains shall not operate at Class 7 speeds over any 
track segment having highway-rail grade crossings unless:
    (1) An FRA-approved warning/barrier system exists on that track 
segment; and
    (2) All elements of that warning/barrier system are functioning.



Sec. 213.349  Rail end mismatch.

    Any mismatch of rails at joints may not be more than that prescribed 
by the following table--

------------------------------------------------------------------------
                                             Any mismatch of rails at
                                            joints may not be more than
                                                  the following--
                                         -------------------------------
             Class of track                                 On the gage
                                           On the tread     side of the
                                            of the rail      rail ends
                                            ends (inch)       (inch)
------------------------------------------------------------------------
Class 6, 7, 8 and 9.....................           \1/8\           \1/8\
------------------------------------------------------------------------



Sec. 213.351  Rail joints.

    (a) Each rail joint, insulated joint, and compromise joint shall be 
of a structurally sound design and dimensions for the rail on which it 
is applied.
    (b) If a joint bar is cracked, broken, or because of wear allows 
excessive vertical movement of either rail when all bolts are tight, it 
shall be replaced.
    (c) If a joint bar is cracked or broken between the middle two bolt 
holes it shall be replaced.
    (d) Each rail shall be bolted with at least two bolts at each joint.
    (e) Each joint bar shall be held in position by track bolts 
tightened to allow the joint bar to firmly support the abutting rail 
ends and to allow longitudinal movement of the rail in the joint to 
accommodate expansion and contraction due to temperature variations. 
When no-slip, joint-to-rail contact exists by design, the requirements 
of this section do not apply. Those locations, when over 400 feet long, 
are considered to be continuous welded rail track and shall meet all the 
requirements for continuous welded rail track prescribed in this 
subpart.
    (f) No rail shall have a bolt hole which is torch cut or burned.
    (g) No joint bar shall be reconfigured by torch cutting.



Sec. 213.352  Torch cut rail.

    (a) Except as a temporary repair in emergency situations no rail 
having a torch cut end shall be used. When a rail end with a torch cut 
is used in emergency situations, train speed over that rail shall not 
exceed the maximum allowable for Class 2 track. All torch cut rail ends 
in Class 6 shall be removed within six months of September 21, 1998.
    (b) Following the expiration of the time limits specified in 
paragraph (a) of this section, any torch cut rail end not removed shall 
be removed within 30 days of discovery. Train speed over that rail shall 
not exceed the maximum allowable for Class 2 track until removed.



Sec. 213.353  Turnouts, crossovers and lift rail assemblies or other transition devices on moveable bridges.

    (a) In turnouts and track crossings, the fastenings must be intact 
and maintained so as to keep the components securely in place. Also, 
each switch, frog, and guard rail shall be kept free of obstructions 
that may interfere with the passage of wheels. Use of rigid rail 
crossings at grade is limited per Sec. 213.347.
    (b) Track shall be equipped with rail anchoring through and on each 
side of track crossings and turnouts, to restrain rail movement 
affecting the position of switch points and frogs. Elastic fasteners 
designed to restrict longitudinal rail movement are considered rail 
anchoring.
    (c) Each flangeway at turnouts and track crossings shall be at least 
1\1/2\ inches wide.

[[Page 115]]

    (d) For all turnouts and crossovers, and lift rail assemblies or 
other transition devices on moveable bridges, the track owner shall 
prepare an inspection and maintenance Guidebook for use by railroad 
employees which shall be submitted to the Federal Railroad 
Administration. The Guidebook shall contain at a minimum--
    (1) Inspection frequency and methodology including limiting 
measurement values for all components subject to wear or requiring 
adjustment.
    (2) Maintenance techniques.
    (e) Each hand operated switch shall be equipped with a redundant 
operating mechanism for maintaining the security of switch point 
position.



Sec. 213.355  Frog guard rails and guard faces; gage.

    The guard check and guard face gages in frogs shall be within the 
limits prescribed in the following table--

----------------------------------------------------------------------------------------------------------------
                                           Guard check gage--The distance
                                          between the gage line of a frog
                                             to the guard line 1 of its    Guard face gage--The distance between
             Class of track                 guard rail or guarding face,     guard lines,1 measured across the
                                            measured across the track at     track at right angles to the gage
                                          right angles to the gage line,2      line,2 may not be more than--
                                               may not be less than--
----------------------------------------------------------------------------------------------------------------
Class 6 track...........................  4'6\1/2\"......................  4'5"
Class 7 track...........................  4'6\1/2\"......................  4'5"
Class 8 track...........................  4'6\1/2\"......................  4'5"
Class 9 track...........................  4'6\1/2\"......................  4' 5"
----------------------------------------------------------------------------------------------------------------
1 A line along that side of the flangeway which is nearer to the center of the track and at the same elevation
  as the gage line.
2 A line \5/8\ inch below the top of the center line of the head of the running rail, or corresponding location
  of the tread portion of the track structure.



Sec. 213.357  Derails.

    (a) Each track, other than a main track, which connects with a Class 
7, 8 or 9 main track shall be equipped with a functioning derail of the 
correct size and type, unless railroad equipment on the track, because 
of grade characteristics cannot move to foul the main track.
    (b) For the purposes of this section, a derail is a device which 
will physically stop or divert movement of railroad rolling stock or 
other railroad on-track equipment past the location of the device.
    (c) Each derail shall be clearly visible. When in a locked position, 
a derail shall be free of any lost motion which would prevent it from 
performing its intended function.
    (d) Each derail shall be maintained to function as intended.
    (e) Each derail shall be properly installed for the rail to which it 
is applied.
    (f) If a track protected by a derail is occupied by standing 
railroad rolling stock, the derail shall be in derailing position.
    (g) Each derail on a track which is connected to a Class 7, 8 or 9 
main track shall be interconnected with the signal system.



Sec. 213.359  Track stiffness.

    (a) Track shall have a sufficient vertical strength to withstand the 
maximum vehicle loads generated at maximum permissible train speeds, 
cant deficiencies and surface defects. For purposes of this section, 
vertical track strength is defined as the track capacity to constrain 
vertical deformations so that the track shall return following maximum 
load to a configuration in compliance with the vehicle/track interaction 
safety limits and geometry requirements of this subpart.
    (b) Track shall have sufficient lateral strength to withstand the 
maximum thermal and vehicle loads generated at maximum permissible train 
speeds, cant deficiencies and lateral alinement defects. For purposes of 
this section lateral track strength is defined as the track capacity to 
constrain lateral deformations so that track shall return following 
maximum load to a configuration in compliance with the vehicle/track 
interaction safety limits and geometry requirements of this subpart.



Sec. 213.361  Right of way.

    The track owner in Class 8 and 9 shall submit a barrier plan, termed 
a ``right-of-way plan,'' to the Federal Railroad Administration for 
approval.

[[Page 116]]

At a minimum, the plan will contain provisions in areas of demonstrated 
need for the prevention of--
    (a) Vandalism;
    (b) Launching of objects from overhead bridges or structures into 
the path of trains; and
    (c) Intrusion of vehicles from adjacent rights of way.



Sec. 213.365  Visual inspections.

    (a) All track shall be visually inspected in accordance with the 
schedule prescribed in paragraph (c) of this section by a person 
designated under Sec. 213.305.
    (b) Each inspection shall be made on foot or by riding over the 
track in a vehicle at a speed that allows the person making the 
inspection to visually inspect the track structure for compliance with 
this part. However, mechanical, electrical, and other track inspection 
devices may be used to supplement visual inspection. If a vehicle is 
used for visual inspection, the speed of the vehicle may not be more 
than 5 miles per hour when passing over track crossings and turnouts, 
otherwise, the inspection vehicle speed shall be at the sole discretion 
of the inspector, based on track conditions and inspection requirements. 
When riding over the track in a vehicle, the inspection will be subject 
to the following conditions--
    (1) One inspector in a vehicle may inspect up to two tracks at one 
time provided that the inspector's visibility remains unobstructed by 
any cause and that the second track is not centered more than 30 feet 
from the track upon which the inspector is riding;
    (2) Two inspectors in one vehicle may inspect up to four tracks at a 
time provided that the inspector's visibility remains unobstructed by 
any cause and that each track being inspected is centered within 39 feet 
from the track upon which the inspectors are riding;
    (3) Each main track is actually traversed by the vehicle or 
inspected on foot at least once every two weeks, and each siding is 
actually traversed by the vehicle or inspected on foot at least once 
every month. On high density commuter railroad lines where track time 
does not permit an on track vehicle inspection, and where track centers 
are 15 foot or less, the requirements of this paragraph (b)(3) will not 
apply; and
    (4) Track inspection records shall indicate which track(s) are 
traversed by the vehicle or inspected on foot as outlined in paragraph 
(b)(3) of this section.
    (c) Each track inspection shall be made in accordance with the 
following schedule--

------------------------------------------------------------------------
             Class of track                     Required frequency
------------------------------------------------------------------------
6, 7, and 8............................  Twice weekly with at least 2
                                          calendar-day's interval
                                          between inspections.
9......................................  Three times per week.
------------------------------------------------------------------------

    (d) If the person making the inspection finds a deviation from the 
requirements of this part, the person shall immediately initiate 
remedial action.
    (e) Each switch, turnout, track crossing, and lift rail assemblies 
on moveable bridges shall be inspected on foot at least weekly. The 
inspection shall be accomplished in accordance with the Guidebook 
required under Sec. 213.353.
    (f) In track Classes 8 and 9, if no train traffic operates for a 
period of eight hours, a train shall be operated at a speed not to 
exceed 100 miles per hour over the track before the resumption of 
operations at the maximum authorized speed.

[63 FR 34029, June 22, 1998; 63 FR 45959, Aug. 28, 1998]



Sec. 213.367  Special inspections.

    In the event of fire, flood, severe storm, temperature extremes or 
other occurrence which might have damaged track structure, a special 
inspection shall be made of the track involved as soon as possible after 
the occurrence and, if possible, before the operation of any train over 
that track.



Sec. 213.369  Inspection records.

    (a) Each owner of track to which this part applies shall keep a 
record of each inspection required to be performed on that track under 
this subpart.
    (b) Except as provided in paragraph (e) of this section, each record 
of an inspection under Sec. 213.365 shall be prepared on the day the 
inspection is made and signed by the person making the inspection. 
Records shall specify the track inspected, date of inspection, location 
and nature of any deviation

[[Page 117]]

from the requirements of this part, and the remedial action taken by the 
person making the inspection. The owner shall designate the location(s) 
where each original record shall be maintained for at least one year 
after the inspection covered by the record. The owner shall also 
designate one location, within 100 miles of each state in which they 
conduct operations, where copies of record which apply to those 
operations are either maintained or can be viewed following 10 days 
notice by the Federal Railroad Administration.
    (c) Rail inspection records shall specify the date of inspection, 
the location and nature of any internal defects found, the remedial 
action taken and the date thereof, and the location of any intervals of 
track not tested per Sec. 213.339(d). The owner shall retain a rail 
inspection record for at least two years after the inspection and for 
one year after remedial action is taken.
    (d) Each owner required to keep inspection records under this 
section shall make those records available for inspection and copying by 
the Federal Railroad Administrator.
    (e) For purposes of compliance with the requirements of this 
section, an owner of track may maintain and transfer records through 
electronic transmission, storage, and retrieval provided that--
    (1) The electronic system be designed such that the integrity of 
each record maintained through appropriate levels of security such as 
recognition of an electronic signature, or other means, which uniquely 
identify the initiating person as the author of that record. No two 
persons shall have the same electronic identity;
    (2) The electronic storage of each record shall be initiated by the 
person making the inspection within 24 hours following the completion of 
that inspection;
    (3) The electronic system shall ensure that each record cannot be 
modified in any way, or replaced, once the record is transmitted and 
stored;
    (4) Any amendment to a record shall be electronically stored apart 
from the record which it amends. Each amendment to a record shall be 
uniquely identified as to the person making the amendment;
    (5) The electronic system shall provide for the maintenance of 
inspection records as originally submitted without corruption or loss of 
data; and
    (6) Paper copies of electronic records and amendments to those 
records, that may be necessary to document compliance with this part, 
shall be made available for inspection and copying by the FRA and track 
inspectors responsible under Sec. 213.305. Such paper copies shall be 
made available to the track inspectors and at the locations specified in 
paragraph (b) of this section.
    (7) Track inspection records shall be kept available to persons who 
performed the inspection and to persons performing subsequent 
inspections.
    (f) Each vehicle/track interaction safety record required under 
Sec. 213.333 (g), and (m) shall be made available for inspection and 
copying by the FRA at the locations specified in paragraph (b) of this 
section.

        Appendix A to Part 213--Maximum Allowable Curving Speeds

[[Page 118]]



                                                            Table 1.--Three Inches Unbalance
                                                           [Elevation of outer rail (inches)]
--------------------------------------------------------------------------------------------------------------------------------------------------------
        Degree of curvature             0      \1/2\      1      1\1/2\     2      2\1/2\     3      3\1/2\     4      4\1/2\     5      5\1/2\     6
--------------------------------------------------------------------------------------------------------------------------------------------------------
 
                                                      (12) Maximum allowable operating speed (mph)
 
0 deg.30'..........................       93      100      107      113      120      125      131      136      141      146      151      156      160
0 deg.40'..........................       80       87       93       98      103      109      113      118      122      127      131      135      139
0 deg.50'..........................       72       78       83       88       93       97      101      106      110      113      117      121      124
1 deg.00'..........................       66       71       76       80       85       89       93       96      100      104      107      110      113
1 deg.15'..........................       59       63       68       72       76       79       83       86       89       93       96       99      101
1 deg.30'..........................       54       58       62       66       69       72       76       79       82       85       87       90       93
1 deg.45'..........................       50       54       57       61       64       67       70       73       76       78       81       83       86
2 deg.00'..........................       46       50       54       57       60       63       66       68       71       73       76       78       80
2 deg.15'..........................       44       47       50       54       56       59       62       64       67       69       71       74       76
2 deg.30'..........................       41       45       48       51       54       56       59       61       63       66       68       70       72
2 deg.45'..........................       40       43       46       48       51       54       56       58       60       62       65       66       68
3 deg.00'..........................       38       41       44       46       49       51       54       56       58       60       62       64       66
3 deg.15'..........................       36       39       42       45       47       49       51       54       56       57       59       61       63
3 deg.30'..........................       35       38       40       43       45       47       50       52       54       55       57       59       61
3 deg.45'..........................       34       37       39       41       44       46       48       50       52       54       55       57       59
4 deg.00'..........................       33       35       38       40       42       44       46       48       50       52       54       55       57
4 deg.30'..........................       31       33       36       38       40       42       44       45       47       49       50       52       54
5 deg.00'..........................       29       32       34       36       38       40       41       43       45       46       48       49       51
5 deg.30'..........................       28       30       32       34       36       38       40       41       43       44       46       47       48
6 deg.00'..........................       27       29       31       33       35       36       38       39       41       42       44       45       46
6 deg.30'..........................       26       28       30       31       33       35       36       38       39       41       42       43       45
7 deg.00'..........................       25       27       29       30       32       34       35       36       38       39       40       42       43
8 deg.00'..........................       23       25       27       28       30       31       33       34       35       37       38       39       40
9 deg.00'..........................       22       24       25       27       28       30       31       32       33       35       36       37       38
10 deg.00'.........................       21       22       24       25       27       28       29       31       32       33       34       35       36
11 deg.00'.........................       20       21       23       24       26       27       28       29       30       31       32       33       34
12 deg.00'.........................       19       20       22       23       24       26       27       28       29       30       31       32       33
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                                             Table 2.--Four Inches Unbalance
                                                           [Elevation of outer rail (inches)]
--------------------------------------------------------------------------------------------------------------------------------------------------------
        Degree of curvature             0      \1/2\      1      1\1/2\     2      2\1/2\     3      3\1/2\     4      4\1/2\     5      5\1/2\     6
--------------------------------------------------------------------------------------------------------------------------------------------------------
 

[[Page 119]]

 
                                                      (12) Maximum allowable operating speed (mph)
0 deg.30'..........................      107      113      120      125      131      136      141      146      151      156      160      165      169
0 deg.40'..........................       93       98      104      109      113      118      122      127      131      135      139      143      146
0 deg.50'..........................       83       88       93       97      101      106      110      113      117      121      124      128      131
1 deg.00'..........................       76       80       85       89       93       96      100      104      107      110      113      116      120
1 deg.15'..........................       68       72       76       79       83       86       89       93       96       99      101      104      107
1 deg.30'..........................       62       65       69       72       76       79       82       85       87       90       93       95       98
1 deg.45'..........................       57       61       64       67       70       73       76       78       81       83       86       88       90
2 deg.00'..........................       53       57       60       63       65       68       71       73       76       78       80       82       85
2 deg.15'..........................       50       53       56       59       62       64       67       69       71       73       76       78       80
2 deg.30'..........................       48       51       53       56       59       61       63       65       68       70       72       74       76
2 deg.45'..........................       46       48       51       53       56       58       60       62       64       66       68       70       72
3 deg.00'..........................       44       46       49       51       53       56       58       60       62       64       65       67       69
3 deg.15'..........................       42       44       47       49       51       53       55       57       59       61       63       65       66
3 deg.30'..........................       40       43       45       47       49       52       53       55       57       59       61       62       64
3 deg.45'..........................       39       41       44       46       48       50       52       53       55       57       59       60       62
4 deg.00'..........................       38       40       42       44       46       48       50       52       53       55       57       58       60
4 deg.30'..........................       36       38       40       42       44       45       47       49       50       52       53       55       56
5 deg.00'..........................       34       36       38       40       41       43       45       46       48       49       51       52       53
5 deg.30'..........................       32       34       36       38       39       41       43       44       46       47       48       50       51
6 deg.00'..........................       31       33       35       36       38       39       41       42       44       45       46       48       49
6 deg.30'..........................       30       31       33       35       36       38       39       41       42       43       44       46       47
7 deg.00'..........................       29       30       32       34       35       36       38       39       40       42       43       44       45
8 deg.00'..........................       27       28       30       31       33       34       35       37       38       39       40       41       42
9 deg.00'..........................       25       27       28       30       31       32       33       35       36       37       38       39       40
10 deg.00'.........................       24       25       27       28       29       30       32       33       34       35       36       37       38
11 deg.00'.........................       23       24       25       27       28       29       30       31       32       33       34       35       36
12 deg.00'.........................       22       23       24       26       27       28       29       30       31       32       33       34       35
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 120]]

           Appendix B to Part 213--Schedule of Civil Penalties

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

[[Page 121]]

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

[63 FR 34029, June 22, 1998; 63 FR 45959, Aug. 28, 1998]



PART 214--RAILROAD WORKPLACE SAFETY--Table of Contents




                           Subpart A--General

Sec.
214.1  Purpose and scope.
214.3  Application.
214.4  Preemptive effect.
214.5  Responsibility for compliance.
214.7  Definitions.

                Subpart B--Bridge Worker Safety Standards

214.101  Purpose and scope.
214.103  Fall protection, generally.
214.105  Fall protection systems standards and practices.
214.107  Working over or adjacent to water.
214.109  Scaffolding.
214.111  Personal protective equipment, generally.
214.113  Head protection.
214.115  Foot protection.
214.117  Eye and face protection.

                  Subpart C--Roadway Worker Protection

214.301  Purpose and scope.
214.302  Information and collection requirements.
214.303  Railroad on-track safety programs, generally.
214.305  Compliance dates.
214.307  Review and approval of individual on-track safety programs by 
          FRA.
214.309  On-track safety program documents.
214.311  Responsibility of employers.
214.313  Responsibility of individual roadway workers.
214.315  Supervision and communication.

[[Page 122]]

214.317  On-track safety procedures, generally.
214.319  Working limits, generally.
214.321  Exclusive track occupancy.
214.323  Foul time.
214.325  Train coordination.
214.327  Inaccessible track.
214.329  Train approach warning provided by watchmen/lookouts.
214.331  Definite train location.
214.333  Informational line-ups of trains.
214.335  On-track safety procedures for roadway work groups.
214.337  On-track safety procedures for lone workers.
214.339  Audible warning from trains.
214.341  Roadway maintenance machines.
214.343  Training and qualification, general.
214.345  Training for all roadway workers.
214.347  Training and qualification for lone workers.
214.349  Training and qualification of watchmen/lookouts.
214.351  Training and qualification of flagmen.
214.353  Training and qualification of roadway workers who provide on-
          track safety for roadway work groups.
214.355  Training and qualification in on-track safety for operators of 
          roadway maintenance machines.

Appendix A to Part 214--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20103, 20107 and 49 CFR 1.49

    Source: 57 FR 28127, June 24, 1992, unless otherwise noted.



                           Subpart A--General



Sec. 214.1  Purpose and scope.

    (a) The purpose of this part is to prevent accidents and casualties 
to employees involved in certain railroad inspection, maintenance and 
construction activities.
    (b) This part prescribes minimum Federal safety standards for the 
railroad workplace safety subjects addressed herein. This part does not 
restrict a railroad or railroad contractor from adopting and enforcing 
additional or more stringent requirements not inconsistent with this 
part.



Sec. 214.3  Application.

    This part applies to railroads that operate rolling equipment on 
track that is part of the general railroad system of transportation.



Sec. 214.4   Preemptive effect.

    Under 49 U.S.C. 20106 (formerly section 205 of the Federal Railroad 
Safety Act of 1970 (45 U.S.C. 434)), issuance of the regulations in this 
part preempts any State law, rule, regulation, order, or standard 
covering the same subject matter, except a provision directed at an 
essentially local safety hazard that is not incompatible with this part 
and that does not unreasonably burden on interstate commerce.

[61 FR 65975, Dec. 16, 1996]



Sec. 214.5  Responsibility for compliance.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that penalties may be assessed against individuals only for willful 
violations, and where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury, 
or has caused death or injury, a penalty not to exceed $22,000 per 
violation may be assessed. See appendix A to this part for a statement 
of agency civil penalty policy.

[57 FR 28127, June 24, 1992, as amended at 63 FR 11620, Mar. 10, 1998]



Sec. 214.7  Definitions.

    Adjacent tracks mean two or more tracks with track centers spaced 
less than 25 feet apart.
    Anchorage means a secure point of attachment for lifelines, lanyards 
or deceleration devices that is independent of the means of supporting 
or suspending the employee.
    Body belt means a strap that can be secured around the waist or body 
and attached to a lanyard, lifeline, or deceleration device.

[[Page 123]]

    Body harness means a device with straps that is secured about the 
employee in a manner so as to distribute the fall arrest forces over (at 
least) the thighs, shoulders, pelvis, waist, and chest and that can be 
attached to a lanyard, lifeline, or deceleration device.
    Class I, Class II, and Class III have the meaning assigned by, Title 
49 Code of Federal Regulations part 1201, General Instructions 1-1.
    Competent person means one who is capable of identifying existing 
and predictable hazards in the workplace and who is authorized to take 
prompt corrective measures to eliminate them.
    Control operator means the railroad employee in charge of a remotely 
controlled switch or derail, an interlocking, or a controlled point, or 
a segment of controlled track.
    Controlled track means track upon which the railroad's operating 
rules require that all movements of trains must be authorized by a train 
dispatcher or a control operator.
    Deceleration device means any mechanism, including, but not limited 
to, rope grabs, ripstitch lanyards, specially woven lanyards, tearing or 
deforming lanyards, and automatic self-retracting lifelines/lanyards 
that serve to dissipate a substantial amount of energy during a fall 
arrest, or otherwise limit the energy on an employee during fall arrest.
    Definite train location means a system for establishing on-track 
safety by providing roadway workers with information about the earliest 
possible time that approaching trains may pass specific locations as 
prescribed in Sec. 214.331 of this part.
    Effective securing device when used in relation to a manually 
operated switch or derail means one which is:
    (a) Vandal resistant;
    (b) Tamper resistant; and
    (c) Designed to be applied, secured, uniquely tagged and removed 
only by the class, craft or group of employees for whom the protection 
is being provided.
    Employee means an individual who is engaged or compensated by a 
railroad or by a contractor to a railroad to perform any of the duties 
defined in this part.
    Employer means a railroad, or a contractor to a railroad, that 
directly engages or compensates individuals to perform any of the duties 
defined in this part.
    Equivalent means alternative designs, materials, or methods that the 
railroad or railroad contractor can demonstrate will provide equal or 
greater safety for employees than the means specified in this part.
    Exclusive track occupancy means a method of establishing working 
limits on controlled track in which movement authority of trains and 
other equipment is withheld by the train dispatcher or control operator, 
or restricted by flagmen, as prescribed in Sec. 214.321 of this part.
    Flagman when used in relation to roadway worker safety means an 
employee designated by the railroad to direct or restrict the movement 
of trains past a point on a track to provide on-track safety for roadway 
workers, while engaged solely in performing that function.
    Foul time is a method of establishing working limits on controlled 
track in which a roadway worker is notified by the train dispatcher or 
control operator that no trains will operate within a specific segment 
of controlled track until the roadway worker reports clear of the track, 
as prescribed in Sec. 214.323 of this part.
    Fouling a track means the placement of an individual or an item of 
equipment in such proximity to a track that the individual or equipment 
could be struck by a moving train or on-track equipment, or in any case 
is within four feet of the field side of the near running rail.
    Free fall means the act of falling before the personal fall arrest 
system begins to apply force to arrest the fall.
    Free fall distance means the vertical displacement of the fall 
arrest attachment point on the employee's body belt or body harness 
between onset of the fall and the point at which the system begins to 
apply force to arrest the fall. This distance excludes deceleration 
distance and lifeline and lanyard elongation, but includes any 
deceleration device slide distance or self-retracting lifeline/lanyard 
extension before they operate and fall arrest forces occur.

[[Page 124]]

    Inaccessible track means a method of establishing working limits on 
non-controlled track by physically preventing entry and movement of 
trains and equipment.
    Individual train detection means a procedure by which a lone worker 
acquires on-track safety by seeing approaching trains and leaving the 
track before they arrive and which may be used only under circumstances 
strictly defined in this part.
    Informational line-up of trains means information provided in a 
prescribed format to a roadway worker by the train dispatcher regarding 
movements of trains authorized or expected on a specific segment of 
track during a specific period of time.
    Lanyard means a flexible line of rope, wire rope, or strap that is 
used to secure a body belt or body harness to a deceleration device, 
lifeline, or anchorage.
    Lifeline means a component of a fall arrest system consisting of a 
flexible line that connects to an anchorage at one end to hang 
vertically (vertical lifeline) or to an anchorage at both ends to 
stretch horizontally (horizontal lifeline), and that serves as a means 
for connecting other components of a personal fall arrest system to the 
anchorage.
    Lone worker means an individual roadway worker who is not being 
afforded on-track safety by another roadway worker, who is not a member 
of a roadway work group, and who is not engaged in a common task with 
another roadway worker.
    Non-controlled track means track upon which trains are permitted by 
railroad rule or special instruction to move without receiving 
authorization from a train dispatcher or control operator.
    On-track safety means a state of freedom from the danger of being 
struck by a moving railroad train or other railroad equipment, provided 
by operating and safety rules that govern track occupancy by personnel, 
trains and on-track equipment.
    Personal fall arrrest system means a system used to arrest the fall 
of an employee from a working level. It consists of an anchorage, 
connectors, body harness or body belt, lanyard, deceleration device, 
lifeline, or combination of these.
    Qualified means a status attained by an employee who has 
successfully completed any required training for, has demonstrated 
proficiency in, and has been authorized by the employer to perform the 
duties of a particular position or function.
    Railroad means all forms of non-highway ground transportation that 
run on rails or electro-magnetic guideways, including (1) commuter or 
other short-haul rail passenger service in a metropolitan or suburban 
area, and (2) high-speed ground transportation systems that connect 
metropolitan areas, without regard to whether they use new technologies 
not associated with traditional railroads. Such term does not include 
rapid transit operations within an urban area that are not connected to 
the general railroad system of transportation.
    Railroad bridge means a structure supporting one or more railroad 
tracks above land or water with a span length of 12 feet or more 
measured along the track centerline. This term applies to the entire 
structure between the faces of the backwalls of abutments or equivalent 
components, regardless of the number of spans, and includes all such 
structures, whether of timber, stone, concrete, metal, or any 
combination thereof.
    Railroad bridge worker or bridge worker means any employee of, or 
employee of a contractor of, a railroad owning or responsible for the 
construction, inspection, testing, or maintenance of a bridge whose 
assigned duties, if performed on the bridge, include inspection, 
testing, maintenance, repair, construction, or reconstruction of the 
track, bridge structural members, operating mechanisms and water traffic 
control systems, or signal, communication, or train control systems 
integral to that bridge.
    Restricted speed means a speed that will permit a train or other 
equipment to stop within one-half the range of vision of the person 
operating the train or other equipment, but not exceeding 20 miles per 
hour, unless further restricted by the operating rules of the railroad.

[[Page 125]]

    Roadway maintenance machine means a device powered by any means of 
energy other than hand power which is being used on or near railroad 
track for maintenance, repair, construction or inspection of track, 
bridges, roadway, signal, communications, or electric traction systems. 
Roadway maintenance machines may have road or rail wheels or may be 
stationary.
    Roadway work group means two or more roadway workers organized to 
work together on a common task.
    Roadway worker means any employee of a railroad, or of a contractor 
to a railroad, whose duties include inspection, construction, 
maintenance or repair of railroad track, bridges, roadway, signal and 
communication systems, electric traction systems, roadway facilities or 
roadway maintenance machinery on or near track or with the potential of 
fouling a track, and flagmen and watchmen/lookouts as defined in this 
section.
    Self-retracting lifeline/lanyard means a deceleration device that 
contains a drum-wound line that may be slowly extracted from, or 
retracted onto, the drum under slight tension during normal employee 
movement, and which, after onset of a fall, automatically locks the drum 
and arrests the fall.
    Snap-hook means a connector comprised of a hook-shaped member with a 
normally closed keeper, that may be opened to permit the hook to receive 
an object and, when released, automatically closes to retain the object.
    Train approach warning means a method of establishing on-track 
safety by warning roadway workers of the approach of trains in ample 
time for them to move to or remain in a place of safety in accordance 
with the requirements of this part.
    Train coordination means a method of establishing working limits on 
track upon which a train holds exclusive authority to move whereby the 
crew of that train yields that authority to a roadway worker.
    Train dispatcher means the railroad employee assigned to control and 
issue orders governing the movement of trains on a specific segment of 
railroad track in accordance with the operating rules of the railroad 
that apply to that segment of track.
    Watchman/lookout means an employee who has been annually trained and 
qualified to provide warning to roadway workers of approaching trains or 
on-track equipment. Watchmen/lookouts shall be properly equipped to 
provide visual and auditory warning such as whistle, air horn, white 
disk, red flag, lantern, fusee. A watchman/lookout's sole duty is to 
look out for approaching trains/on-track equipment and provide at least 
fifteen seconds advanced warning to employees before arrival of trains/
on-track equipment.
    Working limits means a segment of track with definite boundaries 
established in accordance with this part upon which trains and engines 
may move only as authorized by the roadway worker having control over 
that defined segment of track. Working limits may be established through 
``exclusive track occupancy,'' ``inaccessible track,'' ``foul time'' or 
``train coordination'' as defined herein.

[57 FR 28127, June 24, 1992, as amended at 61 FR 65975, Dec. 16, 1996]



                Subpart B--Bridge Worker Safety Standards



Sec. 214.101  Purpose and scope.

    (a) The purpose of this subpart is to prevent accidents and 
casualties arising from the performance of work on railroad bridges.
    (b) This subpart prescribes minimum railroad safety rules for 
railroad employees performing work on bridges. Each railroad and 
railroad contractor may prescribe additional or more stringent operating 
rules, safety rules, and other special instructions not inconsistent 
with this subpart.
    (c) These provisions apply to all railroad employees, railroads, and 
railroad contractors performing work on railroad bridges.
    (d) Any working conditions involving the protection of railroad 
employees working on railroad bridges not within the subject matter 
addressed by this chapter, including respiratory protection, hazard 
communication, hearing protection, welding and lead exposure standards, 
shall be governed by the regulations of the U.S. Department of

[[Page 126]]

Labor, Occupational Safety and Health Administration.



Sec. 214.103  Fall protection, generally.

    (a) Except as provided in paragraphs (b) through (d) of this 
section, when employees work twelve feet or more above the ground or 
water surface, they shall be provided and shall use a personal fall 
arrest system or safety net system. All fall protection systems required 
by this section shall conform to the standards set forth in Sec. 214.105 
of this subpart.
    (b)(1) This section shall not apply if the installation of the fall 
arrest system poses a greater exposure to risk than the work to be 
performed. In any action brought by FRA to enforce the fall protection 
requirements, the railroad or railroad contractor shall have the burden 
of proving that the installation of such device poses greater exposure 
to risk than performance of the work itself.
    (2) This section shall not apply to employees engaged in inspection 
of railroad bridges conducted in full compliance with the following 
conditions:
    (i) The railroad or railroad contractor has a written program in 
place that requires training in, adherence to, and use of safe 
procedures associated with climbing techniques and procedures to be 
used;
    (ii) The employee to whom this exception applies has been trained 
and qualified according to that program to perform bridge inspections, 
has been previously and voluntarily designated to perform inspections 
under the provisions of that program, and has accepted the designation;
    (iii) The employee to whom this exception applies is familiar with 
the appropriate climbing techniques associated with all bridge 
structures the employee is responsible for inspecting;
    (iv) The employee to whom this exception applies is engaged solely 
in moving on or about the bridge or observing, measuring, and recording 
the dimensions and condition of the bridge and its components; and
    (v) The employee to whom this exception applies is provided all 
equipment necessary to meet the needs of safety, including any 
specialized or alternative systems required.
    (c) This section shall not apply where employees are working on a 
railroad bridge equipped with walkways and railings of sufficient 
height, width, and strength to prevent a fall, provided that the 
employee does not work beyond the railings, over the side of the bridge, 
on ladders or other elevation devices, or where gaps or holes exist 
through which a body could fall. Where used in place of fall protection 
as provided for in Sec. 214.105, this paragraph (c) is satisfied by:
    (1) Walkways and railings meeting the standards set forth in the 
American Railway Engineering Association's Manual for Railway 
Engineering; and
    (2) Roadways attached to railroad bridges, provided that employees 
on the roadway deck work or move at a distance of six feet or more from 
the edge of the roadway deck, or from an opening through which a person 
could fall.
    (d) This section shall not apply where employees are performing 
repairs or inspections of a minor nature that are completed by working 
exclusively between the outside rails, including, but not limited to, 
routine welding, spiking, anchoring, spot surfacing, and joint bolt 
replacement.

[57 FR 28127, June 24, 1992, as amended at 59 FR 30883, June 16, 1994]



Sec. 214.105  Fall protection systems standards and practices.

    (a) General requirements. All fall protection systems required by 
this subpart shall conform to the following:
    (1) Fall protection systems shall be used only for employee fall 
protection.
    (2) Any fall protection system subjected to impact loading shall be 
immediately and permanently removed from service unless fully inspected 
and determined by a competent person to be undamaged and suitable for 
reuse.
    (3) All fall protection system components shall be protected from 
abrasions, corrosion, or any other form of deterioration.
    (4) All fall protection system components shall be inspected prior 
to each use for wear, damage, corrosion, mildew, and other 
deterioration. Defective components shall be permanently removed from 
service.

[[Page 127]]

    (5) Prior to use and after any component or system is changed, 
employees shall be trained in the application limits of the equipment, 
proper hook-up, anchoring and tie-off techniques, methods of use, and 
proper methods of equipment inspection and storage.
    (6) The railroad or railroad contractor shall provide for prompt 
rescue of employees in the event of a fall.
    (7) Connectors shall have a corrosion-resistant finish, and all 
surfaces and edges shall be smooth to prevent damage to interfacing 
parts of the system.
    (8) Connectors shall be drop forged, pressed or formed steel, or 
made of equivalent-strength materials.
    (9) Anchorages, including single- and double-head anchors, shall be 
capable of supporting at least 5,000 pounds per employee attached, or 
shall be designed, installed, and used under the supervision of a 
qualified person as part of a complete personal fall protection system 
that maintains a safety factor of at least two.
    (b) Personal fall arrest systems. All components of a personal fall 
arrest system shall conform to the following standards:
    (1) Lanyards and vertical lifelines that tie off one employee shall 
have a minimum breaking strength of 5,000 pounds.
    (2) Self-retracting lifelines and lanyards that automatically limit 
free fall distance to two feet or less shall have components capable of 
sustaining a minimum static tensile load of 3,000 pounds applied to the 
device with the lifeline or lanyard in the fully extended position.
    (3) Self-retracting lifelines and lanyards that do not limit free 
fall distance to two feet or less, ripstitch, and tearing and deformed 
lanyards shall be capable of withstanding 5,000 pounds applied to the 
device with the lifeline or lanyard in the fully extended position.
    (4) Horizontal lifelines shall be designed, installed, and used 
under the supervision of a competent person, as part of a complete 
personal fall arrest system that maintains a safety factor of at least 
two.
    (5) Lifelines shall not be made of natural fiber rope.
    (6) The personal fall arrest system shall limit the maximum 
arresting force on an employee to 900 pounds when used with a body belt.
    (7) The personal fall arrest system shall limit the maximum 
arresting force on an employee to 1,800 pounds when used with a body 
harness.
    (8) The personal fall arrest system shall bring an employee to a 
complete stop and limit maximum deceleration distance an employee 
travels to 3.5 feet.
    (9) The personal fall arrest system shall have sufficient strength 
to withstand twice the potential impact energy of an employee free 
falling a distance of six feet, or the free fall distance permitted by 
the system, whichever is less.
    (10) The personal fall arrest system shall be arranged so that an 
employee cannot free fall more than six feet and cannot contact the 
ground or any lower horizontal surface of the bridge.
    (11) Personal fall arrest systems shall be worn with the attachment 
point of the body belt located in the center of the wearer's back, and 
the attachment point of the body harness located in the center of the 
wearer's back near shoulder level, or above the wearer's head.
    (12) When vertical lifelines are used, each employee shall be 
provided with a separate lifeline.
    (13) Devices used to connect to a horizontal lifeline that may 
become a vertical lifeline shall be capable of locking in either 
direction.
    (14) Dee-rings and snap-hooks shall be capable of sustaining a 
minimum tensile load of 3,600 pounds without cracking, breaking, or 
taking permanent deformation.
    (15) Dee-rings and snap-hooks shall be capable of sustaining a 
minimum tensile load of 5,000 pounds.
    (16) Snap-hooks shall not be connected to each other.
    (17) Snap-hooks shall be dimensionally compatible with the member to 
which they are connected to prevent unintentional disengagement, or 
shall be a locking snap-hook designed to prevent unintentional 
disengagement.
    (18) Unless of a locking type, snap-hooks shall not be engaged:

[[Page 128]]

    (i) Directly next to webbing, rope, or wire rope;
    (ii) To each other;
    (iii) To a dee-ring to which another snap-hook or other connector is 
attached;
    (iv) To a horizontal lifeline; or
    (v) To any object that is incompatibly shaped or dimensioned in 
relation to the snap-hook so that unintentional disengagement could 
occur.
    (c) Safety net systems. Use of safety net systems shall conform to 
the following standards and practices:
    (1) Safety nets shall be installed as close as practicable under the 
walking/working surface on which employees are working, but shall not be 
installed more than 30 feet below such surface.
    (2) If the distance from the working surface to the net exceeds 30 
feet, employees shall be protected by personal fall arrest systems.
    (3) The safety net shall be installed such that any fall from the 
working surface to the net is unobstructed.
    (4) Except as provided in this subsection, safety nets and net 
installations shall be drop-tested at the jobsite after initial 
installation and before being used as a fall protection system, whenever 
relocated, after major repair, and at six-month intervals if left in one 
place. The drop-test shall consist of a 400-pound bag of sand 30 inches, 
plus or minus two inches, in diameter dropped into the net from the 
highest (but not less than 3\1/2\ feet) working surface on which 
employees are to be protected.
    (i) When the railroad or railroad contractor demonstrates that a 
drop-test is not feasible and, as a result, the test is not performed, 
the railroad or railroad contractor, or designated competent person, 
shall certify that the net and its installation are in compliance with 
the provisions of this section by preparing a certification record prior 
to use of the net.
    (ii) The certification shall include an identification of the net, 
the date it was determined that the net was in compliance with this 
section, and the signature of the person making this determination. Such 
person's signature shall certify that the net and its installation are 
in compliance with this section. The most recent certification for each 
net installation shall be available at the jobsite where the subject net 
is located.
    (5) Safety nets and their installations shall be capable of 
absorbing an impact force equal to that produced by the drop test 
specified in this section.
    (6) The safety net shall be installed such that there is no contact 
with surfaces or structures below the net when subjected to an impact 
force equal to the drop test specified in this section.
    (7) Safety nets shall extend outward from the outermost projection 
of the work surface as follows:
    (i) When the vertical distance from the working level to the 
horizontal plane of the net is 5 feet or less, the minimum required 
horizontal distance of the outer edge of the net beyond the edge of the 
working surface is 8 feet.
    (ii) When the vertical distance from the working level to the 
horizontal plane of the net is more than 5 feet, but less than 10 feet, 
the minimum required horizontal distance of the outer edge of the net 
beyond the edge of the working surface is 10 feet.
    (iii) When the vertical distance from the working level to the 
horizontal plane of the net is more than 10 feet, the minimum required 
horizontal distance of the outer edge of the net beyond the edge of the 
working surface is 13 feet.
    (8) Defective nets shall not be used. Safety nets shall be inspected 
at least once a week for mildew, wear, damage, and other deterioration. 
Defective components shall be removed permanently from service.
    (9) Safety nets shall be inspected after any occurrence that could 
affect the integrity of the safety net system.
    (10) Tools, scraps, or other materials that have fallen into the 
safety net shall be removed as soon as possible, and at least before the 
next work shift.
    (11) Each safety net shall have a border rope for webbing with a 
minimum breaking strength of 5,000 pounds.
    (12) The maximum size of each safety net mesh opening shall not 
exceed 36 square inches and shall not be longer than 6 inches on any 
side measured center-to-center of mesh ropes or webbing. All mesh 
crossing shall be secured to prevent enlargement of the mesh opening.

[[Page 129]]

    (13) Connections between safety net panels shall be as strong as 
integral net components and shall be spaced not more than 6 inches 
apart.



Sec. 214.107  Working over or adjacent to water.

    (a) Employees working over or adjacent to water with a depth of four 
feet or more, or where the danger of drowning exists, shall be provided 
and shall use life vests or buoyant work vests in compliance with U.S. 
Coast Guard requirements in 46 CFR 160.047, 160.052, and 160.053. Life 
preservers in compliance with U.S. Coast Guard requirements in 46 CFR 
160.055 shall also be within ready access. This section shall not apply 
to employees using personal fall arrest systems or safety nets that 
comply with this subpart.
    (b) Life vests or bouyant work vests shall not be required when 
employees are conducting inspections that involve climbing structures 
above or below the bridge deck.
    (c) Prior to each use, all flotation devices shall be inspected for 
defects that reduce their strength or bouyancy by designated individuals 
trained by the railroad or railroad contractor. Defective units shall 
not be used.
    (d) Where life vests are required by paragraph (a) of this section, 
ring buoys with at least 90 feet of line shall be provided and readily 
available for emergency rescue operations. Distance between ring buoys 
shall not exceed 200 feet.
    (e) Where life vests are required, at least one lifesaving skiff, 
inflatable boat, or equivalent device shall be immediately available. If 
it is determined by a competent person that environmental conditions, 
including weather, water speed, and terrain, merit additional 
protection, the skiff or boat shall be manned.



Sec. 214.109  Scaffolding.

    (a) Scaffolding used in connection with railroad bridge maintenance, 
inspection, testing, and construction shall be constructed and 
maintained in a safe condition and meet the following minimum 
requirements:
    (1) Each scaffold and scaffold component, except suspension ropes 
and guardrail systems, but including footings and anchorage, shall be 
capable of supporting, without failure, its own weight and at least four 
times the maximum intended load applied or transmitted to that scaffold 
or scaffold component.
    (2) Guardrail systems shall be capable of withstanding, without 
failure, a force of at least 200 pounds applied within two inches of the 
top edge, in any outward or downward direction, at any point along the 
top edge.
    (3) Top edge height of toprails, or equivalent guardrail system 
member, shall be 42 inches, plus or minus three inches. Supports shall 
be at intervals not to exceed eight feet. Toeboards shall be a minimum 
of four inches in height.
    (4) Midrails, screens, mesh, intermediate vertical members, solid 
panels, and equivalent structural members shall be capable of 
withstanding, without failure, a force of at least 150 pounds applied in 
any downward or outward direction at any point along the midrail or 
other member.
    (5) Midrails shall be installed at a height midway between the top 
edge of the guardrail system and the walking/working level.
    (b) Scaffolds shall not be altered or moved while they are occupied. 
This paragraph does not apply to vertical movements of mobile scaffolds 
that are designed to move vertically while occupied.
    (c) An access ladder or equivalent safe access shall be provided.
    (d) All exposed surfaces shall be prepared and cleared to prevent 
injury due to laceration, puncture, tripping, or falling hazard.
    (e) All scaffold design, construction, and repair shall be completed 
by competent individuals trained and knowledgeable about design 
criteria, intended use, structural limitations, and procedures for 
proper repair.
    (f) Manually propelled mobile ladder stands and scaffolds shall 
conform to the following:
    (1) All manually propelled mobile ladder stands and scaffolds shall 
be capable of carrying the design load.
    (2) All ladder stands, scaffolds, and scaffold components shall be 
capable of supporting, without failure, displacement, or settlement, its 
own weight

[[Page 130]]

and at least four times the maximum intended load applied or transmitted 
to that ladder stand, scaffold, or scaffold component.
    (3) All exposed surfaces shall be free from sharp edges or burrs.
    (4) The maximum work level height shall not exceed four times the 
minimum or least base dimensions of any mobile ladder stand or scaffold. 
Where the basic mobile unit does not meet this requirement, suitable 
outrigger frames shall be employed to achieve this least base dimension, 
or equivalent provisions shall be made to guy or brace the unit against 
tipping.
    (5) The minimum platform width for any work level shall not be less 
than 20 inches for mobile scaffolds (towers). Ladder stands shall have a 
minimum step width of 16 inches. The steps of ladder stands shall be 
fabricated from slip resistant treads.
    (6) Guardrails and midrails shall conform to the requirements listed 
in paragraph (a) of this section.
    (7) A climbing ladder or stairway shall be provided for proper 
access and egress, and shall be affixed or built into the scaffold and 
so located that in its use it will not have a tendency to tip the 
scaffold.
    (8) Wheels or casters shall be capable of supporting, without 
failure, at least four times the maximum intended load applied or 
transmitted to that component. All scaffold casters shall be provided 
with a positive wheel and/or swivel lock to prevent movement. Ladder 
stands shall have at least two of the four casters and shall be of the 
swivel type.



Sec. 214.111  Personal protective equipment, generally.

    With the exception of foot protection, the railroad or railroad 
contractor shall provide and the employee shall use all appropriate 
personal protective equipment described in this subpart in all 
operations where there is exposure to hazardous conditions, or where 
this subpart indicates the need for using such equipment to reduce 
hazards to railroad employees. The railroad or railroad contractor shall 
require the use of foot protection when the potential for foot injury 
exists.

[59 FR 30883, June 16, 1994]



Sec. 214.113  Head protection.

    (a) Railroad employees working in areas where there is a possible 
danger of head injury from impact, or from falling or flying objects, or 
from electrical shock and burns, shall be provided and shall wear 
protective helmets.
    (b) Helmets for the protection of railroad employees against impact 
and penetration of falling and flying objects, or from high voltage 
electrical shock and burns shall conform to the national consensus 
standards for industrial head protection (American National Standards 
Institute, American National Standard Z89.1-1986, Protective Headwear 
for Industrial Workers). This incorporation by reference was approved by 
the Director of the Federal Register in accordance with 5 U.S.C. 552(a) 
and 1 CFR part 51. Copies may be obtained from the American National 
Standards Institute, 11 West 42nd Street, New York, NY 10036. Copies may 
be inspected at the Federal Railroad Administration, Docket Clerk, 400 
7th Street, SW., Washington, DC, or at the Office of the Federal 
Register, 800 North Capitol Street, NW., suite 700, Washington, DC.

[57 FR 28127, June 24, 1992, as amended at 59 FR 30883, June 16, 1994]



Sec. 214.115  Foot protection.

    (a) The railroad or railroad contractor shall require railroad 
employees to wear foot protection equipment when potential foot injury 
may result from impact, falling or flying objects, electrical shock or 
burns, or other hazardous condition.
    (b) Safety-toe footwear for railroad employees shall conform to the 
national consensus standards for safety-toe footwear (American National 
Standards Institute, American National Standard Z41-1991, Standard for 
Personal Protection--Protective Footwear). This incorporation by 
reference was approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be 
obtained from the American National Standards Institute, 11 West 42nd 
Street, New York, NY 10036. Copies may be inspected at the Federal 
Railroad Administration, Docket

[[Page 131]]

Clerk, 400 7th Street, SW., Washington, DC, or at the Office of the 
Federal Register, 800 North Capitol Street, NW., suite 700, Washington, 
DC.

[57 FR 28127, June 24, 1992, as amended at 59 FR 30883, June 16, 1994]



Sec. 214.117  Eye and face protection.

    (a) Railroad employees shall be provided and shall wear eye and face 
protection equipment when potential eye or face injury may result from 
physical, chemical, or radiant agents.
    (b) Eye and face protection equipment required by this section shall 
conform to the national consensus standards for occupational and 
educational eye and face protection (American National Standards 
Institute, American National Standard Z87.1-1989, Practice for 
Occupational and Educational Eye and Face Protection). This 
incorporation by reference was approved by the Director of the Federal 
Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies 
may be obtained from the American National Standards Institute, 11 West 
42nd Street, New York, NY 10036. Copies may be inspected at the Federal 
Railroad Administration, Docket Clerk, 400 7th Street, SW., Washington, 
DC, or at the Office of the Federal Register, 800 North Capitol Street, 
NW., suite 700, Washington, DC.
    (c) Face and eye protection equipment required by this section shall 
be kept clean and in good repair. Use of equipment with structural or 
optical defects is prohibited.
    (d) Railroad employees whose vision requires the use of corrective 
lenses, when required by this regulation to wear eye protection, shall 
be protected by goggles or spectacles of one of the following types:
    (i) Spectacles whose protective lenses provide optical correction 
the frame of which includes shielding against objects reaching the 
wearer's eyes around the lenses;
    (ii) Goggles that can be worn over corrective lenses without 
disturbing the adjustment of the lenses; or
    (iii) Goggles that incorporate corrective lenses mounted behind the 
protective lenses.

[57 FR 28127, June 24, 1992, as amended at 59 FR 30884, June 16, 1994]



                  Subpart C--Roadway Worker Protection

    Source: 61 FR 65976, Dec. 16, 1996, unless otherwise noted.



Sec. 214.301  Purpose and scope.

    (a) The purpose of this subpart is to prevent accidents and 
casualties caused by moving railroad cars, locomotives or roadway 
maintenance machines striking roadway workers or roadway maintenance 
machines.
    (b) This subpart prescribes minimum safety standards for roadway 
workers. Each railroad and railroad contractor may prescribe additional 
or more stringent operating rules, safety rules, and other special 
instructions that are consistent with this subpart.
    (c) This subpart prescribes safety standards related to the movement 
of roadway maintenance machines where such movements affect the safety 
of roadway workers. This subpart does not otherwise affect movements of 
roadway maintenance machines that are conducted under the authority of a 
train dispatcher, a control operator, or the operating rules of the 
railroad.



Sec. 214.302  Information and collection requirements.

    (a) The information collection requirements of this part were 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1995, Public Law 104-13, Sec. 2, 109 Stat.163 
(1995) (codified as revised at 44 U.S.C. Secs. 3501-3520), and are 
assigned OMB control number 2130-0539. FRA may not conduct or sponsor 
and a respondent is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number.
    (b) The information collection requirements are found in the 
following sections: Secs. 214.303, 214.307, 214.309, 214.311, 214.313, 
214.315, 214.319, 214.321,

[[Page 132]]

214.323, 214.325, 214.327, 214.329, 214.331, 214.335, 214.341.



Sec. 214.303  Railroad on-track safety programs, generally.

    (a) Each railroad to which this part applies shall adopt and 
implement a program that will afford on-track safety to all roadway 
workers whose duties are performed on that railroad. Each such program 
shall provide for the levels of protection specified in this subpart.
    (b) Each on-track safety program adopted to comply with this part 
shall include procedures to be used by each railroad for monitoring 
effectiveness of and compliance with the program.



Sec. 214.305  Compliance dates.

    Each program adopted by a railroad shall comply not later than the 
date specified in the following schedule:
    (a) For each Class I railroad (including National Railroad Passenger 
Corporation) and each railroad providing commuter service in a 
metropolitan or suburban area, March 15, 1997.
    (b) For each Class II railroad, April 15, 1997.
    (c) For each Class III railroad, switching and terminal railroad, 
and any railroad not otherwise classified, May 15, 1997.
    (d) For each railroad commencing operations after the pertinent date 
specified in this section, the date on which operations commence.



Sec. 214.307  Review and approval of individual on-track safety programs by FRA.

    (a) Each railroad shall notify, in writing, the Associate 
Administrator for Safety, Federal Railroad Administration, RRS-15, 400 
Seventh Street SW, Washington, DC 20590, not less than one month before 
its on-track safety program becomes effective. The notification shall 
include the effective date of the program, the address of the office at 
which the program documents are available for review and photocopying by 
representatives of the Federal Railroad Administrator, and the name, 
title, address and telephone number of the primary person to be 
contacted with regard to review of the program. This notification 
procedure shall also apply to subsequent changes to a railroad's on-
track safety program.
    (b) After receipt of the notification from the railroad, the Federal 
Railroad Administration will conduct a formal review of the on-track 
safety program. The Federal Railroad Administration will notify the 
primary railroad contact person of the results of the review, in 
writing, whether the on-track safety program or changes to the program 
have been approved by the Administrator, and if not approved, the 
specific points in which the program or changes are deficient.
    (c) A railroad's on-track safety program will take effect by the 
established compliance dates in Sec. 214.305, without regard to the date 
of review or approval by the Federal Railroad Administration. Changes to 
a railroad's program will take effect on dates established by each 
railroad without regard to the date of review and approval by the 
Federal Railroad Administration.



Sec. 214.309  On-track safety program documents.

    Rules and operating procedures governing track occupancy and 
protection shall be maintained together in one manual and be readily 
available to all roadway workers. Each roadway worker responsible for 
the on-track safety of others, and each lone worker, shall be provided 
with and shall maintain a copy of the program document.



Sec. 214.311  Responsibility of employers.

    (a) Each employer is responsible for the understanding and 
compliance by its employees with its rules and the requirements of this 
part.
    (b) Each employer shall guarantee each employee the absolute right 
to challenge in good faith whether the on-track safety procedures to be 
applied at the job location comply with the rules of the operating 
railroad, and to remain clear of the track until the challenge is 
resolved.
    (c) Each employer shall have in place a written procedure to achieve 
prompt and equitable resolution of challenges made in accordance with 
Secs. 214.311(b) and 214.313(d).

[[Page 133]]



Sec. 214.313  Responsibility of individual roadway workers.

    (a) Each roadway worker is responsible for following the on-track 
safety rules of the railroad upon which the roadway worker is located.
    (b) A roadway worker shall not foul a track except when necessary 
for the performance of duty.
    (c) Each roadway worker is responsible to ascertain that on-track 
safety is being provided before fouling a track.
    (d) Each roadway worker may refuse any directive to violate an on-
track safety rule, and shall inform the employer in accordance with 
Sec. 214.311 whenever the roadway worker makes a good faith 
determination that on-track safety provisions to be applied at the job 
location do not comply with the rules of the operating railroad.



Sec. 214.315  Supervision and communication.

    (a) When an employer assigns duties to a roadway worker that call 
for that employee to foul a track, the employer shall provide the 
employee with a job briefing that includes information on the means by 
which on-track safety is to be provided, and instruction on the on-track 
safety procedures to be followed.
    (b) A job briefing for on-track safety shall be deemed complete only 
after the roadway worker has acknowledged understanding of the on-track 
safety procedures and instructions presented.
    (c) Every roadway work group whose duties require fouling a track 
shall have one roadway worker designated by the employer to provide on-
track safety for all members of the group. The designated person shall 
be qualified under the rules of the railroad that conducts train 
operations on those tracks to provide the protection necessary for on-
track safety of each individual in the group. The responsible person may 
be designated generally, or specifically for a particular work 
situation.
    (d) Before any member of a roadway work group fouls a track, the 
designated person providing on-track safety for the group under 
paragraph (c) of this section shall inform each roadway worker of the 
on- track safety procedures to be used and followed during the 
performance of the work at that time and location. Each roadway worker 
shall again be so informed at any time the on-track safety procedures 
change during the work period. Such information shall be given to all 
roadway workers affected before the change is effective, except in cases 
of emergency. Any roadway workers who, because of an emergency, cannot 
be notified in advance shall be immediately warned to leave the fouling 
space and shall not return to the fouling space until on-track safety is 
re-established.
    (e) Each lone worker shall communicate at the beginning of each duty 
period with a supervisor or another designated employee to receive a job 
briefing and to advise of his or her planned itinerary and the 
procedures that he or she intends to use for on-track safety. When 
communication channels are disabled, the job briefing shall be conducted 
as soon as possible after the beginning of the work period when 
communications are restored.



Sec. 214.317  On-track safety procedures, generally.

    Each employer subject to the provisions of this part shall provide 
on-track safety for roadway workers by adopting a program that contains 
specific rules for protecting roadway workers that comply with the 
provisions of Secs. 214.319 through 214.337 of this part.



Sec. 214.319  Working limits, generally.

    Working limits established on controlled track shall conform to the 
provisions of Sec. 214.321 Exclusive track occupancy, or Sec. 214.323 
Foul time, or Sec. 214. 325 Train coordination. Working limits 
established on non-controlled track shall conform to the provision of 
Sec. 214.327 Inaccessible track. Working limits established under any 
procedure shall, in addition, conform to the following provisions:
    (a) Only a roadway worker who is qualified in accordance with 
Sec. 214.353 of this part shall establish or have control over working 
limits for the purpose of establishing on-track safety.
    (b) Only one roadway worker shall have control over working limits 
on any one segment of track.

[[Page 134]]

    (c) All affected roadway workers shall be notified before working 
limits are released for the operation of trains. Working limits shall 
not be released until all affected roadway workers have either left the 
track or have been afforded on-track safety through train approach 
warning in accordance with Sec. 214.329 of this subpart.



Sec. 214.321  Exclusive track occupancy.

    Working limits established on controlled track through the use of 
exclusive track occupancy procedures shall comply with the following 
requirements:
    (a) The track within working limits shall be placed under the 
control of one roadway worker by either:
    (1) Authority issued to the roadway worker in charge by the train 
dispatcher or control operator who controls train movements on that 
track,
    (2) Flagmen stationed at each entrance to the track within working 
limits and instructed by the roadway worker in charge to permit the 
movement of trains and equipment into the working limits only as 
permitted by the roadway worker in charge, or
    (3) The roadway worker in charge causing fixed signals at each 
entrance to the working limits to display an aspect indicating ``Stop.''
    (b) An authority for exclusive track occupancy given to the roadway 
worker in charge of the working limits shall be transmitted on a written 
or printed document directly, by relay through a designated employee, in 
a data transmission, or by oral communication, to the roadway worker by 
the train dispatcher or control operator in charge of the track.
    (1) Where authority for exclusive track occupancy is transmitted 
orally, the authority shall be written as received by the roadway worker 
in charge and repeated to the issuing employee for verification.
    (2) The roadway worker in charge of the working limits shall 
maintain possession of the written or printed authority for exclusive 
track occupancy while the authority for the working limits is in effect.
    (3) The train dispatcher or control operator in charge of the track 
shall make a written or electronic record of all authorities issued to 
establish exclusive track occupancy.
    (c) The extent of working limits established through exclusive track 
occupancy shall be defined by one of the following physical features 
clearly identifiable to a locomotive engineer or other person operating 
a train or railroad equipment:
    (1) A flagman with instructions and capability to hold all trains 
and equipment clear of the working limits;
    (2) A fixed signal that displays an aspect indicating ``Stop'';
    (3) A station shown in the time-table, and identified by name with a 
sign, beyond which train movement is prohibited by train movement 
authority or the provisions of a direct train control system.
    (4) A clearly identifiable milepost sign beyond which train movement 
is prohibited by train movement authority or the provisions of a direct 
train control system; or
    (5) A clearly identifiable physical location prescribed by the 
operating rules of the railroad that trains may not pass without proper 
authority.
    (d) Movements of trains and roadway maintenance machines within 
working limits established through exclusive track occupancy shall be 
made only under the direction of the roadway worker having control over 
the working limits. Such movements shall be restricted speed unless a 
higher speed has been specifically authorized by the roadway worker in 
charge of the working limits.



Sec. 214.323  Foul time.

    Working limits established on controlled track through the use of 
foul time procedures shall comply with the following requirements:
    (a) Foul time may be given orally or in writing by the train 
dispatcher or control operator only after that employee has withheld the 
authority of all trains to move into or within the working limits during 
the foul time period.
    (b) Each roadway worker to whom foul time is transmitted orally 
shall repeat the track number, track limits and time limits of the foul 
time to the issuing employee for verification before the foul time 
becomes effective.

[[Page 135]]

    (c) The train dispatcher or control operator shall not permit the 
movement of trains or other on-track equipment onto the working limits 
protected by foul time until the roadway worker who obtained the foul 
time has reported clear of the track.



Sec. 214.325  Train coordination.

    Working limits established by a roadway worker through the use of 
train coordination shall comply with the following requirements:
    (a) Working limits established by train coordination shall be within 
the segments of track or tracks upon which only one train holds 
exclusive authority to move.
    (b) The roadway worker who establishes working limits by train 
coordination shall communicate with a member of the crew of the train 
holding the exclusive authority to move, and shall determine that:
    (1) The train is visible to the roadway worker who is establishing 
the working limits,
    (2) The train is stopped,
    (3) Further movements of the train will be made only as permitted by 
the roadway worker in charge of the working limits while the working 
limits remain in effect, and
    (4) The crew of the train will not give up its exclusive authority 
to move until the working limits have been released to the train crew by 
the roadway worker in charge of the working limits.



Sec. 214.327  Inaccessible track.

    (a) Working limits on non-controlled track shall be established by 
rendering the track within working limits physically inaccessible to 
trains at each possible point of entry by one of the following features:
    (1) A flagman with instructions and capability to hold all trains 
and equipment clear of the working limits;
    (2) A switch or derail aligned to prevent access to the working 
limits and secured with an effective securing device by the roadway 
worker in charge of the working limits;
    (3) A discontinuity in the rail that precludes passage of trains or 
engines into the working limits;
    (4) Working limits on controlled track that connects directly with 
the inaccessible track, established by the roadway worker in charge of 
the working limits on the inaccessible track; or
    (5) A remotely controlled switch aligned to prevent access to the 
working limits and secured by the control operator of such remotely 
controlled switch by application of a locking or blocking device to the 
control of that switch, when:
    (i) The control operator has secured the remotely controlled switch 
by applying a locking or blocking device to the control of the switch, 
and
    (ii) The control operator has notified the roadway worker who has 
established the working limits that the requested protection has been 
provided, and
    (iii) The control operator is not permitted to remove the locking or 
blocking device from the control of the switch until receiving 
permission to do so from the roadway worker who established the working 
limits.
    (b) Trains and roadway maintenance machines within working limits 
established by means of inaccessible track shall move only under the 
direction of the roadway worker in charge of the working limits, and 
shall move at restricted speed.
    (c) No operable locomotives or other items of on-track equipment, 
except those present or moving under the direction of the roadway worker 
in charge of the working limits, shall be located within working limits 
established by means of inaccessible track.



Sec. 214.329  Train approach warning provided by watchmen/lookouts.

    Roadway workers in a roadway work group who foul any track outside 
of working limits shall be given warning of approaching trains by one or 
more watchmen/lookouts in accordance with the following provisions:
    (a) Train approach warning shall be given in sufficient time to 
enable each roadway worker to move to and occupy a previously arranged 
place of safety not less than 15 seconds before a train moving at the 
maximum speed authorized on that track can pass the location of the 
roadway worker.

[[Page 136]]

    (b) Watchmen/lookouts assigned to provide train approach warning 
shall devote full attention to detecting the approach of trains and 
communicating a warning thereof, and shall not be assigned any other 
duties while functioning as watchmen/lookouts.
    (c) The means used by a watchman/lookout to communicate a train 
approach warning shall be distinctive and shall clearly signify to all 
recipients of the warning that a train or other on-track equipment is 
approaching.
    (d) Every roadway worker who depends upon train approach warning for 
on-track safety shall maintain a position that will enable him or her to 
receive a train approach warning communicated by a watchman/lookout at 
any time while on-track safety is provided by train approach warning.
    (e) Watchmen/lookouts shall communicate train approach warnings by a 
means that does not require a warned employee to be looking in any 
particular direction at the time of the warning, and that can be 
detected by the warned employee regardless of noise or distraction of 
work.
    (f) Every roadway worker who is assigned the duties of a watchman/
lookout shall first be trained, qualified and designated in writing by 
the employer to do so in accordance with the provisions of Sec. 214.349.
    (g) Every watchman/lookout shall be provided by the employer with 
the equipment necessary for compliance with the on-track safety duties 
which the watchman/lookout will perform.



Sec. 214.331  Definite train location.

    A roadway worker may establish on-track safety by using definite 
train location only where permitted by and in accordance with the 
following provisions:
    (a) A Class I railroad or a commuter railroad may only use definite 
train location to establish on-track safety at points where such 
procedures were in use on January 15, 1997.
    (b) Each Class I or commuter railroad shall include in its on-track 
safety program for approval by FRA in accordance with Sec. 214.307 of 
this part a schedule for phase-out of the use of definite train location 
to establish on-track safety.
    (c) A railroad other than a Class I or commuter railroad may use 
definite train location to establish on-track safety on subdivisions 
only where:
    (1) Such procedures were in use on January 15, 1997, or
    (2) The number of trains operated on the subdivision does not 
exceed:
    (i) Three during any nine-hour period in which roadway workers are 
on duty, and
    (ii) Four during any twelve-hour period in which roadway workers are 
on duty.
    (d) Definite train location shall only be used to establish on-track 
safety according to the following provisions:
    (1) Definite train location information shall be issued only by the 
one train dispatcher who is designated to authorize train movements over 
the track for which the information is provided.
    (2) A definite train location list shall indicate all trains to be 
operated on the track for which the list is provided, during the time 
for which the list is effective.
    (3) Trains not shown on the definite train location list shall not 
be operated on the track for which the list is provided, during the time 
for which the list is effective, until each roadway worker to whom the 
list has been issued has been notified of the train movement, has 
acknowledged the notification to the train dispatcher, and has canceled 
the list. A list thus canceled shall then be invalid for on-track 
safety.
    (4) Definite train location shall not be used to establish on-track 
safety within the limits of a manual interlocking, or on track over 
which train movements are governed by a Traffic Control System or by a 
Manual Block System.
    (5) Roadway workers using definite train location for on-track 
safety shall not foul a track within ten minutes before the earliest 
time that a train is due to depart the last station at which time is 
shown in approach to the roadway worker's location nor until that train 
has passed the location of the roadway worker.
    (6) A railroad shall not permit a train to depart a location 
designated in a

[[Page 137]]

definite train location list before the time shown therein.
    (7) Each roadway worker who uses definite train location to 
establish on-track safety must be qualified on the relevant physical 
characteristics of the territory for which the train location 
information is provided.



Sec. 214.333  Informational line-ups of trains.

    (a) A railroad is permitted to include informational line-ups of 
trains in its on-track safety program for use only on subdivisions of 
that railroad upon which such procedure was in effect on March 14, 1996.
    (b) Each procedure for the use of informational line-ups of trains 
found in an on-track safety program shall include all provisions 
necessary to protect roadway workers using the procedure against being 
struck by trains or other on-track equipment.
    (c) Each on-track safety program that provides for the use of 
informational line-ups shall include a schedule for discontinuance of 
the procedure by a definite date.



Sec. 214.335  On-track safety procedures for roadway work groups.

    (a) No employer subject to the provisions of this part shall require 
or permit a roadway worker who is a member of a roadway work group to 
foul a track unless on-track safety is provided by either working 
limits, train approach warning, or definite train location in accordance 
with the applicable provisions of Secs. 214.319, 214.321, 213.323, 
214.325, 214.327, 214.329 and 214.331 of this part.
    (b) No roadway worker who is a member of a roadway work group shall 
foul a track without having been informed by the roadway worker 
responsible for the on-track safety of the roadway work group that on-
track safety is provided.
    (c) Roadway work groups engaged in large-scale maintenance or 
construction shall be provided with train approach warning in accordance 
with Sec. 214.327 for movements on adjacent tracks that are not included 
within working limits.



Sec. 214.337  On-track safety procedures for lone workers.

    (a) A lone worker who fouls a track while performing routine 
inspection or minor correction may use individual train detection to 
establish on-track safety only where permitted by this section and the 
on-track safety program of the railroad.
    (b) A lone worker retains an absolute right to use on-track safety 
procedures other than individual train detection if he or she deems it 
necessary, and to occupy a place of safety until such other form of on-
track safety can be established.
    (c) Individual train detection may be used to establish on-track 
safety only:
    (1) By a lone worker who has been trained, qualified, and designated 
to do so by the employer in accordance with Sec. 214.347 of this 
subpart;
    (2) While performing routine inspection and minor correction work;
    (3) On track outside the limits of a manual interlocking, a 
controlled point, or a remotely controlled hump yard facility;
    (4) Where the lone worker is able to visually detect the approach of 
a train moving at the maximum speed authorized on that track, and move 
to a previously determined place of safety, not less than 15 seconds 
before the train would arrive at the location of the lone worker;
    (5) Where no power-operated tools or roadway maintenance machines 
are in use within the hearing of the lone worker; and
    (6) Where the ability of the lone worker to hear and see approaching 
trains and other on-track equipment is not impaired by background noise, 
lights, precipitation, fog, passing trains, or any other physical 
conditions.
    (d) The place of safety to be occupied by a lone worker upon the 
approach of a train may not be on a track, unless working limits are 
established on that track.
    (e) A lone worker using individual train detection for on-track 
safety while fouling a track may not occupy a position or engage in any 
activity that would interfere with that worker's ability to maintain a 
vigilant lookout for, and detect the approach of, a train

[[Page 138]]

moving in either direction as prescribed in this section.
    (f) A lone worker who uses individual train detection to establish 
on-track safety shall first complete a written Statement of On-track 
Safety. The Statement shall designate the limits of the track for which 
it is prepared and the date and time for which it is valid. The 
statement shall show the maximum authorized speed of trains within the 
limits for which it is prepared, and the sight distance that provides 
the required warning of approaching trains. The lone worker using 
individual train detection to establish on-track safety shall produce 
the Statement of On-track Safety when requested by a representative of 
the Federal Railroad Administrator.



Sec. 214.339  Audible warning from trains.

    Each railroad shall require that the locomotive whistle be sounded, 
and the locomotive bell be rung, by trains approaching roadway workers 
on or about the track. Such audible warning shall not substitute for on-
track safety procedures prescribed in this part.



Sec. 214.341  Roadway maintenance machines.

    (a) Each employer shall include in its on-track safety program 
specific provisions for the safety of roadway workers who operate or 
work near roadway maintenance machines. Those provisions shall address:
    (1) Training and qualification of operators of roadway maintenance 
machines.
    (2) Establishment and issuance of safety procedures both for general 
application and for specific types of machines.
    (3) Communication between machine operators and roadway workers 
assigned to work near or on roadway maintenance machines.
    (4) Spacing between machines to prevent collisions.
    (5) Space between machines and roadway workers to prevent personal 
injury.
    (6) Maximum working and travel speeds for machines dependent upon 
weather, visibility, and stopping capabilities.
    (b) Instructions for the safe operation of each roadway machine 
shall be provided and maintained with each machine large enough to carry 
the instruction document.
    (1) No roadway worker shall operate a roadway maintenance machine 
without having been trained in accordance with Sec. 214.355.
    (2) No roadway worker shall operate a roadway maintenance machine 
without having complete knowledge of the safety instructions applicable 
to that machine.
    (3) No employer shall assign roadway workers to work near roadway 
machines unless the roadway worker has been informed of the safety 
procedures applicable to persons working near the roadway machines and 
has acknowledged full understanding.
    (c) Components of roadway maintenance machines shall be kept clear 
of trains passing on adjacent tracks. Where operating conditions permit 
roadway maintenance machines to be less than four feet from the rail of 
an adjacent track, the on-track safety program of the railroad shall 
include the procedural instructions necessary to provide adequate 
clearance between the machine and passing trains.



Sec. 214.343  Training and qualification, general.

    (a) No employer shall assign an employee to perform the duties of a 
roadway worker, and no employee shall accept such assignment, unless 
that employee has received training in the on-track safety procedures 
associated with the assignment to be performed, and that employee has 
demonstrated the ability to fulfill the responsibilities for on-track 
safety that are required of an individual roadway worker performing that 
assignment.
    (b) Each employer shall provide to all roadway workers in its employ 
initial or recurrent training once every calendar year on the on-track 
safety rules and procedures that they are required to follow.
    (c) Railroad employees other than roadway workers, who are 
associated with on-track safety procedures, and whose primary duties are 
concerned with the movement and protection of trains, shall be trained 
to perform

[[Page 139]]

their functions related to on-track safety through the training and 
qualification procedures prescribed by the operating railroad for the 
primary position of the employee, including maintenance of records and 
frequency of training.
    (d) Each employer of roadway workers shall maintain written or 
electronic records of each roadway worker qualification in effect. Each 
record shall include the name of the employee, the type of qualification 
made, and the most recent date of qualification. These records shall be 
kept available for inspection and photocopying by the Federal Railroad 
Administrator during regular business hours.



Sec. 214.345  Training for all roadway workers.

    The training of all roadway workers shall include, as a minimum, the 
following:
    (a) Recognition of railroad tracks and understanding of the space 
around them within which on-track safety is required.
    (b) The functions and responsibilities of various persons involved 
with on-track safety procedures.
    (c) Proper compliance with on-track safety instructions given by 
persons performing or responsible for on-track safety functions.
    (d) Signals given by watchmen/lookouts, and the proper procedures 
upon receiving a train approach warning from a lookout.
    (e) The hazards associated with working on or near railroad tracks, 
including review of on-track safety rules and procedures.



Sec. 214.347  Training and qualification for lone workers.

    Each lone worker shall be trained and qualified by the employer to 
establish on-track safety in accordance with the requirements of this 
section, and must be authorized to do so by the railroad that conducts 
train operations on those tracks.
    (a) The training and qualification for lone workers shall include, 
as a minimum, consideration of the following factors:
    (1) Detection of approaching trains and prompt movement to a place 
of safety upon their approach.
    (2) Determination of the distance along the track at which trains 
must be visible in order to provide the prescribed warning time.
    (3) Rules and procedures prescribed by the railroad for individual 
train detection, establishment of working limits, and definite train 
location.
    (4) On-track safety procedures to be used in the territory on which 
the employee is to be qualified and permitted to work alone.
    (b) Initial and periodic qualification of a lone worker shall be 
evidenced by demonstrated proficiency.



Sec. 214.349  Training and qualification of watchmen/lookouts.

    (a) The training and qualification for roadway workers assigned the 
duties of watchmen/lookouts shall include, as a minimum, consideration 
of the following factors:
    (1) Detection and recognition of approaching trains.
    (2) Effective warning of roadway workers of the approach of trains.
    (3) Determination of the distance along the track at which trains 
must be visible in order to provide the prescribed warning time.
    (4) Rules and procedures of the railroad to be used for train 
approach warning.
    (b) Initial and periodic qualification of a watchman/lookout shall 
be evidenced by demonstrated proficiency.



Sec. 214.351  Training and qualification of flagmen.

    (a) The training and qualification for roadway workers assigned the 
duties of flagmen shall include, as a minimum, the content and 
application of the operating rules of the railroad pertaining to giving 
proper stop signals to trains and holding trains clear of working 
limits.
    (b) Initial and periodic qualification of a flagman shall be 
evidenced by demonstrated proficiency.

[[Page 140]]



Sec. 214.353  Training and qualification of roadway workers who provide on-track safety for roadway work groups.

    (a) The training and qualification of roadway workers who provide 
for the on-track safety of groups of roadway workers through 
establishment of working limits or the assignment and supervision of 
watchmen/lookouts or flagmen shall include, as a minimum:
    (1) All the on-track safety training and qualification required of 
the roadway workers to be supervised and protected.
    (2) The content and application of the operating rules of the 
railroad pertaining to the establishment of working limits.
    (3) The content and application of the rules of the railroad 
pertaining to the establishment or train approach warning.
    (4) The relevant physical characteristics of the territory of the 
railroad upon which the roadway worker is qualified.
    (b) Initial and periodic qualification of a roadway worker to 
provide on track safety for groups shall be evidenced by a recorded 
examination.



Sec. 214.355  Training and qualification in on-track safety for operators of roadway maintenance machines.

    (a) The training and qualification of roadway workers who operate 
roadway maintenance machines shall include, as a minimum:
    (1) Procedures to prevent a person from being struck by the machine 
when the machine is in motion or operation.
    (2) Procedures to prevent any part of the machine from being struck 
by a train or other equipment on another track.
    (3) Procedures to provide for stopping the machine short of other 
machines or obstructions on the track.
    (4) Methods to determine safe operating procedures for each machine 
that the operator is expected to operate.
    (b) Initial and periodic qualification of a roadway worker to 
operate roadway maintenance machines shall be evidenced by demonstrated 
proficiency.

         Appendix A to Part 214--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                    Section                      Violation     Willful
------------------------------------------------------------------------
   Subpart B--Bridge Worker Safety Standards
 
214.103 Fall protection:
  (i) Failure to provide fall protection......       $5,000      $10,000
  (ii) Failure to use fall protection.........  ...........        2,500
214.105 Standards and practices:
  (a) General:
    (1) Fall protection used for other                2,500        5,000
     purposes.................................
    (2) Failure to remove from service........        2,500        5,000
    (3) Failure to protect from deterioration.        2,500        5,000
    (4) Failure to inspect and remove.........        5,000       10,000
    (5) Failure to train......................        5,000       10,000
    (6) Failure to provide for prompt rescue..        5,000       10,000
    (7) Failure to prevent damage.............        2,500        5,000
    (8) Failure to use proper connectors......        2,500        5,000
    (9) Failure to use proper anchorages......        2,500        5,000
  (b) Fall arrest system:
    (1)-(17) Failure to provide conforming            2,500        5,000
     equipment................................
  (c) Safety net systems:
    (1) Failure to install close to workplace.        2,500        5,000
    (2) Failure to provide fall arrest if over        5,000       10,000
     30 feet..................................
    (3) Failure to provide for unobstructed           5,000       10,000
     fall.....................................
    (4) Failure to test.......................        2,500        5,000
    (5) Failure to use proper equipment.......        2,500        5,000
    (6) Failure to prevent contact with               5,000       10,000
     surface below............................
    (7) Failure to properly install...........        5,000       10,000
    (8) Failure to remove defective nets......        5,000       10,000
    (9) Failure to inspect....................        5,000       10,000
    (10) Failure to remove objects............        1,000        2,500
    (11)-(13) Failure to use conforming               2,500       10,000
     equipment................................
214.107 Working over water:
  (a)(i) Failure to provide life vest.........        5,000       10,000
    (ii) Failure to use life vest.............  ...........        1,500
  (c) Failure to inspect......................        2,500        5,000
  (e)(i) Failure to provide ring bouys........        5,000       10,000

[[Page 141]]

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

[[Page 142]]

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

[[Page 143]]

 
214.345 Training for all roadway workers
214.347 Training and qualification for lone
 workers
214.349 Training and qualification of watchmen/
 lookouts
214.351 Training and qualification of flagmen
214.353 Training and qualification of roadway
 workers who provide on-track safety for
 roadway work groups
214.355 Training and qualification in on-track
 safety for operators of roadway maintenance
 machines
------------------------------------------------------------------------
\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 $22,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.

[57 FR 28127, June 24, 1992, as amended at 61 FR 65981, Dec. 16, 1996; 
63 FR 11620, Mar. 10, 1998]



PART 215--RAILROAD FREIGHT CAR SAFETY STANDARDS--Table of Contents




                           Subpart A--General

Sec.
215.1  Scope of part.
215.3  Application.
215.5  Definitions.
215.7  Prohibited acts.
215.9  Movement of defective cars for repair.
215.11  Designated inspectors.
215.13  Pre-departure inspection.
215.15  Periodic inspection.

                    Subpart B--Freight Car Components

215.101  Scope.

                            Suspension System

215.103  Defective wheel.
215.105  Defective axle.
215.107  Defective plain bearing box: General.
215.109  Defective plain bearing box: Journal lubrication system.
215.111  Defective plain bearing.
215.113  Defective plain bearing wedge.
215.115  Defective roller bearing.
215.117  Defective roller bearing adapter.
215.119  Defective freight car truck.

                               Car Bodies

215.121  Defective car body.

                              Draft System

215.123  Defective couplers.
215.125  Defective uncoupling device.
215.127  Defective draft arrangement.
215.129  Defective cushioning device.

                     Subpart C--Restricted Equipment

215.201  Scope.
215.203  Restricted cars.

                          Subpart D--Stenciling

215.301  General.
215.303  Stenciling of restricted cars.
215.305  Stenciling of maintenance-of-way equipment.

Appendix A to Part 215--Railroad Freight Car Components
Appendix B to Part 215--Schedule of Civil Penalties
Appendix C to Part 215--FRA Freight Car Standards Defect Code
Appendix D to Part 215--Pre-Departure Inspection Procedure

    Authority: 49 U.S.C. 20103, 20107 and 49 CFR 1.49.

    Source: 44 FR 77340, Dec. 31, 1979, unless otherwise noted.



                           Subpart A--General



Sec. 215.1  Scope of part.

    This part prescribes minimum Federal safety standards for railroad 
freight cars.



Sec. 215.3  Application.

    (a) Except as provided in paragraphs (b) and (c) of this section, 
this part applies to each railroad freight car in service on:
    (1) Standard gage track of a railroad; or
    (2) Any other standard gage track while the car is being operated 
by, or is otherwise under the control of, a railroad.
    (b) Sections 215.15 and 215.303 of this part do not apply to any 
car:
    (1) Owned by a Canadian or Mexican Railroad; and
    (2) Having a Canadian or Mexican reporting mark and car number.
    (c) This part does not apply to a railroad freight car that is:
    (1) Operated solely on track inside an industrial or other non-
railroad installation; or
    (2) Used exclusively in dedicated service as defined in 
Sec. 215.5(d) of this part; or
    (3) Maintenance-of-way equipment (including self-propelled 
maintenance-of-way equipment) if that equipment is

[[Page 144]]

not used in revenue service and is stenciled in accordance with 
Sec. 215.305 of this part.



Sec. 215.5  Definitions.

    As used in this part:
    (a) Break means a fracture resulting in complete separation into 
parts;
    (b) Cracked means fractured without complete separation into parts, 
except that castings with shrinkage cracks or hot tears that do not 
significantly diminish the strength of the member are not considered to 
be ``cracked'';
    (c) Railroad freight car means a car designed to carry freight, or 
railroad personnel, by rail and includes a:
    (1) Box car;
    (2) Refrigerator car;
    (3) Ventilator car;
    (4) Stock car;
    (5) Gondola car;
    (6) Hopper car;
    (7) Flat car;
    (8) Special car;
    (9) Caboose car;
    (10) Tank car; and
    (11) Yard car.
    (d) Dedicated service means the exclusive assignment of cars to the 
transportation of freight between specified points under the following 
conditions:
    (1) The cars are operated--
    (i) Primarily on track that is inside an industrial or other non-
railroad installation; and
    (ii) Only occasionally over track of a railroad;
    (2) The cars are not operated--
    (i) At speeds of more than 15 miles per hour; and
    (ii) Over track of a railroad--
    (A) For more than 30 miles in one direction; or
    (B) On a round trip of more than 60 miles;
    (3) The cars are not freely interchanged among railroads;
    (4) The words ``Dedicated Service'' are stenciled, or otherwise 
displayed, in clearly legible letters on each side of the car body;
    (5) The cars have been examined and found safe to operate in 
dedicated service; and
    (6) The railroad must--
    (i) Notify the FRA in writing that the cars are to be operated in 
dedicated service;
    (ii) Identify in that notice--
    (A) The railroads affected;
    (B) The number and type of cars involved;
    (C) The commodities being carried; and
    (D) The territorial and speed limits within which the cars will be 
operated; and
    (iii) File the notice required by this paragraph not less than 30 
days before the cars operate in dedicated service;
    (e) In service when used in connection with a railroad freight car, 
means each railroad freight car subject to this part unless the car:
    (1) Has a ``bad order'' or ``home shop for repairs'' tag or card 
containing the prescribed information attached to each side of the car 
and is being handled in accordance with Sec. 215.9 of this part;
    (2) Is in a repair shop or on a repair track;
    (3) Is on a storage track and is empty; or
    (4) Has been delivered in interchange but has not been accepted by 
the receiving carrier.
    (f) Railroad means all forms of non-highway ground transportation 
that run on rails or electromagnetic guideways, including (1) commuter 
or other short-haul rail passenger service in a metropolitan or suburban 
area, and (2) high speed ground transportation systems that connect 
metropolitan areas, without regard to whether they use new technologies 
not associated with traditional railroads. Such term does not include 
rapid transit operations within an urban area that are not connected to 
the general railroad system of transportation.
    (g) State inspector means an inspector who is participating in 
investigative and surveillance activities under section 206 of the 
Federal Railroad Safety Act of 1970 (45 U.S.C. 435).

[44 FR 77340, Dec. 31, 1979, as amended at 45 FR 26710, Apr. 21, 1980; 
54 FR 33228, Aug. 14, 1989]



Sec. 215.7  Prohibited acts.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad;

[[Page 145]]

any owner, manufacturer, lessor, or lessee of railroad equipment, track, 
or facilities; any independent contractor providing goods or services to 
a railroad; and any employee of such owner, manufacturer, lessor, 
lessee, or independent contractor) who violates any requirement of this 
part or causes the violation of any such requirement is subject to a 
civil penalty of at least $500 and not more than $11,000 per violation, 
except that: Penalties may be assessed against individuals only for 
willful violations, and, where a grossly negligent violation or a 
pattern of repeated violations has created an imminent hazard of death 
or injury to persons, or has caused death or injury, a penalty not to 
exceed $22,000 per violation may be assessed. Each day a violation 
continues shall constitute a separate offense. See appendix B to this 
part for a statement of agency civil penalty policy.

[53 FR 28599, July 28, 1988, as amended at 53 FR 52925, Dec. 29, 1988; 
63 FR 11620, Mar. 10, 1998]



Sec. 215.9  Movement of defective cars for repair.

    (a) A railroad freight car which has any component described as 
defective in this part may be moved to another location for repair only 
after the railroad has complied with the following:
    (1) A person designated under Sec. 215.11 shall determine:
    (i) That it is safe to move the car; and
    (ii) The maximum speed and other restrictions necessary for safely 
conducting the movement;
    (2)(i) The person in charge of the train in which the car is to be 
moved shall be notified in writing and inform all other crew members of 
the presence of the defective car and the maximum speed and other 
restrictions determined under paragraph (a)(1)(ii) of this section.
    (ii) A copy of the tag or card described in paragraph (a)(3) of this 
section may be used to provide the notification required by paragraph 
(a)(2)(i) of this section.
    (3) A tag or card bearing the words ``bad order'' or ``home shop for 
repairs'' and containing the following information, shall be securely 
attached to each side of the car--
    (i) The reporting mark and car number;
    (ii) The name of the inspecting railroad;
    (iii) The inspection location and date;
    (iv) The nature of each defect;
    (v) Movement restrictions;
    (vi) The destination for shopping or repair; and
    (vii) The signature of a person designated under Sec. 215.11.
    (b)(1) The tag or card required by paragraph (a)(3) of this section 
may only be removed from the car by a person designated under 
Sec. 215.11 of this part.
    (2) A record or copy of each tag or card attached to or removed from 
a car shall be retained for 90 days and, upon request, shall be made 
available within 15 calendar days for inspection by FRA or State 
inspectors.
    (3) Each tag or card removed from a car shall contain a notification 
stating the date, location, reason for its removal, and the signature of 
the person who removed it from the car. These recordkeeping requirements 
have been approved by the Office of Management and Budget in accordance 
with the Federal Reports Act of 1942.
    (c) Movement of a freight car under paragraph (a) of this section 
may be made only for the purpose of effecting repairs. If the car is 
empty, it may not be placed for loading. If the car is loaded, it may 
not be placed for unloading unless unloading is consistent with 
determinations made and restrictions imposed under paragraph (a)(1) of 
this section and--
    (1) The car is consigned for a destination on the line of haul 
between the point where the car was found defective and the point where 
repairs are made; or
    (2) Unloading is necessary for the safe repair of the car.
    (d) Nothing in this section authorizes the movement of a freight car 
subject to a Special Notice for Repairs unless the movement is made in 
accordance with the restrictions contained in the Special Notice.

[44 FR 77340, Dec. 31, 1979; 45 FR 26710, Apr. 21, 1980]

[[Page 146]]



Sec. 215.11  Designated inspectors.

    (a) Each railroad that operates railroad freight cars to which this 
part applies shall designate persons qualified to inspect railroad 
freight cars for compliance with this part and to make the 
determinations required by Sec. 215.9 of this part.
    (b) Each person designated under this section shall have 
demonstrated to the railroad a knowledge and ability to inspect railroad 
freight cars for compliance with the requirements of this part and to 
make the determinations required by Sec. 215.9 of this part.
    (c) With respect to designations under this section, each railroad 
shall maintain written records of:
    (1) Each designation in effect; and
    (2) The basis for each designation.

[45 FR 26710, Apr. 21, 1980]



Sec. 215.13  Pre-departure inspection.

    (a) At each location where a freight car is placed in a train, the 
freight car shall be inspected before the train departs. This inspection 
may be made before or after the car is placed in the train.
    (b) At a location where an inspector designated under Sec. 215.11 is 
on duty for the purpose of inspecting freight cars, the inspection 
required by paragraph (a) of this section shall be made by that 
inspector to determine whether the car is in compliance with this part.
    (c) At a location where a person designated under Sec. 215.11 is not 
on duty for the purpose of inspecting freight cars, the inspection 
required by paragraph (a) shall, as a minimum, be made for those 
conditions set forth in appendix D to this part.
    (d) Performance of the inspection prescribed by this section does 
not relieve a railroad of its liability under Sec. 215.7 for failure to 
comply with any other provision of this part.

[45 FR 26710, Apr. 21, 1980]



Sec. 215.15  Periodic inspection.

    (a) After June 30, 1980, a railroad may not place or continue in 
service a freight car that has not received an initial periodic 
inspection in accordance with 49 CFR 215.25, as in effect on October 6, 
1976 (41 FR 44044), unless--
    (1) The car is a high utilization car built or reconditioned after 
December 31, 1977; or
    (2) The car is a non-high utilization car built or reconditioned 
after December 31, 1971.
    (b) A freight car that has received an initial periodic inspection 
under paragraph (a) of this section shall be stenciled to so indicate in 
accordance with 49 CFR 215.11 and appendix C of this part, as in effect 
on October 6, 1976 (41 FR 44044). This stenciling need not be retained 
on the car after June 30, 1981.
    (c) As used in this section, ``high utilization car'' means a car--
    (1) Specifically equipped to carry trucks, automobiles, containers, 
trailers, or removable trailer bodies for the transportation of freight; 
or
    (2) Assigned to a train that operates in a continuous round trip 
cycle between the same two points.



                    Subpart B--Freight Car Components



Sec. 215.101  Scope.

    This subpart contains safety requirements prohibiting a railroad 
from placing or continuing in service a freight car that has certain 
defective components.

                            Suspension System



Sec. 215.103  Defective wheel.

    A railroad may not place or continue in service a car, if--
    (a) A wheel flange on the car is worn to a thickness of \7/8\ of an 
inch, or less, at a point \3/8\ of an inch above the tread of the wheel;
    (b) The height of a wheel flange on the car, from the tread to the 
top of the flange, is 1\1/2\ inches, or more;
    (c) The thickness of a rim of a wheel on the car is \11/16\ of an 
inch, or less;
    (d) A wheel rim, flange, plate, or hub area on the car has a crack 
or break;
    (e) A wheel on the car has a chip or gouge in the flange that is 
1\1/2\ inches in length and \1/2\ inch in width, or more;
    (f) A wheel on the car has--
    (1) A slid flat or shelled spot that is more than 2\1/2\ inches in 
length; or
    (2) Two adjoining flat or shelled spots each of which is more than 
two inches in length;

[[Page 147]]

    (g) A wheel on the car shows evidence of being loose such as oil 
seepage on the back hub or back plate;
    (h) A wheel on the car shows signs of having been overheated as 
evidenced by a reddish brown discoloration, to a substantially equal 
extent on both the front and the back face of the rim, that extends on 
either face more than four inches into the plate area measured from the 
inner edge of the front or back face of the rim; or,
    (i) A wheel on the car has been welded unless the car is being moved 
for repair in accordance with Sec. 215.9 of this part.

[44 FR 77340, Dec. 31, 1979, as amended at 50 FR 13382, Apr. 4, 1985]



Sec. 215.105  Defective axle.

    A railroad may not place or continue in service a car, if--
    (a) An axle on the car has a crack or is broken;
    (b) An axle on the car has a gouge in the surface that is--
    (1) Between the wheel seats; and
    (2) More than one-eighth inch in depth;
    (c) An axle on the car, used in conjunction with a plain bearing, 
has an end collar that is broken or cracked;
    (d) A journal on the car shows evidence of overheating, as evidenced 
by a pronounced blue black discoloration; or
    (e) The surface of the plain bearing journal on the axle, or the 
fillet on the axle, has--
    (1) A ridge;
    (2) A depression;
    (3) A circumferential score;
    (4) Corrugation;
    (5) A scratch;
    (6) A continuous streak;
    (7) Pitting;
    (8) Rust; or
    (9) Etching.



Sec. 215.107  Defective plain bearing box: General.

    A railroad may not place or continue in service a car, if the car 
has--
    (a) A plain bearing box that does not contain visible free oil;
    (b) A plain bearing box lid that is missing, broken, or open except 
to receive servicing; or
    (c) A plain bearing box containing foreign matter, such as dirt, 
sand, or coal dust, that can reasonably be expected to--
    (1) Damage the bearing; or
    (2) Have a detrimental effect on the lubrication of the journal and 
the bearings.



Sec. 215.109  Defective plain bearing box: Journal lubrication system.

    A railroad may not place or continue in service a car, if the car 
has a plain bearing box with a lubricating pad that--
    (a) Has a tear extending half the length or width of the pad, or 
more;
    (b) Shows evidence of having been scorched, burned, or glazed;
    (c) Contains decaying or deteriorated fabric that impairs proper 
lubrication of the pad;
    (d) Has--
    (1) An exposed center core (except by design); or
    (2) Metal parts contacting the journal; or
    (e) Is--
    (1) Missing; or
    (2) Not in contact with the journal.



Sec. 215.111  Defective plain bearing.

    A railroad may not place or continue in service a car, if the car 
has a plain bearing--
    (a) That is missing, cracked, or broken;
    (b) On which the bearing liner--
    (1) Is loose; or
    (2) Has a broken out piece; or
    (c) That shows signs of having been overheated, as evidenced by--
    (1) Melted babbitt;
    (2) Smoke from hot oil; or
    (3) Journal surface damage.



Sec. 215.113  Defective plain bearing wedge.

    A railroad may not place or continue in service a car, if a plain 
bearing wedge on that car is--
    (a) Missing;
    (b) Cracked;
    (c) Broken; or
    (d) Not located in its design position.



Sec. 215.115  Defective roller bearing.

    (a) A railroad may not place or continue in service a car, if the 
car has--

[[Page 148]]

    (1) A roller bearing that shows signs of having been overheated as 
evidenced by--
    (i) Discoloration; or
    (ii) Other telltale signs of overheating such as damage to the seal 
or distortion of any bearing component;
    (2) A roller bearing with a--
    (i) Loose or missing cap screw; or
    (ii) Broken, missing, or improperly applied cap screw lock; or
    (3) A roller bearing with a seal that is loose or damaged, or 
permits leakage of lubricant in clearly formed droplets.
    (b)(1) A railroad may not continue in service a car that has a 
roller bearing whose truck was involved in a derailment unless the 
bearing has been inspected and tested by:
    (i) Visual examination to determine whether it shows any sign of 
damage; and
    (ii) Spinning freely its wheel set or manually rotating the bearing 
to determine whether the bearing makes any unusual noise.
    (2) The roller bearing shall be disassembled from the axle and 
inspected internally if--
    (i) It shows any external sign of damage;
    (ii) It makes any unusual noise when its wheel set is spun freely or 
the bearing is manually rotated;
    (iii) Its truck was involved in a derailment at a speed of more than 
10 miles per hour; or
    (iv) Its truck was dragged on the ground for more than 200 feet.
    (3) Each defective roller bearing shall be repaired or replaced 
before the car is placed back in service.

[44 FR 77340, Dec. 31, 1979, as amended at 45 FR 26711, Apr. 21, 1980]



Sec. 215.117  Defective roller bearing adapter.

    A railroad may not place or continue in service a car, if the car 
has a roller bearing adapter that is--
    (a) Cracked or broken;
    (b) Not in its design position; or
    (c) Worn on the crown of the adapter to the extent that the frame 
bears on the relief portion of the adapter, as shown in the figure below 
(see figure 1).



Sec. 215.119  Defective freight car truck.

    A railroad may not place or continue in service a car, if the car 
has--
    (a) A side frame or bolster that--
    (1) Is broken; or
    (2) Has a crack of \1/4\ of an inch or more in the transverse 
direction on a tension member;
    (b) A truck equipped with a snubbing device that is ineffective, as 
evidenced by--
    (1) A snubbing friction element that is worn beyond a wear 
indicator;
    (2) A snubber wear plate that is loose, missing (except by design), 
or worn through;
    (3) A broken or missing snubber activating spring; or

[[Page 149]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.002

    (4) Snubber unit that is broken, or in the case of hydraulic units, 
is broken or leaking clearly formed droplets of oil or other fluid.
    (c) A side bearing in any of the following conditions:
    (1) Part of the side bearing assembly is missing or broken;
    (2) The bearings at one end of the car, on both sides, are in 
contact with the body bolster (except by design);
    (3) The bearings at one end of the car have a total clearance from 
the body bolster of more than \3/4\ of an inch; or
    (4) At diagonally opposite sides of the car, the bearings have a 
total clearance from the body bolsters of more than \3/4\ of an inch;
    (d) Truck springs--
    (1) That do not maintain travel or load;
    (2) That are compressed solid; or
    (3) More than one outer spring of which is broken, or missing, in 
any spring cluster;
    (e) Interference between the truck bolster and the center plate that 
prevents proper truck rotations; or
    (f) Brake beam shelf support worn so excessively that it does not 
support the brake beam.

                               Car Bodies



Sec. 215.121  Defective car body.

    A railroad may not place or continue in service a car, if:
    (a) Any portion of the car body, truck, or their appurtenances 
(except wheels) has less than a 2\1/2\ inch clearance from the top of 
rail;
    (b) The car center sill is:
    (1) Broken;
    (2) Cracked more than 6 inches; or
    (3) Permanently bent or buckled more than 2\1/2\ inches in any six 
foot length;
    (c) The car has a coupler carrier that is:
    (1) Broken;
    (2) Missing;
    (3) Non-resilient and the coupler has a type F head.
    (d) After December 1, 1983, the car is a box car and its side doors 
are not equipped with operative hangers, or the

[[Page 150]]

equivalent, to prevent the doors from becoming disengaged.
    (e) The car has a center plate:
    (1) That is not properly secured;
    (2) Any portion of which is missing; or
    (3) That is broken; or
    (4) That has two or more cracks through its cross section 
(thickness) at the edge of the plate that extend to the portion of the 
plate that is obstructed from view while the truck is in place; or
    (f) The car has a broken sidesill, crossbearer, or body bolster.

[44 FR 77340, Dec. 31, 1979, as amended at 47 FR 53737, Dec. 29, 1982]

                              Draft System



Sec. 215.123  Defective couplers.

    A railroad may not place or continue in service a car, if--
    (a) The car is equipped with a coupler shank that is bent out of 
alignment to the extent that the coupler will not couple automatically 
with the adjacent car;
    (b) The car has a coupler that has a crack in the highly stressed 
junction area of the shank and head as shown in the figure below (see 
figure 2).
    (c) The car has a coupler knuckle that is broken or cracked on the 
inside pulling face of the knuckle.
    (d) The car has a knuckle pin or knuckle thrower that is:
    (1) Missing; or
    (2) Inoperative; or
    (e) The car has a coupler retainer pin lock that is--

[[Page 151]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.003

    (1) Missing; or
    (2) Broken; or
    (f) The car has a coupler with any of the following conditions:
    (1) The locklift is inoperative;
    (2) The coupler assembly does not have anticreep protection to 
prevent unintentional unlocking of the coupler lock; or
    (3) The coupler lock is--
    (i) Missing;
    (ii) Inoperative;
    (iii) Bent;
    (iv) Cracked; or
    (v) Broken.



Sec. 215.125  Defective uncoupling device.

    A railroad may not place or continue in service a car, if the car 
has an uncoupling device without sufficient vertical and lateral 
clearance to prevent--
    (a) Fouling on curves; or
    (b) Unintentional uncouplings.



Sec. 215.127  Defective draft arrangement.

    A railroad may not place or continue in service a car, if--
    (a) The car has a draft gear that is inoperative;
    (b) The car has a broken yoke;
    (c) An end of car cushioning unit is--
    (1) Leaking clearly formed droplets; or
    (2) Inoperative;
    (d) A vertical coupler pin retainer plate--
    (1) Is missing (except by design); or
    (2) Has a missing fastener;
    (e) The car has a draft key, or draft key retainer, that is--

[[Page 152]]

    (1) Inoperative; or
    (2) Missing; or
    (f) The car has a missing or broken follower plate.



Sec. 215.129  Defective cushioning device.

    A railroad may not place or continue in service a car if it has a 
cushioning device that is--
    (a) Broken;
    (b) Inoperative; or
    (c) Missing a part--

unless its sliding components have been effectively immobilized.



                     Subpart C--Restricted Equipment



Sec. 215.201  Scope.

    This subpart contains requirements restricting the use of certain 
railroad freight cars.



215.203  Restricted cars.

    (a) This section restricts the operation of any railroad freight car 
that is--
    (1) More than 50 years old, measured from the date of original 
construction;
    (2) Equipped with any design or type component listed in appendix A 
to this part; or
    (3) Equipped with a Duryea underframe constructed before April 1, 
1950, except for a caboose which is operated as the last car in a train.
    (b) A railroad may not place or continue in service a railroad 
freight car described in paragraph (a) of this section, except under 
conditions approved by the Federal Railroad Administrator.
    (c) A railroad may petition the Administrator to continue in service 
a car described in paragraph (a) of this section. Each petition shall be
    (1) Be submitted not less than 90 days before the car is to be 
operated;
    (2) Be submitted in triplicate; and
    (3) State or describe the following:
    (i) The name and principal business address of the petitioning 
railroad.
    (ii) The name and address of the entity that controls the operation 
and maintenance of the car involved.
    (iii) The number, type, capacity, reporting marks, and car numbers 
of the cars, their condition, status, and age measured from the date of 
original construction.
    (iv) The design, type component, or other item that causes the car 
to be restricted.
    (v) The maximum load the cars would carry.
    (vi) The maximum speed at which the cars would be operated.
    (vii) That each car has been examined and found to be safe to 
operate under the conditions set forth in the petition.
    (viii) The territorial limits within which the cars are to be 
operated and the name of each railroad that will receive the cars in 
interchange.



                          Subpart D--Stenciling



Sec. 215.301  General.

    The railroad or private car owner reporting mark, the car number, 
and built date shall be stenciled, or otherwise displayed, in clearly 
legible letters and numbers not less than seven inches high, except 
those of the built date which shall not be less than one inch high:
    (a) On each side of each railroad freight car body; and
    (b) In the case of a tank car, in any location that is visible to a 
person walking at track level beside the car.



Sec. 215.303  Stenciling of restricted cars.

    (a) Each restricted railroad freight car that is described in 
Sec. 215.205(a) of this part shall be stenciled, or marked--
    (1) In clearly legible letters; and
    (2) In accordance with paragraphs (b) and (c) of this section.
    (b) The letter ``R'' shall be--
    (1) Placed immediately below or to the right of the car number;
    (2) The same color as the reporting mark; and
    (3) The same size as the reporting mark.
    (c) The following terms, to the extent needed to completely indicate 
the basis for the restricted operation of the car, shall be placed on 
the car following the symbol ``R'' in letters not less than one inch 
high:
    (1) Age.
    (2) Coupler.
    (3) Draft.
    (4) Bearings.
    (5) Truck.

[[Page 153]]

    (6) Underframe.
    (7) Wheels.
    (8) Yoke.



Sec. 215.305  Stenciling of maintenance-of-way equipment.

    (a) Maintenance-of-way equipment (including self-propelled 
maintenance-of-way equipment) described in Sec. 215.3(c)(3) shall be 
stenciled, or marked--
    (1) In clearly legible letters; and
    (2) In accordance with paragraph (b) of this section.
    (b) The letters ``MW'' must be--
    (1) At least 2 inches high; and
    (2) Placed on each side of the car.

[44 FR 77340, Dec. 31, 1979, as amended at 45 FR 26711, Apr. 21, 1980]

         Appendix A to Part 215--Railroad Freight Car Components

    List of components whose use is restricted by Sec. 215.203 of this 
part.

A.  Air brakes:
    The ``K'' type.

B.  Axles:
    1. Former AAR alternate standard tubular type.
    2. Axle with letters ``RJ'' stamped on the end of the journal.

C.  Couplers:
    1. AAR type ``D'', top or bottom operated.
    2. AAR type ``E'' with 5'' by 7'' shank.

D.  Draft arrangement:
    1. Miner FR-16 and FR-19-F draft gears.
    2. Farlow draft attachment.

E.  Plain journal bearings:
    Cartridge type.

F.  Roller bearings:
    1. Nippon Sieko Kabushiki Kaish (NSK) size 6\1/2\'' by 12'' (marked 
``AAR 11'').
    2. Hyatt cylindrical bearing, all sizes (marked ``AAR 2'').
    3. SKF ``Piggybacker'' spherical roller, size 6'' by 11'' (marked 
``AAR 7'').

G.  Trucks:
    1. Arch bar type.
    2. Truck with cast steel pedestal side frame, short wheel base, and 
no bolster.

H.  Truck bolsters:
    1. A bolster with one of the following pattern numbers listed 
according to manufacturer:

------------------------------------------------------------------------
                                       Dresser                Lenoir car
               A.S.F.                (Symington)   Birdsboro     works
------------------------------------------------------------------------
21183-B............................      BO 5234        1458     CS-184.
                                                        1468
21183-N............................      BO 5263        1471     CS-611.
                                         BO 7076
21648-C............................    BO 7076-A
22056-E............................      BO 7115
------------------------------------------------------------------------

    2. Bolster cast before 1927.
    3. Bolster without an identification mark or pattern number.
I.  1.  Truck side frames:
    A side frame with one of the following pattern numbers listed 
according to manufacturer:

------------------------------------------------------------------------
                                       National
               A.S.F.                  castings     Buckeye    Dominion
------------------------------------------------------------------------
7273................................    33793-1B      3-1776     TF-5100
7323................................  ..........       F-420
21362 (cast prior to June 1941).....
------------------------------------------------------------------------


------------------------------------------------------------------------
                                                               Canadian
      Pittsburgh steel foundry          Scullin   Bettendorf     steel
                                         steel                  foundry
------------------------------------------------------------------------
31673...............................   42-CS-180      UT 456       26565
4-1862..............................
3-1674..............................        4665
4-2045..............................        4770
12897...............................        4942
12921...............................        5220
21263...............................        5364
                                          5364-C
                                          5364-E
                                          5811-A
                                          5869-B
                                          6577-A
------------------------------------------------------------------------

    2. Side frame cast before 1927.
    3. Side frame without an identification mark or pattern number.
    4. Side frame with an ``I'', ``T'', or ``L'' section compression or 
tension member.
J.  Wheels:
    1. Cast iron wheel.
    2. Cast steel wheel marked ``AAR X-2.''
    3. Southern cast steel wheel manufactured before May 7, 1958.
    4. Griffin, three-riser cast steel wheel, ball rim design, 70-ton 
capacity.
    5. Griffin, three-riser cast steel wheel, two-wear, 70- and 50-ton 
capacity, 33 inch, (marked X-5 or CS-2).
    6. Wrought steel wheel manufactured before 1927, as indicated by 
marking on wheel.
    7. Cast steel wheel marked AAR X-4.
    8. Davis cast steel wheel.
    9. One-wear, 70-ton Southern (ABEX) U1 cast steel wheels dated May 
7, 1958 through December 31, 1969.
    A.  Wheels dated May 7, 1958, to January 1, 1964, are marked with 
the symbol ``70T'' cast on the back of the wheel plate; they are not 
marked ``U-1.''

[[Page 154]]

    B.  Wheels dated January 1, 1964 through December 31, 1969, are 
marked with the symbols ``CJ-33'' and ``U-1'' or ``70T'' and ``U-1'' 
cast on the back of the wheel plate.
K.  Yokes:
    1. Riveted type.
    2. Keyless type.
    3. Vertical key type.

         Appendix B to Part 215--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
Subpart A--General:
    215.9 Movement for repair:
        (a), (c)..............................        (\1\)        (\1\)
        (b)...................................       $2,500       $5,000
    215.11  Designation of qualified persons..        2,500        5,000
    215.13  Pre-departure inspection..........        2,000        4,000
Subpart B--Freight Car Components:
    215.103  Defective wheel:
        (a) Flange thickness of:
            (1) 7/8'' or less but more than           2,500        5,000
             \13/16\''........................
            (2) \13/16\'' or less.............        5,000        7,500
        (b) Flange height of:
            (1) 1\1/2\'' or greater but less          2,500        5,000
             than 1\5/8\''....................
            (2) 1\5/8\'' or more..............        5,000        7,500
        (c) Rim thickness of:
            (1) \11/16\'' or less but more            2,500        5,000
             than \5/8\''.....................
            (2) \5/8\'' or less...............        5,000        7,500
        (d) Wheel rim, flange plate hub width:
            (1) Crack of less than 1''........        2,500        5,000
            (2) Crack of 1'' or more..........        5,000        7,500
            (3) Break.........................        5,000        7,500
        (e) Chip or gouge in flange of:
            (1) 1\1/2\'' or more but less than        2,500        5,000
             1\5/8\'' in length; and \1/2\''
             or more but less than \5/8\'' in
             width............................
            (2) 1\5/8\'' or more in length; or        5,000        7,500
             \5/8\'' or more in width.........
        (f) Slid flat or shelled spot(s):
            (1)(i) One spot more than 2\1/            2,500        5,000
             2\'', but less than 3'', in
             length...........................
              (ii) One spot 3'' or more in            5,000        7,500
             length...........................
            (2)(i) Two adjoining spots each of        2,500        5,000
             which is more than 2'' but less
             than 2\1/2\'' in length..........
              (ii) Two adjoining spots both of        5,000        7,500
             which are at least 2'' in length,
             if either spot is 2\1/2\'', or
             more in length...................
        (g) Loose on axle                             6,000        8,500
        (h) Overheated; discoloration
         extending:
            (1) more than 4'' but less than           2,500        5,000
             4\1/2\''.........................
            (2) 4\1/2\'' or more..............        5,000        7,500
        (i) Welded                                    5,000        7,500
    215.105  Defective axle:
        (a)(1) Crack of 1'' or less...........        2,500        5,000
          (2) Crack of more than 1''..........        5,000        7,500
          (3) Break...........................        6,000        8,500
        (b) Gouge in surface that is between          2,500        5,000
         the wheel seats and is more than \1/
         8\'' in depth........................
        (c) End collar with crack or break....        2,500        5,000
        (d) Journal overheated................        5,000        7,500
        (e) Journal surface has: a ridge; a           2,500        5,000
         depression; a circumferential score;
         corrugation; a scratch; a continuous
         streak; pitting; rust; or etching....
    215.107  Defective plain bearing box:
     general:
        (a)(1) No visible free oil............        1,500        3,000
          (2) Lubricating pad dry (no                 5,000        7,500
         expression of oil observed when pad
         is compressed).......................
        (b) Box lid is missing, broken, or            1,000        2,000
         open except to receive servicing.....
        (c) Contains foreign matter that can          2,500        5,000
         be expected to damage the bearing or
         have a detrimental effect on the
         lubrication of the journal and
         bearing..............................
    215.109  Defective plain bearing box:
     journal lubrication system:
        (a) Lubricating pad has a tear........        1,000        2,000
        (b) Lubricating pad scorched, burned,         2,500        5,000
         or glazed............................
        (c) Lubricating pad contains decaying         2,500        5,000
         or deteriorating fabric..............

[[Page 155]]

 
        (d) Lubricating pad has an exposed            2,500        5,000
         center core or metal parts contacting
         the journal..........................
        (e) Lubricating pad is missing or not         5,000        7,500
         in contact with the journal..........
    215.111  Defective plain bearing:
        (a) Missing...........................        5,000        7,500
        (b) Bearing liner is loose or has             2,500        5,000
         piece broken out.....................
        (c) Overheated........................        5,000        7,500
    215.113  Defective plain bearing wedge:
        (a) Missing...........................        5,000        7,500
        (b) Cracked...........................        2,500        5,000
        (c) Broken............................        5,000        7,500
        (d) Not located in its design position        5,000        7,500
    215.115  Defective roller bearing:
        (a)(1) Overheated.....................        5,000        7,500
          (2) (i) Cap screw(s) loose..........        2,500        5,000
              (ii) Cap screw lock broken,             1,000        2,000
             missing or improperly applied....
          (3) Seal is loose or damaged, or            2,500        5,000
         permits leakage of lubricant.........
        (b)(1) Not inspected and tested after         2,500        5,000
         derailment...........................
          (2) Not disassembled after                  2,500        5,000
         derailment...........................
          (3) Not repaired or replaced after          5,000        7,500
         derailment...........................
    215.117  Defective roller bearing adapter:
        (a) Cracked or broken.................        2,500        5,000
        (b) Not in its design position........        5,000        7,500
        (c) Worn on the crown.................        2,500        5,000
    215.119  Defective freight car truck:
        (a)(1) A side frame or bolster that is        5,000        7,500
         broken...............................
          (2)(i) Side frame or bolster with           2,500        5,000
         crack of: \1/4\'' or more, but less
         than 1''.............................
              (ii) 1'' or more................        5,000        7,500
        (b) A snubbing device that is                 2,500        5,000
         ineffective or missing...............
        (c) Side bearing(s):
            (1) Assembly missing or broken....        5,000        7,500
            (2) In contact except by design...        5,000        7,500
            (3), (4) Total clearance at one
             end or at diagonally opposite
             sides of:........................
              (i) more than \3/4\'' but not           2,500        5,000
             more than 1''....................
              (ii) more than 1''..............        5,000        7,500
        (d) Truck spring(s):
            (1) Do not maintain travel or load        2,500        5,000
            (2) Compressed solid..............        2,500        5,000
            (3) Outer truck springs broken or
             missing:
              (i) Two outer springs...........        2,500        5,000
              (ii) Three or more outer springs        5,000        7,500
        (e) Truck bolster-center plate                5,000        7,500
         interference.........................
        (f) Brake beam shelf support worn.....        2,500        5,000
    215.121  Defective car body:
        (a) Has less than 2\1/2\'' clearance          2,500        5,000
         from the top of rail.................
        (b) Car center sill is:
            (1) Broken........................        6,000        8,500
            (2) Cracked more than 6''.........        2,500        5,000
            (3) Bent or buckled more than 2\1/        2,500        5,000
             2\'' in any 6' length............
        (c) Coupler carrier that is broken or         2,500        5,000
         missing..............................
        (d) Car door not equipped with                5,000        7,500
         operative safety hangers.............
        (e)(1) Center plate not properly              5,000        7,500
         secured..............................
          (2) Portion missing.................        2,500        5,000
          (3) Broken..........................        5,000        7,500
          (4) Two or more cracks..............        2,500        5,000
        (f) Broken sidesill, crossbearer, or          2,500        5,000
         body bolster.........................
    215.123  Defective couplers:
        (a) Shank bent out of alignment.......        1,000        2,000
        (b) Crack in highly stressed junction         2,500        5,000
         area.................................
        (c) Coupler knuckle broken or cracked.        2,500        5,000
        (d) Coupler knuckle pin or thrower            2,500        5,000
         that is missing or inoperative.......
        (e) Coupler retainer pin lock that is         1,000        2,000
         missing or broken....................

[[Page 156]]

 
        (f) Coupler with following conditions:        2,500        5,000
         locklift inoperative; no anticreep
         protection; or coupler lock is
         missing, inoperative, bent, cracked,
         or broken............................
    215.125  Defective uncoupling device......        2,500        5,000
    215.127  Defective draft arrangement:
        (a) Draft gear that is inoperative....        2,500        5,000
        (b) Yoke that is broken...............        2,500        5,000
        (c) End of car cushioning unit is             2,500        5,000
         leaking or inoperative...............
        (d) Vertical coupler pin retainer             5,000        7,500
         plate missing or has missing fastner.
        (e) Draft key or draft key retainer           5,000        7,500
         that is inoperative or missing.......
        (f) Follower plate that is missing or         2,500        5,000
         broken...............................
    215.129  Defective cushioning device......        2,500        5,000
Subpart C--Restricted equipment:
    215.203  Restricted cars..................        2,500        5,000
Subpart D--Stencilling:
    215.301  General..........................        1,000        2,000
    215.303  Stencilling of restricted cars...        1,000        2,000
    215.305  Stencilling of maintenance-of-way        1,000        2,000
------------------------------------------------------------------------
\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 freight car that is placed or
  continued in service by a railroad, the appropriate penalties set
  forth above are aggregated up to a maximum of $10,000 per day.
  However, a failure to perform, with respect to a particular freight
  car, the predeparture inspection required by Sec.  215.13 of this part
  will be treated as a violation separate and distinct from, and in
  addition to, any substantive violative conditions found on the car.
  The Administrator reserves the right to assess a penalty of up to
  $22,000 for any violation where circumstances warrant. See 49 CFR part
  209, appendix A.
Failure to observe any condition for movement set forth in paragraphs
  (a) and (c) of Sec.  215.9 will deprive the railroad of the benefit of
  the movement-for-repair provision and make the railroad and any
  responsible individuals liable for penalty under the particular
  regulatory section(s) concerning the substantive defect(s) present on
  the freight car at the time of movement.
Maintenance-of-way equipment not stenciled in accordance with Sec.
  215.305 is subject to all requirements of this part. See Sec.
  215.3(c)(3).


[53 FR 52925, Dec. 29, 1988, as amended at 63 FR 11620, Mar. 10, 1998]

      Appendix C to Part 215--FRA Freight Car Standards Defect Code

    The following defect code has been established for use by FRA and 
State inspectors to report defects observed during inspection of freight 
cars. The purpose of the code is to establish a uniform language among 
FRA, States, and the railroad industry that will facilitate 
communication, recordkeeping, and statistical analyses. The code may not 
be substituted for the description of defects on bad order tags affixed 
to cars being moved for repair under Sec. 215.9. However, it may be used 
to supplement that description.

                                  Index

                                 General

215.009  Improper Movement of Defective Cars.
215.011  Designation of Qualified Persons.
215.013  Failure to Perform a Pre-departure Inspection.
215.015  Failure to Complete Initial Periodic Inspection as Required.

                         Freight Car Components

                            Suspension System

215.103  Defective Wheel.
215.105  Defective Axle.
215.107  Defective Plain Bearing Box: General.
215.109  Defective Plain Bearing Box: Journal Lubrication System.
215.111  Defective Plain Bearing.
215.113  Defective Plain Bearing Wedge.
215.115  Defective Roller Bearing.
215.117  Defective Roller Bearing Adapter.
215.119  Defective Freight Car Truck.

                               Car Bodies

215.121  Defective Car Body.

                              Draft System

215.123  Defective Couplers.
215.125  Defective Uncoupling Device.
215.127  Defective Draft Arrangement.
215.129  Defective Cushioning Device.

                          Restricted Equipment

215.203  Restricted Cars.

                               Stenciling

215.301  Improper Stenciling.
215.303  Improper Stenciling of Restricted Cars.
215.305  Improper Stenciling of Maintenance-of-Way Equipment.

                         Description of Defects

215.009  Failure to meet conditions for movement of defective cars for 
          repairs.
215.011  Designation of Qualified Persons.
    (A)(1) Railroad fails to designate persons qualified to inspect 
freight cars;
    (2) Persons designated does not have knowledge and ability to 
inspect freight cars for compliance with the requirements of this part.

[[Page 157]]

    (B) Railroad fails to maintain written record of:
    (1) Each designation in effect;
    (2) The basis for this designation.
215.013  Failure to perform pre-departure inspection.
215.015  Periodic Inspection.
    (A) Railroad fails to perform the periodic inspection as required by 
June 30, 1980 on:
    (1) High utilization car built prior to December 31, 1977;
    (2) Non-high utilization car built prior to December 31, 1971;
    (B) A freight car improperly stenciled for periodic inspection.
215.103  Defective Wheel.
    (A)(1) Flanges \7/8\'' or less at \3/8\'' above the tread;
    (2) Flanges \13/16\'' or less at \3/8\'' above the tread;
    (3) Flanges \3/4\'' or less at \3/8\'' above the tread;
    (B)(1) Flange is 1\1/2\'' or more from the tread to top of flange;
    (2) Flange is 1\5/8\'' or more from the tread to top of flange;
    (3) Flange is 1\3/4\''.
    (C)(1) Rim thickness is \11/16\'' or less;
    (2) Rim thickness is \5/8\'' or less;
    (3) Rim thickness is \9/16\'' or less;
    (D) Wheel cracked or broken in: (1) rim, (2) flange, (3) plate or 
(4) hub area.
    (E) Wheel chip or gouge in flange:
    (1) 1\1/2\'' length and \1/2\'' in width or more;
    (2) 1\5/8\'' length and \5/8\'' in width or more;
    (3) 1\3/4\'' in length and \3/4\'' in width or more.
    (F) Wheel has slid flat spot or shelled spot:
    (1) 2\1/2\'' in length or more;
    (2) Has two adjoining flat spots each of which is 2'' in length or 
greater;
    (3) A single flat spot 3'' in length or more;
    (4) Has two adjoining flat spots one of which is at least 2'' in 
length and the other is 2\1/2\'' or greater.
    (G) Has a loose wheel.
    (H) Overheated with discoloration extending: (1) More than 4''; (2) 
4\1/2\'' or more.
    (I) A welded wheel on car that is not moving for repairs.
215.105  Defective Axle.
    (A) Cracked or broken:
    (1) Cracked 1' or less;
    (2) Cracked greater than 1'';
    (3) Broken or cracked with visible separation of metal.
    (B) Gouge between wheel seats more than \1/8\'' in depth:
    (C) Broken or cracked end collar on plain bearing axle.
    (D) Overheated journal.
    (E) Surface of plain bearing journal or fillet has (1) ridge, (2) 
depression, (3) circumferential score, (4) corrugation, (5) scratch, (6) 
continuous streak, (7) pitting, (8) rust, (9) etching.
215.107  Defective plain bearing box.
    (A) (1) Does not contain visible free oil;
    (2) A journal box with dry pad.
    (B) Lid is missing, broken or open except to receive service.
    (C) Box has foreign matter that will damage bearing or prevent 
lubrication.
215.109  Defective plain bearing box: journal lubrication system.
    (A) Pad torn half the length or width.
    (B) Scorched, burned or glazed.
    (C) Contains decaying or deteriorated fabric.
    (D) Has exposed core except by design of metal parts in contact with 
journal.
    (E)(1) Missing;
    (2) Not in contact with journal.
215.111  Defective plain bearing.
    (A) Missing, cracked or broken.
    (B)(1) Bearing lining is loose;
    (2) Broken out piece.
    (C) Overheated as evidenced by:
    (1) Melted babbit;
    (2) Smoke from hot oil;
    (3) Journal surface damaged.
215.113  Defective plain bearing wedge.
    (A) Missing.
    (B) Cracked.
    (C) Broken.
    (D) Not located in design position.
215.115  Defective roller bearing.
    (A)(1) Overheated;
    (2) Loose or missing cap screw;
    (3) Roller bearing seal loose or damaged permitting loss of 
lubricant;
    (4) Two or more missing cap screws.
    (B)(1) Failure to inspect if involved in derailment;
    (2) Failure to disassemble if required under this part;
    (3) Failure to repair or replace defective roller bearings.
215.117  Defective roller bearing adapter.
    (A) Cracked or broken.
    (B) Not in design position.
    (C) Worn excessively as shown on Figure 1 in relief portion.
215.119  Defective freight car trucks.
    (A)(1) Side frame or bolster broken;
    (2) Cracked \1/4\'' or more in transverse direction on tension 
member;
    (3) Cracked 1'' or more in transverse direction on tension member.
    (B) Has ineffective snubbing devices.
    (C)(1) Missing or broken side bearing;
    (2) Side bearing in contact except by design;
    (3) Excessive side bearing clearance at one end of car;
    (4) Excessive side bearing clearance on opposite sides at diagonal 
ends of car.
    (D)(1) Has truck springs that will not maintain travel or load;
    (2) Truck springs that are compressed solid;
    (3) Has two springs broken in a cluster;
    (4) Has three or more springs broken.

[[Page 158]]

    (E) Truck bolster and center plate interference preventing rotation.
    (F) Has broken beam shelf supports worn so that shelf will not 
support beam.
215.121  Defective car body.
    (A) Improper clearance--less than 2\1/2\'' from top of rail.
    (B) Center sill is:
    (1) Broken;
    (2) Cracked more than 6'';
    (3) Bent or buckled more than 2\1/2\'' in any 6-foot length.
    (C) Coupler carrier is:
    (1) Broken;
    (2) Missing;
    (3) Non-resilient when used with coupler with F head.
    (D) Car door not equipped with operative safety hangers.
    (E) If center plate:
    (1) Any portion missing;
    (2) Broken or cracked as defined in this part.
    (F) Broken side sills, crossbars or body bolster.
215.123  Defective couplers.
    (A) Coupler shank bent.
    (B) Coupler cracked in highly stressed area of head and shank.
    (C) Coupler knuckle broken.
    (D) Coupler knuckle pin or knuckle throw:
    (1) Missing;
    (2) Inoperative.
    (E) Coupler retainer pin lock:
    (1) Missing;
    (2) Broken.
    (F)(1) Coupler locklift is inoperative;
    (2) No anti-creep protection;
    (3) Coupler lock is (i) missing, (ii) inoperative, (iii) bent, (iv) 
cracked or (v) broken.
215.125  Defective uncoupling device.
    (A) Fouling on curve.
    (B) Unintentional uncoupling.
215.127  Defective draft arrangement.
    (A) Draft gear inoperative.
    (B) Broken yoke.
    (C) End of car cushioning unit:
    (1) Leaking;
    (2) Inoperative.
    (D) Vertical coupler pin retainer plate:
    (1) Missing;
    (2) Has missing fastener.
    (E) Draft key or key retainer:
    (1) Inoperative;
    (2) Missing.
    (F) Follower plate missing or broken.
215.129  Defective cushioning device unless effectively immobilized.
    (A) Broken.
    (B) Inoperative.
    (C) Missing parts.
215.203  Operating a restricted car, except under conditions approved by 
          FRA.

                               Stenciling

215.301  Failure to stencil car number and built date on freight car as 
          required.
215.303  Failure to stencil restricted car as required.
215.305  Failure to stencil maintenance-of-way equipment as required.

       Appendix D to Part 215--Pre-departure Inspection Procedure

    At each location where a freight car is placed in a train and a 
person designated under Sec. 215.11 is not on duty for the purpose of 
inspecting freight cars, the freight car shall, as a minimum, be 
inspected for the imminently hazardous conditions listed below that are 
likely to cause an accident or casualty before the train arrives at its 
destination. These conditions are readily discoverable by a train crew 
member in the course of a customary inspection.
    1. Car body:
    (a) Leaning or listing to side.
    (b) Sagging downward.
    (c) Positioned improperly on truck.
    (d) Object dragging below.
    (e) Object extending from side.
    (f) Door insecurely attached.
    (g) Broken or missing safety appliance.
    (h) Lading leaking from a placarded hazardous material car.
    2. Insecure coupling.
    3. Overheated wheel or journal.
    4. Broken or extensively cracked wheel.
    5. Brake that fails to release.
    6. Any other apparent safety hazard likely to cause an accident or 
casualty before the train arrives at its destination.

[45 FR 26711, Apr. 21, 1980]



PART 216--SPECIAL NOTICE AND EMERGENCY ORDER PROCEDURES: RAILROAD TRACK, LOCOMOTIVE AND EQUIPMENT--Table of Contents




                           Subpart A--General

Sec.
216.1  Application.
216.3  Definitions.
216.5  Delegation and general provisions.
216.7  Penalties.

                  Subpart B--Special Notice for Repairs

216.11  Special notice for repairs--railroad freight car.
216.13  Special notice for repairs--locomotive.
216.14  Special notice for repairs--passenger equipment.
216.15  Special notice for repairs--track class.
216.17  Appeals.

[[Page 159]]

                    Subpart C--Emergency Order--Track

216.21  Notice of track conditions.
216.23  Consideration of recommendation.
216.25  Issuance and review of emergency order.
216.27  Reservation of authority and discretion.

    Authority: 49 U.S.C. 20102-04, 20111, 20133, 20137-38, 20141, 20143, 
20301-02, 20701-02, 21301-02, 21304; 49 CFR 1.49(c), (m).

    Source: 41 FR 18657, May 6, 1976, unless otherwise noted.



                           Subpart A--General



Sec. 216.1  Application.

    (a) This part applies, according to its terms, to each railroad that 
uses or operates--
    (1) A railroad freight car subject to part 215 of this chapter;
    (2) A locomotive subject to 49 U.S.C. chapter 207 (49 U.S.C. 20701-
03); or
    (3) Railroad passenger equipment subject to part 238 of this 
chapter.
    (b) This part applies, according to its terms, to each railroad 
owning track subject to part 213 of this chapter.

[41 FR 18657, May 6, 1976, as amended at 64 FR 25659, May 12, 1999]



Sec. 216.3  Definitions.

    As used in this part--
    (a) FRA means the Federal Railroad Administration.
    (b) State means a State participating in investigative and 
surveillance activities under 49 U.S.C. 20105.
    (c) Inspector includes FRA Regional Supervisors of Inspectors.

[41 FR 18657, May 6, 1976, as amended at 64 FR 25659, May 12, 1999]



Sec. 216.5  Delegation and general provisions.

    (a) The Administrator has delegated to the appropriate FRA and State 
personnel the authority to implement this part.
    (b) Communications to the Administrator relating to the operation of 
this part should be submitted in triplicate to the Docket Clerk, Office 
of Chief Counsel, Federal Railroad Administration, Washington, DC 20590.
    (c) The notices prescribed in Secs. 216.11, 216.13, 216.14, 216.15, 
and 216.21 of this part are issued on standard FRA forms indicating the 
particular subject matter. An inspector issues a notice by delivering it 
to an appropriate officer or agent immediately responsible for the 
affected locomotive, car, or track.

[41 FR 18657, May 6, 1976, as amended at 41 FR 43153, Sept. 30, 1976; 64 
FR 25659, May 12, 1999]



Sec. 216.7  Penalties.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See 49 CFR part 209, appendix A.

[53 FR 28599, July 28, 1988, as amended at 63 FR 11620, Mar. 10, 1998]



                  Subpart B--Special Notice for Repairs

    Editorial Note: Nomenclature changes to subpart B of part 216 appear 
at 64 FR 25659, May 12, 1999.



Sec. 216.11  Special notice for repairs--railroad freight car.

    (a) When an FRA Motive Power and Equipment Inspector or a State 
Equipment Inspector determines that a railroad freight car is not in 
conformity with the requirements of the FRA Freight Car Safety Standards 
set forth in part 215 of this chapter and that it is unsafe for further 
service, he notifies

[[Page 160]]

the railroad in writing that the car is not in serviceable condition. 
The Special Notice sets out and describes the defects that cause the car 
to be in unserviceable condition. After receipt of the Special Notice, 
the railroad shall remove the car from service until it is restored to 
serviceable condition. The car may not be deemed to be in serviceable 
condition until it complies with all applicable requirements of part 215 
of this chapter.
    (b) The railroad shall notify the FRA Regional Administrator in 
writing when the equipment is returned to service, specifying the 
repairs completed.
    (c) A railroad freight car subject to the notice prescribed in 
paragraph (a) of this section may be moved from the place where it was 
found to be unsafe for further service to the nearest available point 
where the car can be repaired, if such movement is necessary to make 
such repairs. However, the movement is subject to the further 
restrictions of Sec. 215.9 of this chapter.

[41 FR 18657, May 6, 1976, as amended at 41 FR 43153, Sept. 30, 1976]



Sec. 216.13  Special notice for repairs--locomotive.

    (a) When an FRA Motive Power and Equipment Inspector or State 
Equipment Inspector determines a locomotive is not safe to operate in 
the service to which it is put, whether by reason of nonconformity with 
the FRA Railroad Locomotive Safety Standards set forth in part 229 of 
this chapter or the FRA Railroad Locomotive Inspection Regulations set 
forth in part 230 of this chapter or by reason of any other condition 
rendering the locomotive unsafe, he or she will notify the railroad in 
writing that the locomotive is not in serviceable condition. After 
receipt of the Special Notice, the railroad shall remove the locomotive 
from service until it is restored to serviceable condition. The 
locomotive may not be deemed to be in serviceable condition until it 
complies with all applicable requirements of parts 229 and 230 of this 
chapter and until all additional deficiencies identified in the Special 
Notice have been corrected.
    (b) The carrier shall notify the FRA Regional Administrator in 
writing when the locomotive is returned to service, specifying the 
repairs completed. The carrier officer or employee directly responsible 
for the repairs shall subscribe this writing under oath.

[41 FR 18657, May 6, 1976, as amended at 64 FR 25659, May 12, 1999]



Sec. 216.14  Special notice for repairs--passenger equipment.

    (a) When an FRA Motive Power and Equipment Inspector or a State 
Equipment Inspector determines that railroad passenger equipment is not 
in conformity with one or more of the requirements of the FRA Passenger 
Equipment Safety Standards set forth in part 238 of this chapter and 
that it is unsafe for further service, he or she will issue a written 
Special Notice to the railroad that the equipment is not in serviceable 
condition. The Special Notice describes the defect or defects that cause 
the equipment to be in unserviceable condition. After receipt of the 
Special Notice, the railroad shall remove the equipment from service 
until it is restored to serviceable condition. The equipment may not be 
deemed in serviceable condition until it complies with all applicable 
requirements of part 238 of this chapter.
    (b) The railroad shall notify in writing the FRA Regional 
Administrator for the FRA region in which the Special Notice was issued 
when the equipment is returned to service, specifying the repairs 
completed.
    (c) Railroad passenger equipment subject to a Special Notice may be 
moved from the place where it was found to be unsafe for further service 
to the nearest available point where the equipment can be repaired, if 
such movement is necessary to make the repairs. However, the movement is 
subject to the further restrictions of Secs. 238.15 and 238.17 of this 
chapter.

[64 FR 25659, May 12, 1999]



Sec. 216.15  Special notice for repairs--track class.

    (a) When an FRA Track Inspector or State Track Inspector determines 
that track does not comply with the requirements for the class at which 
the track is being operated, as defined in the Track Safety Standards 
(49 CFR

[[Page 161]]

part 213), he notifies the railroad in writing that the track is being 
lowered in class and that operations over that track must comply with 
the speed limitations prescribed in part 213 of this chapter. The notice 
describes the conditions requiring the track to be lowered in class, 
specifies the exact location of the affected track segment, and states 
the highest class and corresponding maximum speeds at which trains may 
be operated over that track. After receipt of such notice, the speeds at 
which trains operate over that track shall not exceed the stated maximum 
permissible speeds, until such time as the track conforms to applicable 
standards for a higher class.
    (b) The railroad shall notify the FRA Regional Administrator in 
writing when the track is restored to a condition permitting operations 
at speeds authorized for a higher class, specifying the repairs 
completed.

[41 FR 43153, Sept. 30, 1976]



Sec. 216.17  Appeals.

    (a) Upon receipt of a Special Notice prescribed in Sec. 216.11, 
216.13, 216.14, or 216.15, a railroad may appeal the decision of the 
Inspector to the FRA Regional Administrator for the region in which the 
notice was given. The appeal shall be made by letter or telegram. The 
FRthe FRA Regional Administrator assigns an inspector, other than the 
inspector from whose decision the appeal is being taken, to reinspect 
the railroad freight car, locomotive, railroad passenger equipment, or 
track. The reinspection will be made immediately. If upon reinspection, 
the railroad freight car, locomotive, or passenger equipment is found to 
be in serviceable condition, or the track is found to comply with the 
requirements for the class at which it was previously operated by the 
railroad, the FRA Regional Administrator or his or her agent will 
immediately notify the railroad, whereupon the restrictions of the 
Special Notice cease to be effective. If on reinspection the decision of 
the original inspector is sustained, the FRthe FRA Regional 
Administrator notifies the railroad that the appeal has been denied.
    (b) A railroad whose appeal to the FRthe FRA Regional Administrator 
for Railroad Safety has been denied may, within thirty (30) days from 
the denial, appeal to the Administrator. After affording an opportunity 
for informal oral hearing, the Administrator may affirm, set aside, or 
modify, in whole or in part, the action of the FRthe FRA Regional 
Administrator.
    (c) The requirements of a Special Notices issued under this subpart 
shall remain in effect and be observed by railroads pending appeal to 
the FRA Regional Administrator for Railroad Safety or to the 
Administrator.

[41 FR 18657, May 6, 1976, as amended at 64 FR 25659, May 12, 1999]



                    Subpart C--Emergency Order--Track



Sec. 216.21  Notice of track conditions.

    (a) When an FRA Track Inspector or State Track Inspector finds track 
conditions which may require the issuance of an Emergency order removing 
the track from service under section 203, Public Law No. 91-458, 84 
Stat. 972 (45 U.S.C. 432), the Inspector may issue a notice to the 
railroad owning the track. The notice sets out and describes the 
conditions found by the Inspector and specifies the location of defects 
on the affected track segment. The Inspector provides a copy to the FRA 
Regional Track Engineer and the FRA Regional Administrator.
    (b) In the event the railroad immediately commences repairs on the 
affected track and so advises the FRA Regional Track Engineer, the 
Regional Track Engineer assigns an Inspector to reinspect the track 
immediately on the completion of repairs. If upon reinspection the 
Inspector determines that necessary repairs have been completed, he 
withdraws the Notice of Track Conditions.



Sec. 216.23  Consideration of recommendation.

    Upon receipt of a Notice of Track Conditions issued under 
Sec. 216.21, the FRA Regional Administrator prepares a recommendation to 
the Administrator concerning the issuance of an Emergency order removing 
the affected track from service. In preparing this

[[Page 162]]

recommendation, the FRthe FRA Regional Administrator considers all 
written or other material bearing on the condition of the track received 
from the railroad within three (3) calendar days of the issuance of the 
Notice of Track Conditions and also considers the report of the FRA 
Regional Track Engineer.



Sec. 216.25  Issuance and review of emergency order.

    (a) Upon recommendation of the FRA Regional Administrator, the 
Administrator may issue an Emergency order removing from service track 
identified in the notice issued under Sec. 216.21.
    (b) As specified in section 203, Public Law No. 91-458, 84 Stat. 972 
(45 U.S.C. 432), opportunity for review of the Emergency order is 
provided in accordance with section 554 of title 5 of the U.S.C. 
Petitions for such review must be submitted in writing to the Office of 
Chief Counsel, Federal Railroad Administration, Washington, DC 20590. 
Upon receipt of a petition, FRA will immediately contact the petitioner 
and make the necessary arrangements for a conference to be held at the 
earliest date acceptable to the petitioner. At this conference, the 
petitioner will be afforded an opportunity to submit facts, arguments 
and proposals for modification or withdrawal of the Emergency order. If 
the controversy is not resolved at this conference and a hearing is 
desired, the petitioner must submit a written request for a hearing 
within fifteen (15) days after the conference. The hearing will commence 
within fourteen (14) calendar days of receipt of the request and will be 
conducted in accordance with sections 556 and 575, title 5, U.S.C.
    (c) Unless stayed or modified by the Administrator, the requirements 
of each Emergency order issued under this subpart shall remain in effect 
and be observed pending decision on a petition for review.



Sec. 216.27  Reservation of authority and discretion.

    The FRA may issue Emergency orders concerning track without regard 
to the procedures prescribed in this subpart whenever the Administrator 
determines that immediate action is required to assure the public 
safety.



PART 217--RAILROAD OPERATING RULES--Table of Contents




                           Subpart A--General

Sec.
217.1  Purpose.
217.3  Application.
217.4  Definitions.
217.5  Penalty.
217.7  Operating rules; filing and recordkeeping.
217.9  Program of operational tests and inspections; recordkeeping.
217.11  Program of instruction on operating rules; recordkeeping; 
          electronic recordkeeping.
217.13  Information collection.

Appendix A to Part 217--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20103, 20107 and 49 CFR 1.49.

    Source: 39 FR 41176, Nov. 25, 1974, unless otherwise noted.



                           Subpart A--General



Sec. 217.1  Purpose.

    Through the requirements of this part, the Federal Railroad 
Administration learns the condition of operating rules and practices 
with respect to trains and other rolling equipment in the railroad 
industry, and each railroad is required to instruct its employees in 
operating practices.



Sec. 217.3  Application.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to railroads that operate trains or other rolling equipment on 
standard gage track which is part of the general railroad system of 
transportation.
    (b) This part does not apply to--
    (1) A railroad that operates only on track inside an installation 
which is not part of the general railroad system of transportation; or
    (2) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation.

[40 FR 2690, Jan. 15, 1975, as amended at 54 FR 33229, Aug. 14, 1989]

[[Page 163]]



Sec. 217.4  Definitions.

    As used in this part--
    Class I, Class II, and Class III have the meaning assigned by 
regulations of the Interstate Commerce Commission (49 CFR part 1201; 
General Instructions 1-1), as those regulations may be revised and 
applied by order of the Commission (including modifications in class 
thresholds based revenue deflator adjustments).
    Division headquarters means the location designated by the railroad 
where a high-level operating manager (e.g., a superintendent, division 
manager, or equivalent), who has jurisdiction over a portion of the 
railroad, has an office.
    System headquarters means the location designated by the railroad as 
the general office for the railroad system.

[59 FR 43070, Aug. 22, 1994]



Sec. 217.5  Penalty.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix A to this part for a 
statement of agency civil penalty policy.

[53 FR 28599, July 28, 1988, as amended at 53 FR 52927, Dec. 29, 1988; 
63 FR 11620, Mar. 10, 1998]



Sec. 217.7  Operating rules; filing and recordkeeping.

    (a) On or before December 21, 1994, each Class I railroad, Class II 
railroad, the National Railroad Passenger Corporation, and each railroad 
providing commuter service in a metropolitan or suburban area that is in 
operation on November 21, 1994, shall file with the Federal Railroad 
Administrator, Washington, DC 20590, one copy of its code of operating 
rules, timetables, and timetable special instructions which were in 
effect on November 21, 1994. Each Class I railroad, each Class II 
railroad, and each railroad providing commuter service in a metropolitan 
or suburban area that commences operations after November 21, 1994, 
shall file with the Administrator one copy of its code of operating 
rules, timetables, and timetable special instructions before it 
commences operations.
    (b) After November 21, 1994, each Class I railroad, each Class II 
railroad, the National Railroad Passenger Corporation, and each railroad 
providing commuter service in a metropolitan or suburban area shall file 
each new amendment to its code of operating rules, each new timetable, 
and each new timetable special instruction with the Federal Railroad 
Administrator within 30 days after it is issued.
    (c) On or after November 21, 1994, each Class III railroad and any 
other railroad subject to this part but not subject to paragraphs (a) 
and (b) of this section shall keep one copy of its current code of 
operating rules, timetables, and timetable special instructions and one 
copy of each subsequent amendment to its code of operating rules, each 
new timetable, and each new timetable special instruction, at its system 
headquarters, and shall make such records available to representatives 
of the Federal Railroad Administration for inspection and copying during 
normal business hours.

[59 FR 43070, Aug. 22, 1994]



Sec. 217.9  Program of operational tests and inspections; recordkeeping.

    (a) Requirement to conduct operational tests and inspections. Each 
railroad to

[[Page 164]]

which this part applies shall periodically conduct operational tests and 
inspections to determine the extent of compliance with its code of 
operating rules, timetables, and timetable special instructions in 
accordance with a written program retained at its system headquarters 
and at the division headquarters for each division where the tests are 
conducted.
    (b) Written program of operational tests and inspections. On or 
after November 21, 1994, or 30 days before commencing operations, 
whichever is later, each railroad to which this part applies shall 
retain one copy of its current program for periodic performance of the 
operational tests and inspections required by paragraph (a) of this 
section and one copy of each subsequent amendment to such program. These 
records shall be retained at the system headquarters of the railroad and 
at the division headquarters for each division where the tests are 
conducted, for three calendar years after the end of the calendar year 
to which they relate. These records shall be made available to 
representatives of the Federal Railroad Administration for inspection 
and copying during normal business hours. The program shall--
    (1) Provide for operational testing and inspection under the various 
operating conditions on the railroad;
    (2) Describe each type of operational test and inspection adopted, 
including the means and procedures used to carry it out;
    (3) State the purpose of each type of operational test and 
inspection;
    (4) State, according to operating divisions where applicable, the 
frequency with which each type of operational test and inspection is 
conducted;
    (5) Begin within 30 days after November 21, 1994, or the date of 
commencing operations, whichever is later; and
    (6) Include a schedule for making the program fully operative within 
210 days after it begins.
    (c) Records of individual tests and inspections. Each railroad to 
which this part applies shall keep a record of the date, time, place, 
and result of each operational test and inspection that was performed in 
accordance with its program. Each record shall specify the officer 
administering the test and inspection and each employee tested. These 
records shall be retained at the system headquarters of the railroad and 
at the division headquarters for each division where the tests are 
conducted for one calendar year after the end of the calendar year to 
which they relate. These records shall be made available to 
representatives of the Federal Railroad Administration for inspection 
and copying during normal business hours.
    (d) Annual summary on operational tests and inspections. Before 
March 1 of each calendar year, each railroad to which this part applies, 
except for a railroad with less than 400,000 total manhours, shall 
retain, at each of its division headquarters and at the system 
headquarters of the railroad, one copy of a written summary of the 
following with respect to its previous year's activities: The number, 
type, and result of each operational test and inspection, stated 
according to operating divisions where applicable, that was conducted as 
required by paragraphs (a) and (b) of this section. These records shall 
be retained for three calendar years after the end of the calendar year 
to which they relate and shall be made available to representatives of 
the Federal Railroad Administration for inspection and copying during 
normal business hours.
    (e) Electronic recordkeeping. Each railroad to which this part 
applies is authorized to retain by electronic recordkeeping the 
information prescribed in paragraphs (b) through (d) of this section, 
provided that all of the following conditions are met:
    (1) The railroad adequately limits and controls accessibility to 
such information retained in its electronic database system and 
identifies those individuals who have such access;
    (2) The railroad has a terminal at the system headquarters and at 
each division headquarters;
    (3) Each such terminal has a desk-top computer (i.e., monitor, 
central processing unit, and keyboard) and either a facsimile machine or 
a printer connected to the computer to retrieve and produce information 
in a usable format for immediate review by FRA representatives;

[[Page 165]]

    (4) The railroad has a designated representative who is authorized 
to authenticate retrieved information from the electronic system as true 
and accurate copies of the electronically kept records; and
    (5) The railroad provides representatives of the Federal Railroad 
Administration with immediate access to these records for inspection and 
copying during normal business hours and provides printouts of such 
records upon request.

[39 FR 41176, Nov. 25, 1974, as amended at 59 FR 43070, Aug. 22, 1994]



Sec. 217.11  Program of instruction on operating rules; recordkeeping; electronic recordkeeping.

    (a) To ensure that each railroad employee whose activities are 
governed by the railroad's operating rules understands those rules, each 
railroad to which this part applies shall periodically instruct each 
such employee on the meaning and application of the railroad's operating 
rules in accordance with a written program retained at its system 
headquarters and at the division headquarters for each division where 
the employee is instructed.
    (b) On or after November 21, 1994, or 30 days before commencing 
operations, whichever is later, each railroad to which this part applies 
shall retain one copy of its current program for the periodic 
instruction of its employees as required by paragraph (a) of this 
section and one copy of each subsequent amendment to that program. The 
system headquarters of the railroad shall retain one copy of all these 
records; the division headquarters for each division where the employees 
are instructed shall retain one copy of all portions of these records 
that the division applies and enforces. These records shall be made 
available to representatives of the Federal Railroad Administration for 
inspection and copying during normal business hours. This program 
shall--
    (1) Describe the means and procedures used for instruction of the 
various classes of affected employees;
    (2) State the frequency of instruction and the basis for determining 
that frequency;
    (3) Include a schedule for completing the initial instruction of 
employees who are already employed when the program begins;
    (4) Begin within 30 days after November 21, 1994, or the date of 
commencing operations, whichever is later; and
    (5) Provide for initial instruction of each employee hired after the 
program begins.
    (c) Each railroad to which this part applies is authorized to retain 
by electronic recordkeeping its program for periodic instruction of its 
employees on operating rules provided that the requirements stated in 
Sec. 217.9(e)(1) through (5) of this part are satisfied.

[39 FR 41176, Nov. 25, 1974, as amended at 59 FR 43071, Aug. 22, 1994]



Sec. 217.13  Information collection.

    (a) The information collection requirements in this part have been 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1980, Public Law 96-511, and have been 
assigned OMB control number 2130-0035.
    (b) The information collection requirements are found in the 
following sections:
    (1) Section 217.7.
    (2) Section 217.9.
    (3) Section 217.11.

[50 FR 7919, Feb. 27, 1985. Redesignated and amended at 59 FR 43071, 
Aug. 22, 1994]

         Appendix A to Part 217--Schedule Of Civil Penalties \1\
------------------------------------------------------------------------
                                                                Willful
                      Section                       Violation  violation
------------------------------------------------------------------------
217.7 Operating rules:
    (a)...........................................     $2,500     $5,000
    (b)...........................................     $2,000     $5,000
    (c)...........................................     $2,500     $5,000
217.9 Operational tests and inspections:
 
    (a) Program...................................     $5,000     $7,500
    (b) Record of program.........................      2,500     $5,000
    (c) Record of tests and inspections...........     $5,000     $7,500
    (d) Annual summary............................     $5,000     $7,500
217.11 Program of instruction on operating rules:
    (a)...........................................     $5,000     $7,500
    (b)...........................................     $2,500     $5,000
------------------------------------------------------------------------
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 $22,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.


[59 FR 43071, Aug. 22, 1994, as amended at 63 FR 11620, Mar. 10, 1998]

[[Page 166]]



PART 218--RAILROAD OPERATING PRACTICES--Table of Contents




                           Subpart A--General

Sec.
218.1  Purpose.
218.3  Application.
218.5  Definitions.
218.7  Waivers.
218.9  Civil penalty.
218.11  Filing, testing, and instruction.

              Subpart B--Blue Signal Protection of Workers

218.21  Scope.
218.22  Utility employee.
218.23  Blue signal display.
218.24  One-person crew.
218.25  Workers on a main track.
218.27  Workers on track other than main track.
218.29  Alternate methods of protection.
218.30  Remotely controlled switches.

             Subpart C--Protection of Trains and Locomotives

218.31  Scope.
218.35  Yard limits.
218.37  Flag protection.
218.39  Hump operations.
218.41  Noncompliance with hump operations rule.

      Subpart D--Prohibition Against Tampering With Safety Devices

218.51  Purpose.
218.53  Scope and definitions.
218.55  Tampering prohibited.
218.57  Responsibilities of individuals.
218.59  Responsibilities of railroads.
218.61  Authority to deactivate safety devices.

               Subpart E--Protection of Occupied Camp Cars

218.71  Purpose and scope.
218.73  Warning signal display.
218.75  Methods of protection for camp cars.
218.77  Remotely controlled switches.
218.79  Alternative methods of protection.
218.80  Movement of occupied camp cars.

Appendix A to Part 218--Schedule of Civil Penalties
Appendix B to Part 218--Statement of Agency Enforcement Policy on Blue 
          Signal Protection for Utility Employees
Appendix C to Part 218--Statement of Agency Enforcement Policy on 
          Tampering

    Authority: 49 U.S.C. 20103, 20107 and 49 CFR 1.49.

    Source: 44 FR 2175, Jan. 10, 1979, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 218 appear at 58 FR 
43292, Aug. 16, 1993.



                           Subpart A--General



Sec. 218.1  Purpose.

    This part prescribes minimum requirements for railroad operating 
rules and practices. Each railroad may prescribe additional or more 
stringent requirements in its operating rules, timetables, timetable 
special instructions, and other special instructions.



Sec. 218.3  Application.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to railroads that operate rolling equipment on standard gage 
track which is part of the general railroad system of transportation.
    (b) This part does not apply to--
    (1) A railroad that operates only on track inside an installation 
which is not part of the general railroad system of transportation, or
    (2) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation.

[44 FR 2175, Jan. 10, 1979, as amended at 53 FR 28599, July 28, 1988]



Sec. 218.5  Definitions.

    Absolute block means a block in which no train is permitted to enter 
while it is occupied by another train.
    Blue signal means a clearly distinguishable blue flag or blue light 
by day and a blue light at night. When attached to the operating 
controls of a locomotive, it need not be lighted if the inside of the 
cab area of the locomotive is sufficiently lighted so as to make the 
blue signal clearly distinguishable.
    Camp car means any on-track vehicle, including outfit, camp, or bunk 
cars or modular homes mounted on flat cars used to house rail employees. 
It does not include wreck trains.
    Car shop repair track area means one or more tracks within an area 
in which

[[Page 167]]

the testing, servicing, repair, inspection, or rebuilding of railroad 
rolling equipment is under the exclusive control of mechanical 
department personnel.
    Controlling Locomotive means a locomotive arranged as having the 
only controls over all electrical, mechanical and pneumatic functions 
for one or more locomotives, including controls transmitted by radio 
signals if so equipped. It does not include two or more locomotives 
coupled in multiple which can be moved from more than one set of 
locomotive controls.
    Designated crew member means an individual designated under the 
railroad's operating rules as the point of contact between a train or 
yard crew and a utility employee working with that crew.
    Effective locking device when used in relation to a manually 
operated switch or a derail means one which is:
    (1) Vandal resistant;
    (2) Tamper resistant; and
    (3) Capable of being locked and unlocked only by the class, craft or 
group of employees for whom the protection is being provided.
    Flagman's signals means a red flag by day and a white light at 
night, and a specified number of torpedoes and fusees as prescribed in 
the railroad's operating rules.
    Group of workers means two or more workers of the same or different 
crafts assigned to work together as a unit under a common authority and 
who are in communication with each other while the work is being done.
    Interlocking limits means the tracks between the opposing home 
signals of an interlocking.
    Locomotive means a self-propelled unit of equipment designed for 
moving other railroad rolling equipment in revenue service including a 
self-propelled unit designed to carry freight or passenger traffic, or 
both, and may consist of one or more units operated from a single 
control.
    Locomotive servicing track area means one or more tracks, within an 
area in which the testing, servicing, repair, inspection, or rebuilding 
of locomotives is under the exclusive control of mechanical department 
personnel.
    Main track means a track, other than an auxiliary track, extending 
through yards or between stations, upon which trains are operated by 
timetable or train order or both, or the use of which is governed by a 
signal system.
    Rolling equipment includes locomotives, railroad cars, and one or 
more locomotives coupled to one or more cars.
    Switch providing access means a switch which if traversed by rolling 
equipment could permit that rolling equipment to couple to the equipment 
being protected.
    Train or yard crew means one or more railroad employees assigned a 
controlling locomotive, under the charge and control of one crew member; 
called to perform service covered by Section 2 of the Hours of Service 
Act; involved with the train or yard movement of railroad rolling 
equipment they are to work with as an operating crew; reporting and 
working together as a unit that remains in close contact if more than 
one employee; and subject to the railroad operating rules and program of 
operational tests and inspections required in Secs. 217.9 and 217.11 of 
this chapter.
    Utility employee means a railroad employee assigned to and 
functioning as a temporary member of a train or yard crew whose primary 
function is to assist the train or yard crew in the assembly, 
disassembly or classification of rail cars, or operation of trains 
(subject to the conditions set forth in Sec. 218.22 of this chapter).
    Worker means any railroad employee assigned to inspect, test, 
repair, or service railroad rolling equipment, or their components, 
including brake systems. Members of train and yard crews are excluded 
except when assigned such work on railroad rolling equipment that is not 
part of the train or yard movement they have been called to operate (or 
been assigned to as ``utility employees''). Utility employees assigned 
to and functioning as temporary members of a specific train or yard crew 
(subject to the conditions set forth in Sec. 218.22 of this chapter), 
are excluded only when so assigned and functioning.

    Note: Servicing does not include supplying cabooses, locomotives, or 
passenger cars with items such as ice, drinking water, tools,

[[Page 168]]

sanitary supplies, stationery, or flagging equipment.

    Testing does not include (i) visual observations made by an employee 
positioned on or alongside a caboose, locomotive, or passenger car; or 
(ii) marker inspections made in accordance with the provisions of 
Sec. 221.16(b) of this chapter.

[58 FR 43292, Aug. 16, 1993, as amended at 60 FR 11049, Mar. 1, 1995]



Sec. 218.7  Waivers.

    (a) A railroad may petition the Federal Railroad Administration for 
a waiver of compliance with any requirement prescribed in this part.
    (b) Each petition for a waiver under this section must be filed in 
the manner and contain the information required by part 211 of this 
chapter.
    (c) If the Administrator finds that waiver of compliance is in the 
public interest and is consistent with railroad safety, he may grant the 
waiver subject to any conditions he deems necessary. Notice of each 
waiver granted, including a statement of the reasons, therefore, is 
published in the Federal Register.



Sec. 218.9  Civil penalty.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix A to this part for a 
statement of agency civil penalty policy.

[53 FR 28599, July 28, 1988, as amended at 53 FR 52928, Dec. 29, 1988; 
63 FR 11621, Mar. 10, 1998]



Sec. 218.11  Filing, testing, and instruction.

    The operating rules prescribed in this part, and any additional or 
more stringent requirements issued by a railroad in relation to the 
operating rules prescribed in this part, shall be subject to the 
provisions of part 217 of this chapter, Railroad Operating Rules: 
Filing, Testing, and Instruction.



              Subpart B--Blue Signal Protection of Workers



Sec. 218.21  Scope.

    This subpart prescribes minimum requirements for the protection of 
railroad employees engaged in the inspection, testing, repair, and 
servicing of rolling equipment whose activities require them to work on, 
under, or between such equipment and subjects them to the danger of 
personal injury posed by any movement of such equipment.



Sec. 218.22  Utility employee.

    (a) A utility employee shall be subject to the Hours of Service Act, 
and the requirements for training and testing, control of alcohol and 
drug use, and hours of service record keeping provided for in parts 217, 
219, and 228 of this chapter.
    (b) A utility employee shall perform service as a member of only one 
train or yard crew at any given time. Service with more than one crew 
may be sequential, but not concurrent.
    (c) A utility employee may be assigned to and serve as a member of a 
train or yard crew without the protection otherwise required by subpart 
D of part 218 of this chapter only under the following conditions:
    (1) The train or yard crew is assigned a controlling locomotive that 
is under the actual control of the assigned locomotive engineer of that 
crew;
    (2) The locomotive engineer is in the cab of the controlling 
locomotive, or,

[[Page 169]]

while the locomotive is stationary be replaced in the cab by another 
member of the same crew;
    (3) The utility employee established communication with the crew by 
contacting the designated crew member on arriving at the train (as 
defined for the purpose of this section as one or more locomotives 
coupled, with or without cars) and before commencing any duties with the 
crew.
    (4) Before each utility employee commences duties, the designated 
crew member shall provide notice to each crew member of the presence and 
identity of the utility employee. Once all crew members have 
acknowledged this notice, the designated crew member shall advise the 
utility employee that he or she is authorized to work as part of the 
crew. Thereafter, communication shall be maintained in such a manner 
that each member of the train or yard crew understands the duties to be 
performed and whether those duties will cause any crew member to go on, 
under, or between the rolling equipment; and
    (5) The utility employee is performing one or more of the following 
functions: set or release hand brakes; couple or uncouple air hoses and 
other electrical or mechanical connections; prepare rail cars for 
coupling; set wheel blocks or wheel chains; conduct air brake tests to 
include cutting air brake components in or out and position retaining 
valves; inspect, test, install, remove or replace a rear end marking 
device or end of train device. Under all other circumstances a utility 
employee working on, under, or between railroad rolling equipment must 
be provided with blue signal protection in accordance with Secs. 218.23 
through 218.30 of this part.
    (d) When the utility employee has ceased all work in connection with 
that train and is no longer on, under, or between the equipment, the 
utility employee shall notify the designated crew member. The designated 
crew member shall then provide notice to each crew member that the 
utility employee is being released from the crew. Once each crew member 
has acknowledged the notice, the designated crew member shall then 
notify the utility employee that he is released from the train or yard 
crew.
    (e) Communications required by Sec. 218.22(c)(4) and (d) shall be 
conducted between the utility employee and the designated crew member. 
This communications shall be conducted either through direct verbal 
contact, by radio in compliance with part 220 of this chapter, or by 
oral telecommunication of equivalent integrity.
    (f) No more than three utility employees may be attached to one 
train or yard crew at any given time.
    (g) Any railroad employee who is not assigned to a train or yard 
crew, or authorized to work with a crew under the conditions set forth 
by paragraph (b) of this section, is a worker required to be provided 
blue signal protection in accordance with Secs. 218.23 through 218.30 of 
this part.
    (h) Nothing in this section shall affect the alternative form of 
protection specified in Sec. 221.16 of this chapter with respect to 
inspection of rear end marking devices.

[58 FR 43293, Aug. 16, 1993, as amended at 60 FR 11050, Mar. 1, 1995]



Sec. 218.23  Blue signal display.

    (a) Blue signals displayed in accordance with Sec. 218.25, 218.27, 
or 218.29 signify that workers are on, under, or between rolling 
equipment. When so displayed--
    (1) The equipment may not be coupled to;
    (2) The equipment may not be moved, except as provided for in 
Sec. 218.29;
    (3) Other rolling equipment may not be placed on the same track so 
as to reduce or block the view of a blue signal, except as provided for 
in Sec. 218.29 (a), (b) and (c); and
    (4) Rolling equipment may not pass a displayed blue signal.
    (b) Blue signals must be displayed in accordance with Sec. 218.25, 
218.27, or 218.29 by each craft or group of workers prior to their going 
on, under, or between rolling equipment and may only be removed by the 
same craft or group that displayed them.



Sec. 218.24  One-person crew.

    (a) An engineer working alone as a one-person crew shall not perform 
duties on, under, or between rolling

[[Page 170]]

equipment, without blue signal protection that complies with Sec. 218.27 
or Sec. 218.29, unless the duties to be performed are listed in 
Sec. 218.22(c)(5) and the following protections are provided:
    (1) Each locomotive in the locomotive engineer's charge is either:
    (i) Coupled to the train or other railroad rolling equipment to be 
assisted; or
    (ii) Stopped a sufficient distance from the train or rolling 
equipment to ensure a separation of at least 50 feet; and
    (2) Before a controlling locomotive is left unattended, the one-
member crew shall secure the locomotive as follows:
    (i) The throttle is in the IDLE position;
    (ii) The generator field switch is in the OFF position;
    (iii) The reverser handle is removed (if so equipped);
    (iv) The isolation switch is in the ISOLATE position;
    (v) The locomotive independent (engine) brake valve is fully 
applied;
    (vi) The hand brake on the controlling locomotive is fully applied 
(if so equipped); and
    (vii) A bright orange engineer's tag (a tag that is a minimum of 
three by eight inches with the words ASSIGNED LOCOMOTIVE--DO NOT 
OPERATE) is displayed on the control stand of the controlling 
locomotive.
    (b) When assisting another train or yard crew with the equipment the 
other crew was assigned to operate, a single engineer must communicate 
directly, either by radio in compliance with part 220 of this chapter or 
by oral telecommunication of equivalent integrity, with the crew of the 
train to be assisted. The crews of both trains must notify each other in 
advance of all moves to be made by their respective equipment. Prior to 
attachment or detachment of the assisting locomotive(s), the crew of the 
train to be assisted must inform the single engineer that the train is 
secured against movement. The crew of the train to be assisted must not 
move the train or permit the train to move until authorized by the 
single engineer.

[60 FR 11050, Mar. 1, 1995]

    Effective Date Note: Section 218.24 was added at 60 FR 11050, Mar. 
1, 1995, effective May 15, 1995. At 60 FR 30469, June 9, 1995, 
Sec. 218.24 was suspended effective May 15, 1995.



Sec. 218.25  Workers on a main track.

    When workers are on, under, or between rolling equipment on a main 
track:
    (a) A blue signal must be displayed at each end of the rolling 
equipment; and
    (b) If the rolling equipment to be protected includes one or more 
locomotives, a blue signal must be attached to the controlling 
locomotive at a location where it is readily visible to the engineman or 
operator at the controls of that locomotive.
    (c) When emergency repair work is to be done on, under, or between a 
locomotive or one or more cars coupled to a locomotive, and blue signals 
are not available, the engineman or operator must be notified and 
effective measures must be taken to protect the workers making the 
repairs.

[44 FR 2175, Jan. 10, 1979, as amended at 48 FR 6123, Feb. 10, 1983]



Sec. 218.27  Workers on track other than main track.

    When workers are on, under, or between rolling equipment on track 
other than main track--
    (a) A blue signal must be displayed at or near each manually 
operated switch providing access to that track;
    (b) Each manually operated switch providing access to the track on 
which the equipment is located must be lined against movement to that 
track and locked with an effective locking device; and
    (c) The person in charge of the workers must have notified the 
operator of any remotely controlled switch that work is to be performed 
and have been informed by the operator that each remotely controlled 
switch providing access to the track on which the equipment is located 
has been lined against movement to that track and locked as prescribed 
in Sec. 218.30.
    (d) If rolling equipment requiring blue signal protection as 
provided for in this section is on a track equipped with one or more 
crossovers, both switches of each crossover must be lined against 
movement through the crossover toward that rolling equipment, and the 
switch of each crossover

[[Page 171]]

that provides access to the rolling equipment must be protected in 
accordance with the provisions of paragraphs (a) and (b), or (c) of this 
section.
    (e) If the rolling equipment to be protected includes one or more 
locomotives, a blue signal must be attached to the controlling 
locomotive at a location where it is readily visible to the engineman or 
operator at the controls of that locomotive.



Sec. 218.29  Alternate methods of protection.

    Instead of providing blue signal protection for workers in 
accordance with Sec. 218.27, the following methods for blue signal 
protection may be used:
    (a) When workers are on, under, or between rolling equipment in a 
locomotive servicing track area:
    (1) A blue signal must be displayed at or near each switch providing 
entrance to or departure from the area;
    (2) Each switch providing entrance to or departure from the area 
must be lined against movement to the area and locked with an effective 
locking device; and
    (3) A blue signal must be attached to each controlling locomotive at 
a location where it is readily visible to the engineman or operator at 
the controls of that locomotive;
    (4) If the speed within this area is resticted to not more than 5 
miles per hour a derail, capable of restricting access to that portion 
of a track within the area on which the rolling equipment is located, 
will fulfill the requirements of a manually operated switch in 
compliance with paragraph (a)(2) of this section when positioned at 
least 50 feet from the end of the equipment to be protected by the blue 
signal, when locked in a derailing position with an effective locking 
device, and when a blue signal is displayed at the derail;
    (5) A locomotive may be moved onto a locomotive servicing area track 
after the blue signal has been removed from the entrance switch to the 
area. However, the locomotive must be stopped short of coupling to 
another locomotive;
    (6) A locomotive may be moved off of a locomotive servicing area 
track after the blue signal has been removed from the controlling 
locomotive to be moved and from the area departure switch;
    (7) If operated by an authorized employee under the direction of the 
person in charge of the workers, a locomotive protected by blue signals 
may be repositioned within this area after the blue signal has been 
removed from the locomotive to be repositioned and the workers on the 
affected track have been notified of the movement; and
    (8) Blue signal protection removed for the movement of locomotives 
as provided in paragraphs (a) (5) and (6) of this section must be 
restored immediately after the locomotive has cleared the switch.
    (b) When workers are on, under, or between rolling equipment in a 
car shop repair track area:
    (1) A blue signal must be displayed at or near each switch providing 
entrance to or departure from the area; and
    (2) Each switch providing entrance to or departure from the area 
must be lined against movement to the area and locked with an effective 
locking device;
    (3) If the speed within this area is restricted to not more than 5 
miles per hour, a derail capable of restricting access to that portion 
of a track within the area on which the rolling equipment is located 
will fulfill the requirements of a manually operated switch in 
compliance with paragraph (a)(2) of this section when positioned at 
least 50 feet from the end of the equipment to be protected by the blue 
signal, when locked in a derailing position with an effective locking 
device and when a blue signal is displayed at the derail;
    (4) If operated by an authorized employee under the direction of the 
person in charge of the workemen, a car mover may be used to reposition 
rolling equipment within this area after workers on the affected track 
have been notified of the movement.
    (c) Except as provided in paragraphs (a) and (b) of this section, 
when workers are on, under, or between rolling equipment on any track, 
other than a main track:
    (1) A derail capable of restricting access to that portion of the 
track on which such equipment is located, will fulfill the requirements 
of a manually operated switch when positioned no

[[Page 172]]

less than 150 feet from the end so such equipment; and
    (2) Each derail must be locked in a derailing position with an 
effective locking device and a blue signal must be displayed at each 
derail.
    (d) When emergency repair work is to be done on, under, or between a 
locomotive or one or more cars coupled to a locomotive, and blue signals 
are not available, the engineman or operator at the controls of that 
locomotive must be notified and effective measures must be taken to 
protect the workers making the repairs.

[44 FR 2175, Jan. 10, 1979, as amended at 48 FR 6123, Feb. 10, 1983]



Sec. 218.30  Remotely controlled switches.

    (a) After the operator of the remotely controlled switches has 
received the notification required by Sec. 218.27(c), he must line each 
remotely controlled switch against movement to that track and apply an 
effective locking device to the lever, button, or other device 
controlling the switch before he may inform the employee in charge of 
the workers that protection has been provided.
    (b) The operator may not remove the locking device unless he has 
been informed by the person in charge of the workers that it is safe to 
do so.
    (c) The operator must maintain for 15 days a written record of each 
notification which contains the following information:
    (1) The name and craft of the employee in charge who provided the 
notification;
    (2) The number or other designation of the track involved;
    (3) The date and time the operator notified the employee in charge 
that protection had been provided in accordance with paragraph (a) of 
this section; and
    (4) The date and time the operator was informed that the work had 
been completed, and the name and craft of the employee in charge who 
provided this information.

[44 FR 2175, Jan. 10, 1979, as amended at 48 FR 6123, Feb. 10, 1983]



             Subpart C--Protection of Trains and Locomotives



Sec. 218.31  Scope.

    This subpart prescribes minimum operating rule requirements for the 
protection of railroad employees engaged in the operation of trains, 
locomotives and other rolling equipment.

[42 FR 5065, Jan. 27, 1977]



Sec. 218.35  Yard limits.

    (a) After August 1, 1977, yard limits must be designated by--
    (1) Yard limit signs, and
    (2) Timetable, train orders, or special instructions.
    (b) After August 1, 1977, each railroad must have in effect an 
operating rule which complies with the requirements set forth below:
    (1) The main tracks within yard limits may be used, clearing the 
time an approaching designated class train is due to leave the nearest 
station where time is shown. In case of failure to clear the time of 
designated class trains, protection must be provided as Sec. 218.37. In 
yard limits where main tracks are governed by block signal system rules, 
protection as prescribed by Sec. 218.37 is not required.
    (2) Trains and engines, except designated class trains, within yard 
limits must move prepared to stop within onehalf the range of vision but 
not exceeding 20 m.p.h. unless the main track is known to be clear by 
block signal indications.
    (3) Within yard limits, movements against the current of traffic on 
the main tracks must not be made unless authorized and protected by 
train order, yardmaster, or other designated official and only under the 
operating restrictions prescribed in Sec. 218.35(b)(2).
    (c) Each railroad shall designate in the operating rule prescribed 
under paragraph (b) of this section the class or classes of trains which 
shall have superiority on the main track within yard limits.

[42 FR 5065, Jan. 27, 1977]



Sec. 218.37  Flag protection.

    (a) After August 1, 1977, each railroad must have in effect an 
operating rule

[[Page 173]]

which complies with the requirements set forth below:
    (1) Except as provided in paragraph (a)(2) of this section, flag 
protection shall be provided--
    (i) When a train is moving on the main track at less than one-half 
the maximum authorized speed (including slow order limits) in that 
territory, flag protection against following trains on the same track 
must be provided by a crew member by dropping off single lighted fusees 
at intervals that do not exceed the burning time of the fusee.
    (ii) When a train is moving on the main track at more than one-half 
the maximum authorized speed (including slow order limits) in that 
territory under circumstances in which it may be overtaken, crew members 
responsible for providing protection will take into consideration the 
grade, curvature of track, weather conditions, sight distance and 
relative speed of his train to following trains and will be governed 
accordingly in the use of fusees.
    (iii) When a train stops on main track, flag protection against 
following trains on the same track must be provided as follows: A crew 
member with flagman's signals must immediately go back at least the 
distance prescribed by timetable or other instructions for the 
territory, place at least two torpedoes on the rail at least 100 feet 
apart and display one lighted fusee. He may then return one-half of the 
distance to his train where he must remain until he has stopped the 
approaching train or is recalled. When recalled, he must leave one 
lighted fusee and while returning to his train, he must also place 
single lighted fusees at intervals that do not exceed the burning time 
of the fusee. When the train departs, a crew member must leave one 
lighted fusee and until the train resumes speed not less than one-half 
the maximum authorized speed (including slow order limits) in that 
territory, he must drop off single lighted fusees at intervals that do 
not exceed the burning time of the fusee.
    (iv) When required by the railroad's operating rules, a forward crew 
member with flagman's signals must protect the front of his train 
against opposing movements by immediately going forward at least the 
distance prescribed by timetable or other instructions for the territory 
placing at least two torpedoes on the rail at least 100 feet apart, 
displaying one lighted fusee, and remaining at that location until 
recalled.
    (v) Whenever a crew member is providing flag protection, he must not 
permit other duties to interfere with the protection of his train.
    (2) Flag protection against following trains on the same track is 
not required if--
    (i) The rear of the train is protected by at least two block 
signals;
    (ii) The rear of the train is protected by an absolute block;
    (iii) The rear of the train is within interlocking limits; or
    (iv) A train order specifies that flag protection is not required.
    (v) A railroad operates only one train at any given time.
    (b) Each railroad shall designate by timetable or other instruction 
for each territory the specific distance which a crew member providing 
flag protection must go out in order to provide adequate protection for 
his train.
    (c) Whenever the use of fusees is prohibited by a Federal, State or 
local fire regulation, each railroad operating within that jurisdiction 
shall provide alternate operating procedures to assure full protection 
of trains in lieu of flag protection required by this section.

[42 FR 5065, Jan. 27, 1977, as amended at 42 FR 38362, July 28, 1977]



Sec. 218.39  Hump operations.

    After June 30, 1984, each railroad that operates a remote control 
hump yard facility must have in effect an operating rule that adopts the 
following provisions in substance:
    (a) When a train or engine service employee is required to couple an 
air hose or to adjust a coupling device and that activity will require 
that the employee place himself between pieces of rolling equipment 
located on a bowl track, the operator of any remotely controlled switch 
that provides access from the apex of the hump to the track on which the 
rolling equipment is located shall be notified;
    (b) Upon such notification, the operator of such remotely controlled 
switch

[[Page 174]]

shall line it against movement to the affected bowl track and shall 
apply a locking or blocking device to the control for that switch; and
    (c) The operator shall then notify the employee that the requested 
protection has been provided and shall remove the locking or blocking 
device only after being notified by the employee that protection is no 
longer required on that track.

(Sec. 202, 84 Stat. 971 (45 U.S.C. 431); sec. 1.49(m) of the regulations 
of the Secretary of Transportation (49 CFR 1.49(m))

[49 FR 6497, Feb. 22, 1984]



Sec. 218.41  Noncompliance with hump operations rule.

    A person (including a railroad and any manager, supervisor, 
official, or other employee or agent of a railroad) who fails to comply 
with a railroad's operating rule issued pursuant to Sec. 218.39 of this 
part is subject to a penalty, as provided in appendix A of this part.

[53 FR 52928, Dec. 29, 1988]



      Subpart D--Prohibition Against Tampering With Safety Devices

    Source: 54 FR 5492, Feb. 3, 1989, unless otherwise noted.



Sec. 218.51  Purpose.

    (a) The purpose of this subpart is to prevent accidents and 
casualties that can result from the operation of trains when safety 
devices intended to improve the safety of their movement have been 
disabled.
    (b) This subpart does not prohibit intervention with safety devices 
that is permitted:
    (1) Under the provisions of Sec. 236.566 or Sec. 236.567 of this 
chapter;
    (2) Under the provisions of Sec. 218.61 of this part; or
    (3) Under the provisions of Sec. 229.9 of this chapter, provided 
that when a locomotive is being operated under the provision of 
Sec. 229.9(b) a designated officer has been notified of the defective 
alerter or deadman pedal at the first available point of communication.

[54 FR 5492, Feb. 3, 1989, as amended at 58 FR 36613, July 8, 1993]



Sec. 218.53  Scope and definitions.

    (a) This subpart establishes standards of conduct for railroads and 
individuals who operate or permit to be operated locomotives equipped 
with one or more of the safety devices identified in paragraph (c) of 
this section.
    (b) Disable means to unlawfully render a device incapable of proper 
and effective action or to materially impair the functioning of that 
device.
    (c) Safety device means any locomotive-mounted equipment that is 
used either to assure that the locomotive operator is alert, not 
physically incapacitated, aware of and complying with the indications of 
a signal system or other operational control system or to record data 
concerning the operation of that locomotive or the train it is powering. 
See appendix B to this part for a statement of agency policy on this 
subject.



Sec. 218.55  Tampering prohibited.

    Any individual who willfully disables a safety device is subject to 
a civil penalty as provided in appendix A of this part and to 
disqualification from performing safety-sensitive functions on a 
railroad if found unfit for such duties under the procedures provided 
for in 49 CFR part 209.



Sec. 218.57  Responsibilities of individuals.

    Any individual who knowingly operates a train, or permits it to be 
operated, when the controlling locomotive of that train is equipped with 
a disabled safety device, is subject to a civil penalty as provided for 
in appendix A of this part and to disqualification from performing 
safety-sensitive functions on a railroad if found to be unfit for such 
duties. See appendix B to this part for a statement of agency 
enforcement policy concerning violations of this section.



Sec. 218.59  Responsibilities of railroads.

    Any railroad that operates a train when the controlling locomotive 
of a train is equipped with a disabled safety device is subject to a 
civil penalty as provided for in appendix A of this part.

[[Page 175]]



Sec. 218.61  Authority to deactivate safety devices.

    (a) For the purpose of this chapter, it is lawful to temporarily 
render a safety device incapable of proper or effective action or to 
materially impair its function if this action is taken as provided for 
in paragraph (b) or (c) of this section.
    (b) If a locomotive is equipped with a device to assure that the 
operator is alert or not physically incapacitated, that device may be 
deactivated when:
    (1) The locomotive is not the controlling locomotive;
    (2) The locomotive is performing switching operations and not 
hauling cars in a manner that constitutes a train movement under part 
232 of this chapter:
    (3) The locomotive is dead-in-tow; or
    (4) The locomotive is a mid-train slave unit being controlled by 
radio from a remote location.
    (c) If a locomotive is equipped with a device to record data 
concerning the operation of that locomotive and/or of the train it is 
powering, that device may be deactivated only in accordance with the 
provisions of Sec. 229.135.

[54 FR 5492, Feb. 3, 1989, as amended at 58 FR 36613, July 8, 1993]



               Subpart E--Protection of Occupied Camp Cars

    Source: 54 FR 39545, Sept. 27, 1989, unless otherwise noted.



Sec. 218.71  Purpose and scope.

    This subpart prescribes minimum requirements governing protection of 
camp cars that house railroad employees. The rule does not apply to such 
cars while they are in a train.



Sec. 218.73  Warning signal display.

    (a) Warning signals, i.e., a white disk with the words ``Occupied 
Camp Car'' in black lettering during daylight hours and an illuminated 
white signal at night, displayed in accordance with Sec. 218.75, 
Sec. 218.77, or Sec. 218.79 signify that employees are in, around, or in 
the vicinity of camp cars. Once the signals have been displayed--
    (1) The camp cars may not be moved for coupling to other rolling 
equipment or moved to another location;
    (2) Rolling equipment may not be placed on the same track so as to 
reduce or block the view of a warning signal; and
    (3) Rolling equipment may not pass a warning signal.
    (b) Warning signals indicating the presence of occupied camp cars, 
displayed in accordance with Secs. 218.75 and 218.79, shall be displayed 
by a designated occupant of the camp cars or that person's immediate 
supervisor. The signal(s) shall be displayed as soon as such cars are 
placed on the track, and such signals may only be removed by those same 
individuals prior to the time the cars are moved to another location.



Sec. 218.75  Methods of protection for camp cars.

    When camp cars requiring protection are on either main track or 
track other than main track:
    (a) A warning signal shall be displayed at or near each switch 
providing access to that track;
    (b) The person in charge of the camp car occupants shall immediately 
notify the person responsible for directing train movements on that 
portion of the railroad where the camp cars are being parked;
    (c) Once notified of the presence of camp cars and their location on 
main track or other than main track, the person responsible for 
directing train movements on that portion of the railroad where the camp 
cars are being parked shall take appropriate action to alert affected 
personnel to the presence of the cars;
    (d) Each manually operating switch providing access to track on 
which the camp cars are located shall be lined against movement to that 
track and secured with an effective locking device and spiked; and
    (e) Each remotely controlled switch providing access to the track on 
which the camp cars are located shall be protected in accordance with 
Sec. 218.77.



Sec. 218.77  Remotely controlled switches.

    (a) After the operator of the remotely controlled switch is notified 
that a

[[Page 176]]

camp car is to be placed on a particular track, he shall line such 
switch against movement to that track and apply an effective locking 
device applied to the lever, button, or other device controlling the 
switch before informing the person in charge of the camp car occupants 
that protection has been provided.
    (b) The operator may not remove the locking device until informed by 
the person in charge of the camp car occupants that protection is no 
longer required.
    (c) The operator shall maintain for 15 days a written record of each 
notification that contains the following information:
    (1) The name and craft of the employee in charge who provided the 
notification;
    (2) The number or other designation of the track involved;
    (3) The date and time the operator notified the employee in charge 
that protection had been provided in accordance with paragraph (a) of 
this section; and
    (4) The date and time the operator was informed that the work had 
been completed, and the name and craft of the employee in charge who 
provided this information.
    (d) When occupied camp cars are parked on main track, a derail, 
capable of restricting access to that portion of the track on which such 
equipment is located, shall be positioned no less than 150 feet from the 
end of such equipment and locked in a derailing position with an 
effective locking device, and a warning signal must be displayed at the 
derail.



Sec. 218.79  Alternative methods of protection.

    Instead of providing protection for occupied camp cars in accordance 
with Sec. 218.75 or Sec. 218.77, the following methods of protection may 
be used:
    (a) When occupied camp cars are on track other than main track:
    (1) A warning signal must be displayed at or near each switch 
providing access to or from the track;
    (2) Each switch providing entrance to or departure from the area 
must be lined against movement to the track and locked with an effective 
locking device; and
    (3) If the speed within this area is restricted to not more than 
five miles per hour, a derail, capable of restricting access to that 
portion of track on which the camp cars are located, will fulfill the 
requirements of a manually operated switch in compliance with paragraph 
(a)(2) of this section when positioned at least 50 feet from the end of 
the camp cars to be protected by the warning signal, when locked in a 
derailing position with an effective locking device, and when a warning 
signal is displayed at the derail.
    (b) Except as provided in paragraph (a) of this section, when 
occupied camp cars are on track other than main track:
    (1) A derail, capable of restricting access to that portion of the 
track on which such equipment is located, will fulfill the requirements 
of a manually operated switch when positioned no less than 150 feet from 
the end of such equipment; and
    (2) Each derail must be locked in a derailing position with an 
effective locking device and a warning signal must be displayed at each 
derail.



Sec. 218.80  Movement of occupied camp cars.

    Occupied cars may not be humped or flat switched unless coupled to a 
locomotive.

         Appendix A to Part 218--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
Subpart B--Blue signal protection of workmen:
    218.22 Utility employees:
        (a) Employee qualifications...........       $5,000       $7,500
        (b) Concurrent service................        5,000        7,500
        (c) Assignment conditions.............
        (1) No controlling locomotive.........        5,000        7,500
        (2) Empty cab.........................        5,000        7,500
        (3)(4) Improper communication.........        5,000        7,500
        (5) Performing functions not listed...        2,000        4,000
        (d) Improper release of utility               2,000        4,000
         employee.............................
        (f) More than three utility employees         2,000        4,000
         with one crew........................

[[Page 177]]

 
    218.23  Blue signal display                       5,000        7,500
    218.24 One-person crew:
        (a)(1) Equipment not coupled or               2,000        4,000
         insufficiently separated.............
        (a)(2) Unoccupied locomotive cab not          5,000        7,500
         secured..............................
        (b) Helper service....................        2,000        4,000
    218.25  Workmen on a main track                   5,000        7,500
    218.27  Workmen on track other than main
     track:
        (a) Protection provided except that           2,000        4,000
         signal not displayed at switch.......
        (b) through (e).......................        5,000        7,500
    218.29  Alternate methods of protection:
        (a)(1) protection provided except that        2,000        4,000
         signal not displayed at switch.......
        (a)(2) through (a)(8).................        5,000        7,500
        (b)(1) Protection provided except that        2,000        4,000
         signal not displayed at switch.......
        (b)(2) through (b)(4).................        5,000        7,500
        (c) Use of derails....................        5,000        7,500
        (d) Emergency repairs.................        5,000        7,500
    218.30  Remotely controlled switches:
        (a) and (b)...........................        5,000        7,500
        (c)...................................        1,000        2,000
Subpart C--Protection of trains and
 locomotives:
    218.35  Yard limits:
        (a) and (b)...........................        5,000        7,500
        (c)...................................        1,000        2,000
    218.37  Flag protection:
        (a)...................................        5,000        7,500
        (b) and (c)...........................        5,000        7,500
    218.39  Hump operations...................        5,000        7,500
    218.41  Noncompliance with hump operations        5,000        7,500
     rule.....................................
Subpart D--Prohibition against tampering with
 safety devices:
    218.55  Tampering.........................  ...........        7,500
    218.57  (i) Knowingly operating or                2,500  ...........
     permitting operation of disabled
     equipment................................
          (ii) Willfully operating or           ...........        5,000
         permitting operation of disabled
         equipment............................
    218.59  Operation of disabled equipment...        2,500        5,000
------------------------------------------------------------------------
\1\ Except as provided for in Sec.  218.57, 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 $22,000 for any
  violation where the circumstances warrant. See 49 CFR part 209,
  appendix A.


[53 FR 52928, Dec. 29, 1988, as amended at 54 FR 5492, Feb. 3, 1989; 58 
FR 43293, Aug. 16, 1993; 60 FR 11050, Mar. 1, 1995; 63 FR 11621, Mar. 
10, 1998]

 Appendix B to Part 218--Statement of Agency Enforcement Policy on Blue 
                 Signal Protection for Utility Employees

    The following examples of the application of the train or yard crew 
exclusion from required blue signal protection for utility employees are 
provided to clarify FRA's enforcement policy. In the first four 
examples, the utility employee is properly attached to and functioning 
as member of a train or yard crew and is excluded from blue signal 
protection, provided all the conditions specified in Sec. 218.22 are 
met:
    Example 1: A utility employee assists a train crew by adding or 
reducing railroad cars to or from the train. The utility employee may 
perform any duties which would normally be conducted by members of the 
train crew, i.e., setting or releasing handbrakes, coupling air hoses 
and other connections, prepare rail cars for coupling, and perform air 
brake tests.
    Example 2: A utility employee is assigned to assist a yard crew for 
the purpose of classifying and assembling railroad cars. The yard crew 
onboard their locomotive arrives at the location in the yard where the 
work is to be performed. At that time, the utility employee may attach 
himself to the yard crew and commence duties as a member of that yard 
crew.
    Example 3: A utility employee is assigned to inspect, test, remove 
and replace if necessary, a combination rear end marking device/end of 
train device on a through freight train. The utility employee attaches 
himself to the train crew after the arrival of the train and its crew at 
the location where this work is to be conducted. He may then perform 
duties as a member of that crew.
    Example 4: A railroad manager who properly attaches himself as a 
utility employee to a train or yard crew, in accordance with 
Sec. 218.22, may then function as a member of the train or yard crew 
under the exclusion provided for train and yard crews.

    Note: In the last four examples, any railroad employee, including 
regularly assigned crew members, would need blue signal protection to 
perform the described function.

    Example 5: Prior to the arrival of a through freight train, a 
utility employee installs an end-of-train device on one end of a block 
of railroad cars that are scheduled to be picked up by the freight 
train.
    Example 6: A railroad employee attaches himself to a train or yard 
crew while the crew is in the ready room preparing to take charge of 
their train. Prior to the train crew

[[Page 178]]

leaving the ready room and taking charge of the equipment, the employee 
couples air hoses and other connections between the locomotives.
    Example 7: A railroad employee is attached to a train crew after the 
train crew has taken charge of the train. It is necessary for the 
employee to perform a repair on a rail car, such as replacing a brake 
shoe, in addition to those duties normally performed by train or yard 
crew members.
    Example 8: A train or yard crew, supplemented by three utility 
employees, has an assigned locomotive and train. The regular crew, 
including the engineer, has left the train to eat lunch. The utility 
employees have remained with the train and are coupling air hoses 
between rail cars in the train.

[58 FR 43293, Aug. 16, 1993]

   Appendix C to Part 218--Statement of Agency Enforcement Policy on 
                                Tampering

    The Rail Safety Improvement Act of 1988 (Pub. L. 100-342, enacted 
June 22, 1988) (``RSIA'') raised the maximum civil penalties available 
under the railroad safety laws and made individuals liable for willful 
violations of those laws. Section 21 of the RSIA requires that FRA adopt 
regulations addressing three related but distinct aspects of problems 
that can occur when safety devices are tampered with or disabled. It 
requires that FRA make it unlawful for (i) any individual to willfully 
tamper with or disable a device; (ii) any individual to knowingly 
operate or permit to be operated a train with a tampered or disabled 
device; and (iii) any railroad to operate such a train.
    Because the introduction of civil penalties against individuals 
brings FRA's enforcement of the rail safety laws into a new era and 
because the changes being introduced by this regulation are so 
significant, FRA believes that it is advisable to set forth the manner 
in which it will exercise its enforcement authority under this 
regulation.

                   Safety Devices Covered by This Rule

    FRA has employed a functional description of what constitutes a 
safety device under this rule. FRA's wording effectively identifies 
existing equipment and is sufficiently expansive to cover equipment that 
may appear in the future, particularly devices associated with advanced 
train control systems currently undergoing research testing.
    FRA has been advised by portions of the regulated community that its 
functional definition has some potential for confusing people who read 
the rule without the benefit of the preamble discussions concerning the 
meaning of this definition. Since this rule is specifically intended to 
preclude misconduct by individuals, FRA wants this rule to be easily 
comprehended by all who read it. To achieve that clarity, FRA has decide 
to specify which types of equipment it considers to be within the scope 
of this rule and provide some examples of equipment that is not covered. 
In addition, FRA is ready and willing to respond in writing to any 
inquiry about any other devices that a party believes are treated 
ambiguously under this rule. This regulation applies to a variety of 
devices including equipment known as ``event recorders,'' ``alerters,'' 
``deadman controls,'' ``automatic cab signals,'' ``cab signal 
whistles,'' ``automatic train stop equipment,'' and ``automatic train 
control equipment.'' FRA does not consider the following equipment to be 
covered by this rule: Radios; monitors for end-of-train devices; bells 
or whistles that are not connected to alerters, deadman pedals, or 
signal system devices; fans for controlling interior temperature of 
locomotive cabs; and locomotive performance monitoring devices, unless 
they record data such as train speed and air brake operations. Although 
FRA considers such devices beyond the scope of the regulation, this does 
not imply that FRA condones the disabling of such devices. FRA will not 
hesitate to include such devices at a later date should instances of 
tampering with these devices be discovered. FRA does not currently 
perceive a need to directly proscribe tampering with such devices 
because there is no history of these devices being subjected to 
tampering.

          Subsequent Operators of Trains With Disabled Devices

    Section 218.57 addresses instances in which one individual has 
tampered with a safety device and a second individual (a ``subsequent 
operator'') knowingly operates a train or permits it to be operated, 
notwithstanding the presence of the disabled or tampered-with unit. The 
most common occurrence addressed by this provision is the situation in 
which a train crew encounters a locomotive with a safety device that has 
been tampered with prior to the crew's assuming responsibility for the 
locomotive. FRA has structured this provision and its attendant 
enforcement policy to reflect the fact that instances in which one 
individual encounters a locomotive that someone else has tampered with 
are relatively infrequent occurrences.
    FRA's regulatory prohibition for subsequent operator conduct 
reflects the legal standard for individual culpability set forth in the 
RSIA. Under the relevant statutory standard (``knowingly operates or 
permits to be operated a train on which such devices have been tampered 
with or disabled by another person'')--now incorporated into 
Sec. 218.57--individuals could be held to a simple

[[Page 179]]

negligence standard of conduct, i.e., a standard of reasonable care 
under the circumstances. FRA's conclusion about the proper 
interpretation of the word ``knowingly'' stems from both normal canons 
of statutory construction and analysis of decisional law concerning the 
use of similar statutory constructs in the civil penalty context. It is 
also consistent with other Departmental interpretations of the word as 
used in similar contexts. (See 49 CFR 107.299, defining ``knowingly'' 
under the Hazardous Materials Transportation Act, 49 App. U.S.C. 1801 et 
seq.)
    Under that statutory language, the responsible members of the crew 
could be culpable if either (1) due to their failure to exercise 
reasonable care, they failed to determine that the safety device was not 
functioning, or (2) having ascertained that the device was not 
functioning, still elected to operate the train. Similarly, railroad 
supervisors who permit or direct that a train with a disabled device be 
operated after having learned that the safety device is not functioning 
or after having failed to use reasonable care in the performance of 
their duties could also be subject to sanction.
    However, as a matter of enforcement policy, application of a 
negligence standard in this particular context presently appears 
unwarranted. We have seen no evidence of an employee's negligent failure 
to detect another employee's tampering having caused a safety problem. 
FRA can effectively attack the known dimensions of the tampering problem 
by employing an enforcement policy that limits its enforcement actions 
to situations where individuals clearly had actual knowledge of the 
disabled device and intentionally operated the train notwithstanding 
that knowledge.
    Therefore, FRA will not take enforcement action against an 
individual under Sec. 218.57 absent a showing of such actual knowledge 
of the facts. Actual, subjective knowledge need not be demonstrated. It 
will suffice to show objectively that the alleged violator must have 
known the facts based on reasonable inferences drawn from the 
circumstances. For example, it is reasonable to infer that a person 
knows about something plainly in sight on the locomotive he is 
operating. Also, unlike the case where willfulness must be shown (see 
FRA's statement of policy at 49 CFR part 209, appendix A), knowledge of 
or reckless disregard for the law need not be shown to make out a 
violation of Sec. 218.57. The knowledge relevant here is knowledge of 
the facts constituting the violation, not knowledge of the law.
    Should FRA receive evidence indicating that a stricter enforcement 
policy is necessary to address the tampering problem, it will revise its 
enforcement policy to permit enforcement actions based only on a showing 
of the subsequent operator's negligent failure to detect the tampering, 
as the relevant provision of the RSIA permits it to do now. Any such 
change in enforcement policy will become effective only after 
publication of a revised version of this appendix.

[54 FR 5492, Feb. 3, 1989. Redesignated and amended at 58 FR 43293, Aug. 
16, 1993]



PART 219--CONTROL OF ALCOHOL AND DRUG USE--Table of Contents




                           Subpart A--General

Sec.
219.1  Purpose and scope.
219.3  Application.
219.5  Definitions.
219.7  Waivers.
219.9  Responsibility for compliance.
219.11  General conditions for chemical tests.
219.13  Preemptive effect.
219.15  [Reserved]
219.17  Construction.
219.19  [Reserved]
219.21  Information collection.
219.23  Railroad policies.

                         Subpart B--Prohibitions

219.101  Alcohol and drug use prohibited.
219.102  Prohibition on abuse of controlled substances.
219.103  Prescribed and over-the-counter drugs.
219.104  Responsive action.
219.105  Railroad's duty to prevent violations.
219.107  Consequences of unlawful refusal.

             Subpart C--Post-Accident Toxicological Testing

219.201  Events for which testing is required.
219.203  Responsibilities of railroads and employees.
219.205  Sample collection and handling.
219.206  FRA access to breath test results.
219.207  Fatality.
219.209  Reports of tests and refusals.
219.211  Analysis and follow-up.
219.213  Unlawful refusals; consequences.

                      Subpart D--Testing for Cause

219.300  Mandatory reasonable suspicion testing.
219.301  Testing for reasonable cause.
219.302  Prompt sample collection; time limitation.
219.303  Alcohol test procedures and safeguards.
219.305  Urine test procedures and safeguards.

[[Page 180]]

             Subpart E--Identification of Troubled Employees

219.401  Requirement for policies.
219.403  Voluntary referral policy.
219.405  Co-worker report policy.
219.407  Alternate policies.

                     Subpart F--Pre-employment Tests

219.501  Pre-employment tests.
219.503  Notification; records.
219.505  Refusals.

           Subpart G--Random Alcohol and Drug Testing Programs

219.601  Railroad random drug testing programs.
219.602  Administrator's determination of random drug testing rate.
219.603  Participation in drug testing.
219.605  Positive drug test results; procedures.
219.607  Railroad random alcohol testing programs.
219.608  Administrator's determination of random alcohol testing rate.
219.609  Participation in alcohol testing.
219.611  Test result indicating prohibited alcohol concentration; 
          procedures.

  Subpart H--Procedures and Safeguards for Urine Drug Testing and for 
                             Alcohol Testing

219.701  Standards for urine drug testing.
219.703  Drug testing procedures.
219.705  Drugs tested.
219.707  Review by MRO of urine drug testing results.
219.708  Employee requests for testing.
219.709  [Reserved]
219.711  Confidentiality of test results.
219.713  [Reserved]
219.715  Alcohol testing procedures.

                        Subpart I--Annual Report

219.801  Reporting alcohol misuse prevention program results in a 
          management information system.
219.803  Reporting drug misuse prevention program results in a 
          management information system.

                  Subpart J--Recordkeeping Requirements

219.901  Retention of breath alcohol testing records.
219.903  Retention of urine drug testing records.
219.905  Access to facilities and records.

Appendix A to Part 219--Schedule of Civil Penalties
Appendix B to Part 219--Designation of Laboratory for Post-Accident 
          Toxicological Testing
Appendix C to Part 219--Post-Accident Testing Sample Collection
Appendix D to Part 219--Drug Testing Management Information System (MIS) 
          Data Collection Form
Appendix D1 to Part 219  [Reserved]
Appendix D2 to Part 219--Drug Testing Management Information System 
          (MIS) ``EZ'' Data Collection Form
Appendix D3 to Part 219--Alcohol Testing Management Information System 
          (MIS) Data Collection Form
Appendix D4 to Part 219--Alcohol Testing Management Information System 
          (MIS) ``EZ'' Data Collection Form

    Authority: 49 U.S.C. 20103, 20107, 20140, and 49 CFR 1.49.

    Source: 54 FR 53259, Dec. 27, 1989, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 219 appear at 59 FR 
7457, Feb. 15, 1994.



                           Subpart A--General



Sec. 219.1  Purpose and scope.

    (a) The purpose of this part is to prevent accidents and casualties 
in railroad operations that result from impairment of employees by 
alcohol or drugs.
    (b) This part prescribes minimum Federal safety standards for 
control of alcohol and drug use. This part does not restrict a railroad 
from adopting and enforcing additional or more stringent requirements 
not inconsistent with this part.



Sec. 219.3  Application.

    (a) Except as provided in paragraphs (b) and (c), this part applies 
to--
    (1) Railroads that operate rolling equipment on standard gage track 
which is part of the general railroad system of transportation; and
    (2) Railroads that provide commuter or other short-haul rail 
passenger service in a metropolitan or suburban area (as described by 
section 202(e) of the Federal Railroad Safety Act of 1970, as amended).
    (b)(1) This part does not apply to a railroad that operates only on 
track inside an installation which is not part of the general railroad 
system of transportation.
    (2) Subparts D, E, F and G do not apply to a railroad that employs 
not more than 15 employees covered by the Hours of Service Act (45 
U.S.C. 61-64b)

[[Page 181]]

and that does not operate on tracks of another railroad (or otherwise 
engage in joint operations with another railroad) except as necessary 
for purposes of interchange.
    (3) Subpart I does not apply to a railroad that has fewer than 
400,000 total manhours.
    (c) Subparts E, F and G do not apply to operations of a foreign 
railroad conducted by covered service employees whose primary place of 
service (``home terminal'') for rail transportation services is located 
outside the United States. Such operations and employees are subject to 
subparts A, B, C, and D when operating in United States territory.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7457, Feb. 15, 1994]



Sec. 219.5  Definitions.

    As used in this part--
    Alcohol means the intoxicating agent in beverage alcohol, ethanol or 
other low molecular weight alcohols including methyl or isopropyl 
alcohol.
    Alcohol concentration (or content) means the alcohol in a volume of 
breath expressed in terms of grams of alcohol per 210 liters of breath 
(as indicated by a breath test under this part) or grams of alcohol per 
100 milliliters of whole blood.
    Alcohol use means the consumption of any beverage, mixture or 
preparation, including any medication, containing alcohol.
    Class I, ``Class II,'' and ``Class III'' have the meaning assigned 
by regulations of the Interstate Commerce Commission (49 CFR Part 1201; 
General Instructions 1-1), as those regulations may be revised and 
applied by order of the Commission (including modifications in class 
thresholds based revenue deflator adjustments).
    Confirmation test means a second test, following a screening test 
with a result of .02 or greater, that provides quantitative data of 
alcohol concentration.
    Consortium means an entity, including a group or association of 
employers or contractors, that provides alcohol testing as required by 
this part or other DOT alcohol testing regulation and that acts on 
behalf of the employers.
    Controlled substance has the meaning assigned by 21 U.S.C. 802 and 
includes all substances listed on Schedules I through V as they may be 
revised from time to time (21 CFR parts 1301-1316).
    Covered employee means a person who has been assigned to perform 
service subject to the Hours of Service Act (45 U.S.C. 61-64b) during a 
duty tour, whether or not the person has performed or is currently 
performing such service, and any person who performs such service. (An 
employee is not ``covered'' within the meaning of this part exclusively 
by reason of being an employee for purposes of section 2(a)(3) of the 
Hours of Service Act, as amended (45 U.S.C. 62(a)(3)).) For the purposes 
of pre-employment testing only, the term covered employee includes a 
person applying to perform covered service.
    Co-worker means another employee of the railroad, including a 
working supervisor directly associated with a yard or train crew, such 
as a conductor or yard foreman, but not including any other railroad 
supervisor, special agent or officer.
    DOT Agency means an agency (or ``operating administration'') of the 
United States Department of Transportation administering regulations 
requiring alcohol or controlled substance testing (14 CFR parts 61, 63, 
65, 121 and 135; 49 CFR parts 199, 219, 382 and 654) in accordance with 
part 40 of this title.
    Drug means any substance (other than alcohol) that has known mind or 
function-altering effects on a human subject, specifically including any 
psychoactive substance and including, but not limited to, controlled 
substances.
    FRA means the Federal Railroad Administration, U.S. Department of 
Transportation.
    FRA representative means the Associate Administrator for Safety, 
FRA, the Associate Administrator's delegate (including a qualified State 
inspector acting under part 212 of this chapter), the Chief Counsel, 
FRA, or the Chief Counsel's delegate.
    Hazardous material means a commodity designated as a hazardous 
material by part 172 of this title.
    Impact accident means a train accident (i.e., a rail equipment 
accident involving damage in excess of the current

[[Page 182]]

reporting threshold, $6,300 for calendar years 1991 through 1996, $6,500 
for calendar year 1997, and $6,600 for calendar years 1998 trhough 1999) 
consisting of a head-on collision, a rear-end collision, a side 
collision (including a collision at a railroad crossing at grade), a 
switching collision, or impact with a deliberately-placed obstruction 
such as a bumping post. The following are not impact accidents:
    (1) An accident in which the derailment of equipment causes an 
impact with other rail equipment;
    (2) Impact of rail equipment with obstructions such as fallen trees, 
rock or snow slides, livestock, etc.; and
    (3) Raking collisions caused by derailment of rolling stock or 
operation of equipment in violation of clearance limitations.
    Independent with respect to a medical facility, means not under the 
ownership or control of the railroad and not operated or staffed by a 
salaried officer or employee of the railroad. The fact that the railroad 
pays for services rendered by a medical facility or laboratory, selects 
that entity for performing tests under this part, or has a standing 
contractual relationship with that entity to perform tests under this 
part or perform other medical examinations or tests of railroad 
employees does not, by itself, remove the facility from this definition.
    Medical facility means a hospital, clinic, physician's office, or 
laboratory where toxicological samples can be collected according to 
recognized professional standards.
    Medical practitioner means a physician or dentist licensed or 
otherwise authorized to practice by the state.
    Medical Review Officer or MRO refers to a licensed physician 
designated by the railroad who is responsible for receiving laboratory 
results generated by the railroad's drug testing program (including 
testing mandated or authorized by this part), who has knowledge of 
substance abuse disorders, and who has appropriate medical training to 
interpret and evaluate an individual's positive test result (as reported 
by the laboratory) together with his or her medical history and any 
other relevant biomedical information.
    NTSB means the National Transportation Safety Board.
    Passenger train means a train transporting persons (other than 
employees, contractors or persons riding equipment to observe or monitor 
railroad operations) in intercity passenger service, commuter or other 
short-haul service, or for excursion or recreational purposes.
    Positive rate means the number of positive results for random drug 
tests conducted under this part plus the number of refusals of random 
tests required by this part, divided by the total number of random drug 
tests conducted under this part plus the number of refusals of random 
tests required by this part.
    Possess means to have on one's person or in one's personal effects 
or under one's control. However, the concept of possession as used in 
this part does not include control by virtue of presence in the 
employee's personal residence or other similar location off of railroad 
property.
    Railroad means all forms of non-highway ground transportation that 
run on rails or electro-magnetic guideways, including:
    (1) Commuter or other short-haul rail passenger service in a 
metropolitan or suburban area, as well as any commuter rail service 
which was operated by Consolidated Rail Corporation as of January 1, 
1979, and
    (2) High speed ground transportation systems that connect 
metropolitan areas, without regard to whether they use new technologies 
not associated with traditional railroads.

Such term does not include rapid transit operations within an urban area 
that are not connected to the general railroad system of transportation.
    Railroad property damage or damage to railroad property refers to 
damage to railroad property, including railroad on-track equipment, 
signals, track, track structures (including bridges and tunnels), or 
roadbed, including labor costs and all other costs for repair or 
replacement in kind. Estimated cost for replacement of railroad property 
shall be calculated as described in the FRA Guide for Preparing 
Accident/Incident Reports. (See 49 CFR 225.21.) However, replacement of 
passenger

[[Page 183]]

equipment shall be calculated based on the cost of acquiring a new unit 
for comparable service.
    Refuse to submit means that a covered employee fails to provide a 
urine sample as required by 49 CFR part 40, without a genuine inability 
to provide a specimen (as determined by a medical evaluation), after he 
or she has received notice of the requirement to be tested in accordance 
with the provisions of this part, or engages in conduct that clearly 
obstructs the testing process.
    Refuse to submit (to an alcohol test) means that a covered employee 
fails to provide adequate breath for testing without a valid medical 
explanation after he or she has received notice of the requirement to be 
tested in accordance with the provisions of this part, or engages in 
conduct that clearly obstructs the testing process.
    Reportable injury means an inury reportable under part 225 of this 
title.
    Reporting threshold means the amount specified in Sec. 225.19(e) of 
this chapter, as adjusted from time to time in accordance with appendix 
B to part 225 of this chapter. The reporting threshold for calendar 
years 1991 through 1996 is $6,300. The reporting threshold for calendar 
year 1997 is $6,500. The reporting threshold for calendar years 1998 
through 1999 is $6,600.
    Screening test means an analytical procedure to determine whether a 
covered employee may have a prohibited concentration of alcohol in his 
or her system.
    Supervisory employee means an officer, special agent, or other 
employee of the railroad who is not a co-worker and who is responsible 
for supervising or monitoring the conduct or performance of one or more 
employees.
    Train, except as context requires, means a locomotive, or more than 
one locomotive coupled, with or without cars. (A locomotive is a self-
propelled unit of equipment which can be used in train service.)
    Train accident means a passenger, freight, or work train accident 
described in Sec. 225.19(c) of this chapter (a ``rail equipment 
accident'' involving damage in excess of the current reporting 
threshold, $6,300 for calendar years 1991 through 1996, $6,500 for 
calendar year 1997, and $6,600 for calendar years 1998 through 1999), 
including an accident involving a switching movement.
    Train incident means an event involving the movement of railroad on-
track equipment that results in a casualty but in which railroad 
property damage does not exceed the reporting threshold.
    Violation rate means the number of covered employees (as reported 
under Sec. 219.801 of this part) found during random tests given under 
this part to have an alcohol concentration of .04 or greater, plus the 
number of employees who refuse a random test required by this part, 
divided by the total reported number of employees in the industry given 
random alcohol tests under this part plus the total reported number of 
employees in the industry who refuse a random test required by this 
part.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7457, Feb. 15, 1994; 59 
FR 62228, Dec. 2, 1994; 61 FR 37224, July 17, 1996; 61 FR 60634, Nov. 
29, 1996; 61 FR 67490, Dec. 23, 1996; 62 FR 63466, Dec. 1, 1997; 62 FR 
63676, Dec. 2, 1997; 63 FR 71791, Dec. 30, 1998]



Sec. 219.7  Waivers.

    (a) A person subject to a requirement of this part may petition the 
Federal Railroad Administration for a waiver of compliance with such 
requirement.
    (b) Each petition for waiver under this section must be filed in a 
manner and contain the information required by part 211 of this chapter.
    (c) If the Administrator finds that waiver of compliance is in the 
public interest and is consistent with railroad safety, the 
Administrator may grant the waiver subject to any necessary conditions.



Sec. 219.9  Responsibility for compliance.

    (a) Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the

[[Page 184]]

violation of any such requirement is subject to a civil penalty of at 
least $500 and not more than $11,000 per violation, except that: 
Penalties may be assessed against individuals only for willful 
violations; where a grossly negligent violation or a pattern of repeated 
violations has created an imminent hazard of death or injury, or has 
caused death or injury, a penalty not to exceed $22,000 per violation 
may be assessed; and the standard of liability for a railroad will vary 
depending upon the requirement involved. See, e.g., Sec. 219.105, which 
shall be construed to qualify the responsibility of a railroad for the 
unauthorized conduct of an employee that violates Sec. 219.101 or 
Sec. 219.102 (while imposing a duty of due diligence to prevent such 
conduct). Each day a violation continues shall constitute a separate 
offense. See appendix A to this part for a statement of agency civil 
penalty policy.
    (b)(1) In the case of joint operations, primary responsibility for 
compliance with this part with respect to determination of events 
qualifying for breath or body fluid testing under subparts C and D of 
this part shall rest with the host railroad, and all affected employees 
shall be responsive to direction from the host railroad consistent with 
this part. However, nothing in this paragraph shall restrict the ability 
of the railroads to provide for an appropriate assignment of 
responsibility for compliance with this part as among those railroads 
through a joint operating agreement or other binding contract. FRA 
reserves the right to bring an enforcement action for noncompliance with 
applicable portions of this part against the host railroad, the 
employing railroad, or both.
    (2) Where an employee of one railroad is required to participate in 
breath or body fluid testing under subpart C or D and is subsequently 
subject to adverse action alleged to have arisen out of the required 
test (or alleged refusal thereof), necessary witnesses and documents 
available to the other railroad shall be made available to the employee 
on a reasonable basis.
    (c) Any independent contractor or other entity that performs covered 
service for a railroad has the same responsibilities as a railroad under 
this part, with respect to its employees who perform covered service. 
The entity's responsibility for compliance with this part may be 
fulfilled either directly by that entity or by the railroad's treating 
the entity's employees who perform covered service as if they were its 
own employees for purposes of this part. The responsibility for 
compliance must be clearly spelled out in the contract between the 
railroad and the other entity or in another document. In the absence of 
such a clear delineation of responsibility, FRA will hold the railroad 
and the other entity jointly and severally liable for compliance.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7458, Feb. 15, 1994; 63 
FR 11621, Mar. 10, 1998]



Sec. 219.11  General conditions for chemical tests.

    (a) Any employee who performs covered service for a railroad shall 
be deemed to have consented to testing as required in subparts B, C, D, 
and G of this part; and consent is implied by performance of such 
service.
    (b)(1) Each such employee shall participate in such testing, as 
required under the conditions set forth in this part by a representative 
of the railroad.
    (2) In any case where an employee has sustained a personal injury 
and is subject to alcohol or drug testing under this part, necessary 
medical treatment shall be accorded priority over provision of the 
breath or body fluid sample(s). No employee who is unable to urinate 
normally (based on the judgment of a medical professional that 
catheterization would be required) as a result of a personal injury, 
resulting medical treatment, or renal failure shall be required to 
provide a urine sample. Nothing in this section shall bar use of a urine 
sample made available as a result of catheterization undertaken for 
medical purposes, provided the circumstances of such collection are 
fully documented and the specimen is otherwise handled in accordance 
with the applicable requirements of this title.
    (3) Failure to remain available following an accident or casualty as 
required by company rules (i.e., being absent without leave) shall be 
considered

[[Page 185]]

a refusal to participate in testing, without regard to any subsequent 
provision of samples.
    (4) Tampering with a sample in order to prevent a valid test (e.g., 
through substitution, dilution or adulteration) constitutes a refusal to 
provide a sample.
    (c) A covered employee who is required to be tested under subpart C 
or D and who is taken to a medical facility for observation or treatment 
after an accident or incident shall be deemed to have consented to the 
release to FRA of the following:
    (1) The remaining portion of any body fluid sample taken by the 
treating facility within 12 hours of the accident or incident that is 
not required for medical purposes, together with any normal medical 
facility record(s) pertaining to the taking of such sample;
    (2) The results of any laboratory tests for alcohol or any drug 
conducted by or for the treating facility on such sample; and
    (3) The identity, dosage, and time of administration of any drugs 
administered by the treating facility prior to the time samples were 
taken by the treating facility or prior to the time samples were taken 
in compliance with this part.
    (4) The results of any breath tests for alcohol conducted by or for 
the treating facility.
    (d) An employee required to participate in body fluid testing under 
subpart C (post-accident toxicological testing) or testing subject to 
subpart H shall, if requested by the representative of the railroad or 
the medical facility (including under subpart H of this part, a non-
medical contract collector), evidence consent to taking of samples, 
their release for toxicological analysis under pertinent provisions of 
this part, and release of the test results to the railroad's Medical 
Review Officer by promptly executing a consent form, if required by the 
medical facility. The employee is not required to execute any document 
or clause waiving rights that the employee would otherwise have against 
the employer, and any such waiver is void. The employee may not be 
required to waive liability with respect to negligence on the part of 
any person participating in the collection, handling or analysis of the 
specimen or to indemnify any person for the negligence of others. Any 
consent provided consistent with this section shall be construed to 
extend only to those actions specified herein.
    (e) Nothing in this part shall be construed to authorize the use of 
physical coercion or any other deprivation of liberty in order to compel 
breath or body fluid testing.
    (f) Any railroad employee who performs service for a railroad shall 
be deemed to have consented to removal of body fluid and/or tissue 
samples necessary for toxicological analysis from the remains of such 
employee, if such employee dies within 12 hours of an accident or 
incident described in subpart C as a result of such event. This consent 
is specifically required of employees not in covered service, as well as 
employees in covered service.
    (g) Each supervisor responsible for covered employees (except a 
working supervisor within the definition of co-worker under this part) 
shall be trained in the signs and symptoms of alcohol and drug 
influence, intoxication and misuse consistent with a program of 
instruction to be made available for inspection upon demand by FRA. Such 
a program shall, at a minimum provide information concerning the acute 
behavioral and apparent physiological effects of alcohol and the major 
drug groups on the controlled substances list. The program shall also 
provide training on the qualifying criteria for post-accident testing 
contained in subpart C of this part, and the role of the supervisor in 
post-accident collections described in subpart C and appendix C of this 
part. The duration of such training shall be not less than 3 hours.
    (h) Nothing in this subpart restricts any discretion available to 
the railroad to request or require that an employee cooperate in 
additional body fluid testing. However, no such testing may be performed 
on urine or blood samples provided under this part. For purposes of this 
paragraph, all urine from a void constitutes a single sample.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7458, Feb. 15, 1994]

[[Page 186]]



Sec. 219.13  Preemptive effect.

    (a) Under section 205 of the Federal Railroad Safety Act of 1970 (45 
U.S.C. 434), issuance of these regulations preempts any State law, rule, 
regulation, order or standard covering the same subject matter, except a 
provision directed at a local hazard that is consistent with this part 
and that does not impose an undue burden on interstate commerce.
    (b) FRA does not intend by issuance of these regulations to preempt 
provisions of State criminal law that impose sanctions for reckless 
conduct that leads to actual loss of life, injury or damage to property, 
whether such provisions apply specifically to railroad employees or 
generally to the public at large.



Sec. 219.15  [Reserved]



Sec. 219.17  Construction.

    Nothing in this part--
    (a) Restricts the power of FRA to conduct investigations under 
section 208 of the Federal Railroad Safety Act of 1970, as amended; or
    (b) Creates a private right of action on the part of any person for 
enforcement of the provisions of this part or for damages resulting from 
noncompliance with this part.



Sec. 219.19  [Reserved]



Sec. 219.21  Information collection.

    (a) The information collection requirements of this part have been 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.) and have been 
assigned OMB control number 2130-0526.
    (b) The information collection requirements are found in the 
following sections:

Section 219.7.
Section 219.23.
Section 219.104.
Section 219.201.
Section 219.203.
Section 219.205.
Section 219.207.
Section 219.209.
Section 219.211.
Section 219.213.
Section 219.303.
Section 219.307.
Section 219.309.
Section 219.401.
Section 219.403.
Section 219.405.
Section 219.407.
Section 219.501.
Section 219.503.
Section 219.601.
Section 219.605.
Section 219.701.
Section 219.703.
Section 219.705.
Section 219.707.
Section 219.709.
Section 219.711.
Section 219.713.



Sec. 219.23  Railroad policies.

    (a) Whenever a breath or body fluid test is required of an employee 
under this part, the railroad shall provide clear and unequivocal 
written notice to the employee that the test is being required under 
Federal Railroad Administration regulations. Use of the mandated DOT 
form for urine drug testing or breath analysis satisfies the 
requirements of this paragraph.
    (b) Whenever a breath or body fluid test is required of an employee 
under this part, the railroad shall provide clear, unequivocal written 
notice of the basis or bases upon which the test is required (e.g., 
reasonable suspicion, violation of a specified operating/safety rule 
enumerated in subpart D of this part, random selection, follow-up, 
etc.). Completion of the alcohol testing form or urine custody and 
control form indicating the basis of the test (prior to providing a copy 
to the employee) satisfies the requirement of this paragraph.
    (c) Use of approved forms for mandatory post-accident toxicological 
testing under subpart C of this part provides the notifications required 
under this section with respect to such tests. Use of those forms for 
any other test is prohibited.
    (d) Each railroad shall provide educational materials that explain 
the requirements of this part, and the railroad's policies and 
procedures with respect to meeting those requirements.
    (1) The railroad shall ensure that a copy of these materials is 
distributed to each covered employee prior to the start of alcohol 
testing under the railroad's alcohol misuse prevention program and to 
each person subsequently

[[Page 187]]

hired for or transferred to a covered position.
    (2) Each railroad shall provide written notice to representatives of 
employee organizations of the availability of this information.
    (e) Required content. The materials to be made available to 
employees shall include detailed discussion of at least the following:
    (1) The identity of the person designated by the railroad to answer 
employee questions about the materials.
    (2) The classes or crafts of employees who are subject to the 
provisions of this part.
    (3) Sufficient information about the safety-sensitive functions 
performed by those employees to make clear that the period of the work 
day the covered employee is required to be in compliance with this part 
is that period when the employee is on duty and is required to perform 
or is available to perform covered service.
    (4) Specific information concerning employee conduct that is 
prohibited under subpart B of this part.
    (5) In the case of a railroad utilizing the accident/incident and 
rule violation reasonable cause testing authority provided by this part, 
prior notice (which may be combined with the notice required by 
Secs. 219.601(d)(1) and 219.607(d)(1)), to covered employees of the 
circumstances under which they will be subject to testing.
    (6) The circumstances under which a covered employee will be tested 
under this part.
    (7) The procedures that will be used to test for the presence of 
alcohol and controlled substances, protect the employee and the 
integrity of the testing processes, safeguard the validity of the test 
results, and ensure that those results are attributed to the correct 
employee.
    (8) The requirement that a covered employee submit to alcohol and 
drug tests administered in accordance with this part.
    (9) An explanation of what constitutes a refusal to submit to an 
alcohol or drug test and the attendant consequences.
    (10) The consequences for covered employees found to have violated 
subpart B of this part, including the requirement that the employee be 
removed immediately from covered service, and the procedures under 
Sec. 219.104.
    (11) The consequences for covered employees found to have an alcohol 
concentration of .02 or greater but less than .04.
    (12) Information concerning the effects of alcohol misuse on an 
individual's health, work, and personal life; signs and symptoms of an 
alcohol problem (the employee's or a coworker's); and available methods 
of evaluating and resolving problems associated with the misuse of 
alcohol, including utilization of the procedures set forth in subpart E 
of this part and the names, addresses, and telephone numbers of 
substance abuse professionals and counseling and treatment programs.
    (f) Optional provisions. The materials supplied to employees may 
also include information on additional railroad policies with respect to 
the use or possession of alcohol and drugs, including any consequences 
for an employee found to have a specific alcohol concentration, that are 
based on the railroad's authority independent of this part. Any such 
additional policies or consequences shall be clearly and obviously 
described as being based on independent authority.

[54 FR 53259, Dec. 27, 1989; 55 FR 22793, June 4, 1990, as amended at 59 
FR 7458, Feb. 15, 1994]



                         Subpart B--Prohibitions



Sec. 219.101  Alcohol and drug use prohibited.

    (a) Prohibitions. Except as provided in Sec. 219.103--
    (1) No employee may use or possess alcohol or any controlled 
substance while assigned by a railroad to perform covered service;
    (2) No employee may report for covered service, or go or remain on 
duty in covered service while--
    (i) Under the influence of or impaired by alcohol;
    (ii) Having .04 or more alcohol concentration in the breath or 
blood; or
    (iii) Under the influence of or impaired by any controlled 
substance.
    (3) No employee may use alcohol for whichever is the lesser of the 
following periods:

[[Page 188]]

    (i) Within four hours of reporting for covered service; or
    (ii) After receiving notice to report for covered service.
    (4) No employee tested under the provisions of this part whose test 
result indicates an alcohol concentration of .02 or greater but less 
than .04 shall perform or continue to perform covered service functions 
for a railroad, nor shall a railroad permit the employee to perform or 
continue to perform covered service, until the start of the employee's 
next regularly scheduled duty period, but not less than eight hours 
following administration of the test.
    (5) If an employee tested under the provisions of this part has a 
test result indicating an alcohol concentration below 0.02, the test 
shall be considered negative and is not evidence of alcohol misuse. A 
railroad shall not use a federal test result below 0.02 either as 
evidence in a company proceeding or as a basis for subsequent testing 
under company authority. A railroad may take further action to compel 
cooperation in other breath or body fluid testing only if it has an 
independent basis for doing so.
    (b) Controlled substance. ``Controlled substance'' is defined by 
Sec. 219.5 of this part. Controlled substances are grouped as follows: 
Marijuana, narcotics (such as heroin and codeine), stimulants (such as 
cocaine and amphetamines), depressants (such as barbiturates and minor 
tranquilizers), and hallucinogens (such as the drugs known as PCP and 
LSD). Controlled substances include illicit drugs (Schedule I), drugs 
that are required to be distributed only by a medical practitioner's 
prescription or other authorization (Schedules II through IV, and some 
drugs on Schedule V), and certain preparations for which distribution is 
through documented over the counter sales (Schedule V only).
    (c) Railroad rules. Nothing in this section restricts a railroad 
from imposing an absolute prohibition on the presence of alcohol or any 
drug in the body fluids of persons in its employ, whether in furtherance 
of the purpose of this part or for other purposes.
    (d) Construction. This section shall not be construed to prohibit 
the presence of an unopened container of an alcoholic beverage in a 
private motor vehicle that is not subject to use in the business of the 
railroad; nor shall it be construed to restrict a railroad from 
prohibiting such presence under its own rules.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7459, Feb. 15, 1994; 62 
FR 63466, Dec. 1, 1997]



Sec. 219.102  Prohibition on abuse of controlled substances.

    On and after October 2, 1989, no employee who performs covered 
service may use a controlled substance at any time, whether on duty or 
off duty, except as permitted by Sec. 219.103 of this subpart.



Sec. 219.103  Prescribed and over-the-counter drugs.

    (a) This subpart does not prohibit the use of a controlled substance 
(on Schedule II through V of the controlled substance list) prescribed 
or authorized by a medical practitioner, or possession incident to such 
use, if--
    (1) The treating medical practitioner or a physician designated by 
the railroad has made a good faith judgment, with notice of the 
employee's assigned duties and on the basis of the available medical 
history, that use of the substance by the employee at the prescribed or 
authorized dosage level is consistent with the safe performance of the 
employee's duties;
    (2) The substance is used at the dosage prescribed or authorized; 
and
    (3) In the event the employee is being treated by more than one 
medical practitioner, at least one treating medical practitioner has 
been informed of all medications authorized or prescribed and has 
determined that use of the medications is consistent with the safe 
performance of the employee's duties (and the employee has observed any 
restrictions imposed with respect to use of the medications in 
combination).
    (b) This subpart does not restrict any discretion available to the 
railroad to require that employees notify the railroad of therapeutic 
drug use or obtain prior approval for such use.

[[Page 189]]



Sec. 219.104  Responsive action.

    (a) Removal from covered service. (1) If the railroad determines 
that an employee has violated Sec. 219.101 or Sec. 219.102, or the 
alcohol or controlled substances misuse rule of another DOT agency, the 
railroad shall immediately remove the employee from covered service and 
the procedures described in paragraphs (b) through (e) of this section 
shall apply.
    (2) If an employee refuses to provide breath or a body fluid sample 
or samples when required to by the railroad under a mandatory provision 
of this part, the railroad shall immediately remove the employee from 
covered service, and the procedures described in paragraphs (b) through 
(e) of this section shall apply.
    (3)(i) This section does not apply to actions based on breath or 
body fluid tests for alcohol or drugs that are conducted exclusively 
under authority other than that provided in this part (e.g., testing 
under a company medical policy, for-cause testing policy wholly 
independent of subpart D of this part, or testing under a labor 
agreement).
    (ii) This section and the information requirements listed in 
Sec. 219.23 do not apply to applicants who refuse to submit to a pre-
employment drug test or who have a pre-employment drug test with a 
result indicating the misuse of controlled substances.
    (b) Notice. Prior to or upon withdrawing the employee from covered 
service under this section, the railroad shall provide notice of the 
reason for this action.
    (c) Hearing procedures. (1) If the employee denies that the test 
result is valid evidence of alcohol or drug use prohibited by this 
subpart, the employee may demand and shall be provided an opportunity 
for a prompt post-suspension hearing before a presiding officer other 
than the charging official. This hearing may be consolidated with any 
disciplinary hearing arising from the same accident or incident (or 
conduct directly related thereto), but the presiding officer shall make 
separate findings as to compliance with Secs. 219.101 and 219.102 of 
this part.
    (2) The hearing shall be convened within the period specified in the 
applicable collective bargaining agreement. In the absence of an 
agreement provision, the employee may demand that the hearing be 
convened within 10 calendar days of the suspension or, in the case of an 
employee who is unavailable due to injury, illness, or other sufficient 
cause, within 10 days of the date the employee becomes available for 
hearing.
    (3) A post-suspension proceeding conforming to the requirements of 
an applicable collective bargaining agreement, together with the 
provisions for adjustment of disputes under section 3 of the Railway 
Labor Act, shall be deemed to satisfy the procedural requirements of 
this paragraph.
    (4) Nothing in this part shall be deemed to abridge any additional 
procedural rights or remedies not inconsistent with this part that are 
available to the employee under a collective bargaining agreement, the 
Railway Labor Act, or (with respect to employment at will) at common law 
with respect to the removal or other adverse action taken as a 
consequence of a positive test result in a test authorized or required 
by this part.
    (5) Nothing in this part shall restrict the discretion of the 
railroad to treat an employee's denial of prohibited alcohol or drug use 
as a waiver of any privilege the employee would otherwise enjoy to have 
such prohibited alcohol or drug use treated as a non-disciplinary matter 
or to have discipline held in abeyance.
    (d) Return to covered service. An employee who has been determined 
to have violated Sec. 219.101 or Sec. 219.102 or who refused to 
cooperate in a breath or body fluid test under this part shall not be 
returned to covered service unless the employee has--
    (1) Been evaluated by a substance abuse professional to determine if 
the employee is affected by a psychological or physical dependence on 
alcohol or one or more controlled substances or by another identifiable 
and treatable mental or physical disorder involving misuse of alcohol or 
drugs as a primary manifestation;
    (2) Been evaluated by a substance abuse professional to determine 
that the employee has properly followed the prescribed rehabilitation 
program; and

[[Page 190]]

    (3)(i) Presented a urine sample for testing under subpart H of this 
part that tested negative for controlled substances assayed (in the case 
of an employee who has been determined to have violated a prohibition of 
Sec. 219.101 or Sec. 219.102 regarding possession or misuse of 
controlled substances or who refused to provide a body fluid sample or 
samples when required to by the railroad under a mandatory provision of 
this part); or
    (ii) Presented breath for testing under subpart H of this part that 
indicated an alcohol concentration of less than .02. (in the case of an 
employee who has been determined to have violated a prohibition of 
Sec. 219.101 regarding possession or misuse of alcohol or who refused to 
provide breath when required to by the railroad under a mandatory 
provision of this part).
    (4) An employee shall be required to present both a urine sample and 
breath for testing, as specified in this section and subpart H of this 
part, if the substance abuse professional determines that such testing 
is necessary as a condition for returning the particular employee to 
covered service.
    (e) Follow-up testing. An employee returned to service under the 
above-stated conditions shall continue in any program of counseling or 
treatment deemed necessary by the substance abuse professional and shall 
be subject to unannounced follow-up tests administered by the railroad 
following the employee's return to duty. The number and frequency of 
such follow-up testing shall be determined by a substance abuse 
professional, but shall consist of at least six tests in the first 12 
months following the employee's return to duty. Any such testing shall 
be performed in accordance with the requirements of 49 CFR part 40. 
Follow-up testing shall not exceed 60 months from the date of the 
employee's return to duty. The substance abuse professional may 
terminate the requirement for follow-up testing at any time after the 
first six tests have been administered, if the substance abuse 
professional determines that such testing is no longer necessary.
    (1) If the employee has been determined to have violated a 
prohibition of Sec. 219.101 or Sec. 219.102 regarding possession or 
misuse of controlled substances, or if the employee refused to provide a 
body fluid sample or samples when required to by the railroad under a 
mandatory provision of this part, the employee shall be subject to 
follow-up testing as specified in this section. Such testing shall be 
for controlled substances, but may include testing for alcohol as well, 
if the substance abuse professional determines that alcohol testing is 
necessary for the particular employee.
    (2) If the employee has been determined to have violated a 
prohibition of Sec. 219.101 regarding possession or misuse of alcohol, 
or if the employee refused to provide breath when required to by the 
railroad under a mandatory provision of this part, the employee shall be 
subject to follow-up testing as specified in this section. Such testing 
shall be for alcohol, but may include testing for controlled substances 
as well, if the substance abuse professional determines that drug 
testing is necessary for the particular employee.
    (f) The railroad shall ensure that a substance abuse professional 
who determines that a covered employee requires assistance in resolving 
problems with alcohol or controlled substances misuse does not refer the 
employee to the substance abuse professional's private practice or to a 
person or organization from which the substance abuse professional 
receives remuneration or in which the substance abuse professional has a 
financial interest. This paragraph does not prohibit a substance abuse 
professional from referring an employee for assistance provided 
through--
    (1) A public agency, such as a state, county, or municipality;
    (2) The railroad or a person under contract to provide treatment for 
alcohol problems on behalf of the railroad;
    (3) The sole source of therapeutically appropriate treatment under 
the employee's health insurance program; or
    (4) The sole source of therapeutically appropriate treatment 
reasonably accessible to the employee.
    (g) Railroad compliance with the provisions of paragraphs (a), (d), 
and (e) of

[[Page 191]]

this section is mandatory beginning on January 1, 1995.

[54 FR 53259, Dec. 27, 1989; 55 FR 22793, June 4, 1990, as amended at 59 
FR 7459, Feb. 15, 1994; 62 FR 63466, Dec. 1, 1997]



Sec. 219.105  Railroad's duty to prevent violations.

    (a) A railroad may not, with actual knowledge, permit an employee to 
go or remain on duty in covered service in violation of the prohibitions 
of Sec. 219.101 or Sec. 219.102. As used in this section, the knowledge 
imputed to the railroad shall be limited to that of a railroad 
management employee (such as a supervisor deemed an ``officer,'' whether 
or not such person is a corporate officer) or a supervisory employee in 
the offending employee's chain of command.
    (b) A railroad must exercise due diligence to assure compliance with 
Sec. 219.101 and Sec. 219.102 by each covered employee.



Sec. 219.107  Consequences of unlawful refusal.

    (a) An employee who refuses to provide breath or a body fluid sample 
or samples when required to by the railroad under a mandatory provision 
of this part shall be deemed disqualified for a period of nine (9) 
months.
    (b) Prior to or upon withdrawing the employee from covered service 
under this section, the railroad shall provide notice of the reason for 
this action, and the procedures described in Sec. 219.104(c) shall 
apply.
    (c) The disqualification required by this section shall apply with 
respect to employment in covered service by any railroad with notice of 
such disqualification.
    (d) The requirement of disqualification for nine (9) months does not 
limit any discretion on the part of the railroad to impose additional 
sanctions for the same or related conduct.
    (e) Upon the expiration of the 9-month period described in this 
section, a railroad may permit the employee to return to covered service 
only under the same conditions specified in Sec. 219.104(d), and the 
employee shall be subject to follow-up tests, as provided by that 
section.

[59 FR 7460, Feb. 15, 1994]



             Subpart C--Post-Accident Toxicological Testing



Sec. 219.201  Events for which testing is required.

    (a) List of events. Except as provided in paragraph (b) of this 
section, post-accident toxicological tests shall be conducted after any 
event that involves one or more of the circumstances described in 
paragraphs (a) (1) through (4) of this section:
    (1) Major train accident. Any train accident (i.e., a rail equipment 
accident involving damage in excess of the current reporting threshold, 
$6,300 for calendar years 1991 through 1996, $6,500 for calendar year 
1997, and $6,600 for calendar years 1998 through 1999) that involves one 
or more of the following:
    (i) A fatality;
    (ii) Release of hazardous material lading from railroad equipment 
accompanied by--
    (A) An evacuation; or
    (B) A reportable injury resulting from the hazardous material 
release (e.g., from fire, explosion, inhalation, or skin contact with 
the material); or
    (iii) Damage to railroad property of $1,000,000 or more.
    (2) Impact accident. An impact accident (i.e., a rail equipment 
accident defined as an ``impact accident'' in Sec. 219.5 of this part 
that involves damage in excess of the current reporting threshold, 
$6,300 for calendar years 1991 through 1996, $6,500 for calendar year 
1997, and $6,600 for calendar years 1998 through 1999) resulting in--
    (i) A reportable injury; or
    (ii) Damage to railroad property of $150,000 or more.
    (3) Fatal train incident. Any train incident that involves a 
fatality to any on-duty railroad employee.
    (4) Passenger train accident. Reportable injury to any person in a 
train accident (i.e., a rail equipment accident involving damage in 
excess of the current reporting threshold, $6,300 for calendar years 
1991 through 1996, $6,500 for calendar year 1997, and $6,600 for 
calendar years 1998 through 1999) involving a passenger train.
    (b) Exceptions. No test shall be required in the case of a collision 
between railroad rolling stock and a

[[Page 192]]

motor vehicle or other highway conveyance at a rail/highway grade 
crossing. No test shall be required in the case of an accident/incident 
the cause and severity of which are wholly attributable to a natural 
cause (e.g., flood, tornado or other natural disaster) or to vandalism 
or trespasser(s), as determined on the basis of objective and documented 
facts by the railroad representative responding to the scene.
    (c) Good faith determinations. (1)(i) The railroad representative 
responding to the scene of the accident/incident shall determine whether 
the accident/incident falls within the requirements of paragraph (a) of 
this section or is within the exception described in paragraph (b) of 
this section. It is the duty of the railroad representative to make 
reasonable inquiry into the facts as necessary to make such 
determinations. In making such inquiry, the railroad representative 
shall consider the need to obtain samples as soon as practical in order 
to determine the presence or absence of impairing substances reasonably 
contemporaneous with the accident/incident. The railroad representative 
satisfies the requirement of this section if, after making reasonable 
inquiry, the representative exercises good faith judgement in making the 
required determinations.
    (ii) The railroad representative making the determinations required 
by this section shall not be a person directly involved in the accident/
incident. This section does not prohibit consultation between the 
responding railroad representative and higher level railroad officials; 
however, the responding railroad representative shall make the factual 
determinations required by this section.
    (iii) Upon specific request made to the railroad by the Associate 
Administrator for Safety, FRA (or the Associate Administrator's 
delegate), the railroad shall provide a report describing any decision 
by a person other than the responding railroad representative with 
respect to whether an accident/incident qualifies for testing. This 
report shall be affirmed by the decision maker and shall be provided to 
FRA within 72 hours of the request. The report shall include the facts 
reported by the responding railroad representative, the basis upon which 
the testing decision was made, and the person making the decision.
    (iv) Any estimates of railroad property damage made by persons not 
the scene shall be based on descriptions of specific physicial damage 
provided by the on-scene railroad representative.
    (v) In the case of an accident involving passenger equipment, a host 
railroad may rely upon the the damage estimates provided by the 
passenger railroad (whether present on scene or not) in making the 
decision whether testing is required, subject to the same requirement 
that visible physical damage be specifically described.
    (2) A railroad shall not require an employee to provide blood or 
urine specimens under the authority or procedures of this subject unless 
the railroad has made the determinations required by this section, based 
upon reasonable inquiry and good faith judgment. A railroad does not act 
in excess of its authority under this subpart if its representative has 
made such reasonable inquiry and exercised such good faith judgment, but 
it is later determined, after investigation, that one or more of the 
conditions thought to have required testing were not, in fact, present. 
However, this section does not excuse the railroad for any error arising 
from a mistake of law (e.g., application of testing criteria other than 
those contained in these regulations).
    (3) A railroad is not in violation of this subpart if its 
representative has made such reasonable inquiry and exercised such good 
faith judgment but nevertheless errs in determining that post-accident 
testing is not required.
    (4) An accident/incident with respect to which the railroad has made 
reasonable inquiry and exercised good faith judgment in determining the 
facts necessary to apply the criteria contained in paragraph (a) of this 
section is deemed a qualifying event for purposes of sample analysis, 
reporting, and other purposes.
    (5) In the event samples are collected following an event determined 
by FRA not to be a qualifying event within the meaning of this 
paragraph, FRA directs its designated laboratory to destroy any sample 
material submitted and to refrain from disclosing to any

[[Page 193]]

person the results of any analysis conducted.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7460, Feb. 15, 1994; 61 
FR 60634, Nov. 29, 1996; 62 FR 63466, Dec. 1, 1997; 62 FR 63676, Dec. 2, 
1997; 63 FR 71791, Dec. 30, 1998]



Sec. 219.203  Responsibilities of railroads and employees.

    (a) Employees tested. (1)(i) Following each accident and incident 
described in Sec. 219.201, the railroad (or railroads) shall take all 
practicable steps to assure that all covered employees of the railroad 
directly involved in the accident or incident provide blood and urine 
samples for toxicological testing by FRA. Such employees shall cooperate 
in the provision of samples as described in this part and appendix C.
    (ii) If the conditions for mandatory toxicological testing exist, 
the railroad may also require employees to provide breath for testing in 
accordance with the procedures set forth in 49 CFR part 40 and this 
part, if such testing does not interfere with timely collection of 
required samples.
    (2) Such employees shall specifically include each and every 
operating employee assigned as a crew member of any train involved in 
the accident or incident. In any case where an operator, dispatcher, 
signal maintainer or other covered employee is directly and 
contemporaneously involved in the circumstances of the accident/
incident, those employees shall also be required to provide samples.
    (3) An employee shall be excluded from testing under the following 
circumstances: In any case of an accident/incident for which testing is 
mandated only under Sec. 219.201(a)(2) of this subpart (an ``impact 
accident''), Sec. 219.201(a)(3) (``fatal train incident''), or 
Sec. 219.201(a)(4) (a ``passenger train accident with injury'') if the 
railroad representative can immediately determine, on the basis of 
specific information, that the employee had no role in the cause(s) or 
severity of the accident/incident. The railroad representative shall 
consider any such information immediately available at the time the 
qualifying event determination is made under Sec. 219.201 of this 
subpart.
    (4) The following provisions govern accidents/incidents involving 
non-covered employees:
    (i) Surviving non-covered employees are not subject to testing under 
this subpart.
    (ii) Testing of the remains of non-covered employees who are fatally 
injured in train accidents and incidents is required.
    (b) Timely sample collection. (1) The railroad shall make every 
reasonable effort to assure that samples are provided as soon as 
possible after the accident or incident.
    (2) This paragraph shall not be construed to inhibit the employees 
required to be tested from performing, in the immediate aftermath of the 
accident or incident, any duties that may be necessary for the 
preservation of life or property. However, where practical, the railroad 
shall utilize other employees to perform such duties.
    (3) In the case of a passenger train which is in proper condition to 
continue to the next station or its destination after an accident or 
incident, the railroad shall consider the safety and convenience of 
passengers in determining whether the crew is immediately available for 
testing. A relief crew shall be called to relieve the train crew as soon 
as possible.
    (4) Covered employees who may be subject to testing under this 
subpart shall be retained in duty status for the period necessary to 
make the determinations required by Sec. 219.201 and this section and 
(as appropriate) to complete the sample collection procedure. An 
employee may not be recalled for testing under this subpart if that 
employee has been released from duty under the normal procedures of the 
railroad, except that an employee shall be immediately recalled for 
testing if--
    (i) The employee could not be retained in duty status because the 
employee went off duty under normal carrier procedures prior to being 
contacted by a railroad supervisor and instructed to remain on duty 
pending completion of the required determinations (e.g., in the case of 
a dispatcher or signal maintainer remote from the scene of an accident 
who was unaware of the occurrence at the time the employee went off 
duty);

[[Page 194]]

    (ii) The railroad's preliminary investigation (contemporaneous with 
the determination required by Sec. 219.201 of this subpart) indicates a 
clear probability that the employee played a major role in the cause or 
severity of the accident/incident; and
    (iii) The accident/incident actually occurred during the employee's 
duty tour.

An employee who has been transported to receive medical care is not 
released from duty for purposes of this section. Nothing in this section 
prohibits the subsequent testing of an employee who has failed to remain 
available for testing as required (i.e., who is absent without leave); 
but subsequent testing does not excuse such refusal by the employee 
timely to provide the required specimens.
    (c) Place of sample collection. (1) Employees shall be transported 
to an independent medical facility where the samples shall be obtained. 
The railroad shall pre-designate for such testing one or more such 
facilities in reasonable proximity to any location where the railroad 
conducts operations. Designation shall be made on the basis of the 
willingness of the facility to conduct sample collection and the ability 
of the facility to complete sample collection promptly, professionally, 
and in accordance with pertinent requirements of this part. In all cases 
blood shall be drawn only by a qualified medical professional or by a 
qualified technician subject to the supervision of a qualified medical 
professional
    (2) In the case of an injured employee, the railroad shall request 
the treating medical facility to obtain the samples.
    (d) Obtaining cooperation of facility. (1) In seeking the 
cooperation of a medical facility in obtaining a sample under this 
subpart, the railroad shall, as necessary, make specific reference to 
the requirements of this subpart.
    (2) If an injured employee is unconscious or otherwise unable to 
evidence consent to the procedure and the treating medical facility 
declines to obtain blood samples after having been acquainted with the 
requirements of this subpart, the railroad shall immediately notify the 
duty officer at the National Response Center (NRC) at (800) 424-8802, 
and FRA at (202) 632-3378, stating the employee's name, the medical 
facility, its location, the name of the appropriate decisional authority 
at the medical facility, and the telephone number at which that person 
can be reached. FRA will then take appropriate measures to assist in 
obtaining the required sample.
    (e) Discretion of physician. Nothing in this subpart shall be 
construed to limit the discretion of a physician to determine whether 
drawing a blood sample is consistent with the health of an injured 
employee or an employee afflicted by any other condition that may 
preclude drawing the specified quantity of blood.

[54 FR 53259, Dec. 27, 1989, as amended at 55 FR 22793, June 4, 1990; 59 
FR 7460, Feb. 15, 1994; 62 FR 63467, Dec. 1, 1997]



Sec. 219.205  Sample collection and handling.

    (a) General. Urine and blood samples shall be obtained, marked, 
preserved, handled, and made available to FRA consistent with the 
requirements of this subpart, and the technical specifications set forth 
in appendix C to this part.
    (b) Information requirements. In order to process samples, analyze 
the significance of laboratory findings, and notify the railroads and 
employees of test results, it is necessary to obtain basic information 
concerning the accident/incident and any treatment administered after 
the accident/incident. Accordingly, the railroad representative shall 
complete the information required by FRA Form 6180.73 (revised) for 
shipping with the samples. Each employee subject to testing shall 
cooperate in completion of the required information on FRA Form 6180.74 
(revised) for inclusion in the shipping kit and processing of the 
samples. The railroad representative shall request an appropriate 
representative of the medical facility to complete the remaining portion 
of the information on each Form 6180.74 (revised). One Form 6180.73 
(revised) shall be forwarded in the shipping kit with each group of 
samples. One Form 6180.74 (revised) shall be forwarded in the shipping 
kit for each employee who provides samples.

[[Page 195]]

    (c) Shipping kit. (1) FRA and the laboratory designated in appendix 
B to this part make available for purchase a limited number of standard 
shipping kits for the purpose of routine handling of toxicological 
samples under this subpart. Whenever possible, samples shall be placed 
in the shipping kit prepared for shipment according to the instructions 
provided in the kit and appendix C.
    (2) Kits may be ordered directly from the laboratory designated in 
appendix B to this part.
    (3) FRA maintains a limited number of kits at its field offices. A 
Class III railroad may utilize kits in FRA possession, rather than 
maintaining such kits on its property.
    (d) Shipment. Samples shall be shipped as soon as possible by pre-
paid air express or air freight (or other means adequate to ensure 
delivery within twenty-four (24) hours from time of shipment) to the 
laboratory designated in appendix B to this part. Where express courier 
pickup is available, the railroad shall request the medical facility to 
transfer the sealed toxicology kit directly to the express courier for 
transportation. If courier pickup is not available at the medical 
facility where the samples are collected or for any other reason prompt 
transfer by the medical facility cannot be assured, the railroad shall 
promptly transport the sealed shipping kit holding the samples to the 
most expeditious point of shipment via air express, air freight or 
equivalent means. The railroad shall maintain and document secure chain 
of custody of the kit from release by the medical facility to delivery 
for transportation, as described in appendix C.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7460, Feb. 15, 1994; 62 
FR 63467, Dec. 1, 1997]



Sec. 219.206  FRA access to breath test results.

    Documentation of breath test results shall be made available to FRA 
consistent with the requirements of this subpart, and the technical 
specifications set forth in appendix C to this part.

[59 FR 7461, Feb. 15, 1994]



Sec. 219.207  Fatality.

    (a) In the case of an employee fatality in an accident or incident 
described in Sec. 219.201, body fluid and/or tissue samples shall be 
obtained from the remains of the employee for toxicological testing. To 
ensure that samples are timely collected, the railroad shall immediately 
notify the appropriate local authority (such as a coroner or medical 
examiner) of the fatality and the requirements of this subpart, making 
available the shipping kit and requesting the local authority to assist 
in obtaining the necessary body fluid or tissue samples. The railroad 
shall also seek the assistance of the custodian of the remains, if a 
person other than the local authority.
    (b) If the local authority or custodian of the remains declines to 
cooperate in obtaining the necessary samples, the railroad shall 
immediately notify the duty officer at the National Response Center 
(NRC) at (800) 424-8802 and FRA at (202) 632-3378 by providing the 
following information:
    (1) Date and location of the accident or incident;
    (2) Railroad;
    (3) Name of the deceased;
    (4) Name and telephone number of custodian of the remains; and
    (5) Name and telephone number of local authority contacted.
    (c) A coroner, medical examiner, pathologist, Aviation Medical 
Examiner, or other qualified professional is authorized to remove the 
required body fluid and/or tissue samples from the remains on request of 
the railroad or FRA pursuant to this part; and, in so acting, such 
person is the delegate of the Administrator under section 208 of the 
Federal Railroad Safety Act of 1970 (45 U.S.C. 437) (but not the agent 
of the Secretary for purposes of the Federal Tort Claims Act). Such 
qualified professional may rely upon the representations of the railroad 
or FRA representative with respect to the occurrence of the event 
requiring that toxicological tests be conducted and the coverage of the 
deceased employee under these rules.
    (d) Appendix C to this part specifies body fluid and tissue samples 
required

[[Page 196]]

for toxicological analysis in the case of a fatality.

[54 FR 53259, Dec. 27, 1989, as amended at 62 FR 63467, Dec. 1, 1997]



Sec. 219.209  Reports of tests and refusals.

    (a)(1) A railroad that has experienced one or more events for which 
samples were obtained shall provide prompt telephonic notification 
summarizing such events. Notification shall immediately be provided to 
the duty officer at the National Response Center (NRC) at (800) 424-8802 
and to the Office of Safety, FRA, at (202) 632-3378.
    (2) Each telephonic report shall contain:
    (i) Name of railroad;
    (ii) Name, title and telephone number of person making the report;
    (iii) Time, date and location of the accident/incident;
    (iv) Brief summary of the circumstances of the accident/incident, 
including basis for testing; and
    (v) Number, names and occupations of employees tested.
    (b) If the railroad is unable, as a result of non-cooperation of an 
employee or for any other reason, to obtain a sample and cause it to be 
provided to FRA as required by this subpart, the railroad shall make a 
concise narrative report of the reason for such failure and, if 
appropriate, any action taken in response to the cause of such failure. 
This report shall be appended to the report of the accident/incident 
required to be submitted under part 225 of this subchapter.
    (c) If a test required by this section is not administered within 
four hours following the accident or incident, the railroad shall 
prepare and maintain on file a record stating the reasons the test was 
not promptly administered. Records shall be submitted to the Federal 
Railroad Administration upon request of the Associate Administrator for 
Safety.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7461, Feb. 15, 1994; 62 
FR 63467, Dec. 1, 1997]



Sec. 219.211  Analysis and follow-up.

    (a) The laboratory designated in appendix B to this part undertakes 
prompt analysis of samples provided under this subpart, consistent with 
the need to develop all relevant information and produce a complete 
report. Samples are analyzed for alcohol and controlled substances 
specified by FRA under protocols specified by FRA, summarized in 
appendix C, which have been submitted to the Department of Health and 
Human Services for acceptance. Samples may be analyzed for other 
impairing substances specified by FRA as necessary to the particular 
accident investigation.
    (b) Results of post-accident toxicological testing under this 
subpart are reported to the railroad's Medical Review Officer and the 
employee. The MRO and the railroad shall treat the test results and any 
information concerning medical use or administration of drugs provided 
under this subpart in the same confidential manner as if subject to 
subpart H of this part, except where publicly disclosed by FRA or the 
National Transportation Safety Board.
    (c) With respect to a surviving employee, a test reported as 
positive for alcohol or a controlled substance by the designated 
laboratory shall be reviewed by the railroad's Medical Review Officer 
with respect to any claim of use or administration of medications 
(consistent with Sec. 219.103 of this part) that could account for the 
laboratory findings. The Medical Review Officer shall promptly report 
the results of each review to the Associate Administrator for Safety, 
FRA, Washington, DC 20590. Such report shall be in writing and shall 
reference the employing railroad, accident/incident date, and location; 
and the envelope shall be marked ``ADMINISTRATIVELY CONFIDENTIAL: 
ATTENTION ALCOHOL/DRUG PROGRAM MANAGER.'' The report shall state whether 
the MRO reported the test result to the employing railroad as positive 
or negative and the basis of any determination that analytes detected by 
the laboratory derived from authorized use (including a statement of the 
compound prescribed, dosage/frequency, and any restrictions imposed by 
the authorized medical practitioner). Unless specifically requested by 
FRA in writing, the Medical Review Officer shall not disclose to FRA the 
underlying physical condition

[[Page 197]]

for which any medication was authorized or administered. The Federal 
Railroad Administration shall not be bound by the railroad Medical 
Review Officer's determination, but that determination will be 
considered by FRA in relation to the accident/incident investigation and 
with respect to any enforcement action under consideration.
    (d) To the extent permitted by law, FRA treats test results 
indicating medical use of controlled substances consistent with 
Sec. 219.103 (and other information concerning medically authorized drug 
use or administration provided incident to such testing) as 
administratively confidential and withholds public disclosure, except 
where it is necessary to consider this information in an accident 
investigation in relation to determination of probable cause. (However, 
as further provided in this section, FRA may provide results of testing 
under this subpart and supporting documentation to the National 
Transportation Safety Board.)
    (e) An employee may respond in writing to the results of the test 
prior to the preparation of any final investigation report concerning 
the accident or incident. An employee wishing to respond shall do so by 
letter addressed to the Alcohol/Drug Program Manager, Office of Safety, 
FRA, 400 Seventh Street, SW., Washington, DC 20590 within 45 days of 
receipt of the test results. Any such submission shall refer to the 
accident date, railroad and location, shall state the position occupied 
by the employee on the date of the accident/incident, and shall identify 
any information contained therein that the employee requests be withheld 
from public disclosure on grounds of personal privacy (but the decision 
whether to honor such request shall be made by the FRA on the basis of 
controlling law).
    (f)(1) The toxicology report may contain a statement of 
pharmacological significance to assist FRA and other parties in 
understanding the data reported. No such statement may be construed as a 
finding of probable cause in the accident or incident.
    (2) The toxicology report is a part of the report of the accident/
incident and therefore subject to the limitation of section 4 of the 
Accident Reports Act (45 U.S.C. 41) (prohibiting use of the report for 
any purpose in any action for damages).
    (g)(1) It is in the public interest to ensure that any railroad 
disciplinary actions that may result from accidents and incidents for 
which testing is required under this subpart are disposed of on the 
basis of the most complete and reliable information available so that 
responsive action will be appropriate. Therefore, during the interval 
between an accident or incident and the date that the railroad receives 
notification of the results of the toxicological analysis, any provision 
of collective bargaining agreements establishing maximum periods for 
charging employees with rule violations, or for holding an 
investigation, shall not be deemed to run as to any offense involving 
the accident or incident (i.e., such periods shall be tolled).
    (2) This provision shall not be construed to excuse the railroad 
from any obligation to timely charge an employee (or provide other 
actual notice) where the railroad obtains sufficient information 
relating to alcohol or drug use, impairment or possession or other rule 
violations prior to the receipt to toxicological analysis.
    (3) This provision does not authorize holding any employee out of 
service pending receipt of toxicological analysis; nor does it restrict 
a railroad from taking such action in an appropriate case.
    (h) Except as provided in Sec. 219.201 (with respect to non-
qualifying events), each sample (including each split sample) provided 
under this subpart is retained for not less than three months following 
the date of the accident or incident (two years from the date of the 
accident or incident in the case of a sample testing positive for 
alcohol or a controlled substance). Post-mortem specimens may be made 
available to the National Transportation Safety Board (on request).
    (i) An employee (donor) may, within 60 days of the date of the 
toxicology report, request that the employee's blood and/or urine sample 
be retested by the designated laboratory or by another laboratory 
certified by the Department of Health and Human Services under

[[Page 198]]

that Department's Guidelines for Federal Workplace Drug Testing Programs 
that has available an appropriate, validated assay for the fluid and 
compound declared positive. Since some analytes may deteriorate during 
storage, detected levels of the compound shall, as technically 
appropriate, be reported and considered corroborative of the original 
test result. Any request for a retest shall be in writing, specify the 
railroad, accident date and location, be signed by the employee/donor, 
be addressed to the Associate Administrator for Safety, FRA, Washington, 
DC 20590, and be designated ``ADMINISTRATIVELY CONFIDENTIAL: ATTENTION 
ALCOHOL/DRUG PROGRAM MANAGER.'' The expense of any employee-requested 
retest at a laboratory other than the laboratory designated under this 
subpart shall be borne by the employee.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7461, Feb. 15, 1994]



Sec. 219.213  Unlawful refusals; consequences.

    (a) Disqualification. An employee who refuses to cooperate in 
providing breath, blood or urine samples following an accident or 
incident specified in this subpart shall be withdrawn from covered 
service and shall be deemed disqualified for covered service for a 
period of nine (9) months in accordance with the conditions specified in 
Sec. 219.107.
    (b) Procedures. Prior to or upon withdrawing the employee from 
covered service under this section, the railroad shall provide notice of 
the reason for this action and an opportunity for hearing before a 
presiding officer other than the charging official. The employee shall 
be entitled to the procedural protection set out in Sec. 219.104(d).
    (c) Subject of hearing. The hearing required by this section shall 
determine whether the employee refused to submit to testing, having been 
requested to submit, under authority of this subpart, by a 
representative of the railroad. In determining whether a 
disqualification is required, the hearing official shall, as 
appropriate, also consider the following:
    (1) Whether the railroad made a good faith determination, based on 
reasonable inquiry, that the accident or incident was within the 
mandatory testing requirements of this subpart; and
    (2) In a case where a blood test was refused on the ground it would 
be inconsistent with the employee's health, whether such refusal was 
made in good faith and based on medical advice.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7461, Feb. 15, 1994]



                      Subpart D--Testing for Cause



Sec. 219.300  Mandatory reasonable suspicion testing.

    (a) Requirements. (1) Beginning on January 1, 1995, a railroad shall 
require a covered employee to submit to an alcohol test when the 
railroad has reasonable suspicion to believe that the employee has 
violated any prohibition of subpart B of this part concerning use of 
alcohol. The railroad's determination that reasonable suspicion exists 
to require the covered employee to undergo an alcohol test must be based 
on specific, contemporaneous, articulable observations concerning the 
appearance, behavior, speech or body odors of the employee.
    (2) A railroad shall require a covered employee to submit to a urine 
drug test when the railroad has reasonable suspicion to believe that the 
employee has violated the prohibitions of subpart B of this part 
concerning use of controlled substances. The railroad's determination 
that reasonable suspicion exists to require the covered employee to 
undergo a drug test must be based on specific, contemporaneous, 
articulable observations concerning the appearance, behavior, speech or 
body odors of the employee. Such observations may include indications of 
the chronic and withdrawal effects of drugs.
    (b)(1) With respect to an alcohol test, the required observations 
shall be made by a supervisor trained in accordance with Sec. 219.11(g). 
The supervisor who makes the determination that reasonable suspicion 
exists may not conduct testing on that employee.
    (2) With respect to a urine drug test, the required observations 
shall be made by two supervisors, at least one of whom is trained in 
accordance with Sec. 219.11(g).

[[Page 199]]

    (c) Nothing in this section shall be construed to require the 
conduct of breath alcohol testing or urine drug testing when the 
employee is apparently in need of immediate medical attention.
    (d)(1) If a test required by this section is not administered within 
two hours following the determination under this section, the railroad 
shall prepare and maintain on file a record stating the reasons the test 
was not properly administered. If a test required by this section is not 
administered within eight hours of the determination under this section, 
the railroad shall cease attempts to administer an alcohol test and 
shall state in the record the reasons for not administering the test. 
Records shall be submitted to FRA upon request of the Administrator.
    (2) For the years stated in this paragraph, employers who submit MIS 
reports shall submit to the FRA each record of a test required by this 
section that is not completed within 8 hours. The employer's records of 
tests that are not completed within 8 hours shall be submitted to the 
FRA by March 15, 1996; March 15, 1997; and March 15, 1998; for calendar 
years 1995, 1996, and 1997, respectively. Employers shall append these 
records to their MIS submissions. Each record shall include the 
following information:
    (i) Triggering event (including date, time, and location);
    (ii) Employee category (do not include employee name or other 
identifying information);
    (iii) Reason(s) test could not be completed within 8 hours; and
    (iv) If blood alcohol testing could have been completed within eight 
hours, the name, address, and telephone number of the testing site where 
blood testing could have occurred.

[59 FR 7461, Feb. 15, 1994, as amended at 59 FR 62239, Dec. 2, 1994]



Sec. 219.301  Testing for reasonable cause.

    (a) Authorization. A railroad may, under the conditions specified in 
this subpart, require any covered employee, as a condition of employment 
in covered service, to cooperate in breath or urine testing, or both, to 
determine compliance with Secs. 219.101 and 219.102 of this part or a 
railroad rule implementing the requirements of Secs. 219.101 and 
219.102. This authority is limited to testing after observations or 
events that occur during duty hours (including any period of overtime or 
emergency service). The provisions of this subpart apply only when, and 
to the extent that, the test in question is conducted in reliance upon 
the authority conferred by this section. Section 219.23 prescribes the 
notice to an employee that is required when an employee is required to 
provide a breath or body fluid sample under this part. A railroad may 
not require an employee to be tested under the authority of this subpart 
unless reasonable cause, as defined in this section, exists with respect 
to that employee.
    (b) For cause breath testing. In addition to reasonable suspicion as 
described in Sec. 219.300, the following circumstances constitute cause 
for the administration of breath alcohol tests under this section:
    (1) [Reserved]
    (2) Accident/incident. The employee has been involved in an accident 
or incident reportable under part 225 of this title, and a supervisory 
employee of the railroad has a reasonable belief, based on specific, 
articulable facts, that the employee's acts or omissions contributed to 
the occurrence or severity of the accident or incident; or
    (3) Rule violation. The employee has been directly involved in one 
of the following operating rule violations or errors:
    (i) Noncompliance with a train order, track warrant, timetable, 
signal indication, special instruction or other direction with respect 
to movement of a train that involves--
    (A) Occupancy of a block or other segment of track to which entry 
was not authorized;
    (B) Failure to clear a track to permit opposing or following 
movement to pass;
    (C) Moving across a railroad crossing at grade without 
authorization; or
    (D) Passing an absolute restrictive signal or passing a restrictive 
signal without stopping (if required);
    (ii) Failure to protect a train as required by a rule consistent 
with Sec. 218.37

[[Page 200]]

of this title (including failure to protect a train that is fouling an 
adjacent track, where required by the railroad's rules);
    (iii) Operation of a train at a speed that exceeds the maximum 
authorized speed by at least ten (10) miles per hour or by fifty percent 
(50%) of such maximum authorized speed, whichever is less;
    (iv) Alignment of a switch in violation of a railroad rule, failure 
to align a switch as required for movement, operation of a switch under 
a train, or unauthorized running through a switch;
    (v) Failure to apply or stop short of derail as required;
    (vi) Failure to secure a hand brake or failure to secure sufficient 
hand brakes, as required;
    (vii) Entering a crossover before both switches are lined for 
movement; or
    (viii) In the case of a person performing a dispatching function or 
block operator function, issuance of a train order or establishment of a 
route that fails to provide proper protection for a train.
    (c) For cause urine testing. In addition to reasonable suspicion as 
described in Sec. 219.300, each of the conditions set forth in 
paragraphs (b)(2) (``accident/incident'') and (b)(3) (``rule 
violation'') of this section as constituting cause for breath alcohol 
testing also constitutes cause with respect to urine drug testing.
    (d) [Reserved]
    (e) Limitation for subpart C events. The compulsory urine testing 
authority conferred by this section does not apply with respect to any 
event subject to post-accident toxicological testing as required by 
Sec. 219.201 of this part. However, use of compulsory breath test 
authority is authorized in any case where breath test results can be 
obtained in a timely manner at the scene of the accident and conduct of 
such tests does not materially impede the collection of samples under 
subpart C.

[54 FR 53259, Dec. 27, 1989; 55 FR 22793, June 4, 1990, as amended at 59 
FR 7461, Feb. 15, 1994]



Sec. 219.302  Prompt sample collection; time limitation.

    (a) Testing under this subpart may only be conducted promptly 
following the observations or events upon which the testing decision is 
based, consistent with the need to protect life and property.
    (b) No employee shall be required to participate in breath alcohol 
or urine drug testing under this section after the expiration of an 
eight hour period from--
    (1) The time of the observations or other events described in this 
section; or
    (2) In the case of an accident/incident, the time a responsible 
railroad supervisor receives notice of the event providing reasonable 
cause for conduct of the test.
    (c) An employee may not be tested under this subpart if that 
employee has been released from duty under the normal procedures of the 
railroad. An employee who has been transported to receive medical care 
is not released from duty for purposes of this section. Nothing in this 
section prohibits the subsequent testing of an employee who has failed 
to remain available for testing as required (i.e., who is absent without 
leave).
    (d) As used in this subpart a ``responsible railroad supervisor'' 
means any responsible line supervisor (e.g., a trainmaster or road 
foreman of engines) or superior official in authority over the employee 
to be tested.
    (e) In the case of a urine drug test, the eight-hour requirement is 
satisfied if the employee has been delivered to the collection site 
(where the collector is present) and the request has been made to 
commence collection of the urine specimens within that period.
    (f) [Reserved]
    (g) Section 219.23 prescribes the notice to an employee that is 
required to provide breath or a body fluid sample under this part.

[59 FR 7462, Feb. 15, 1994, as amended at 59 FR 62239, Dec. 2, 1994]



Sec. 219.303  Alcohol test procedures and safeguards.

    (a)(1) Each Class I railroad (including the National Railroad 
Passenger Corporation) and each railroad providing

[[Page 201]]

commuter passenger service shall implement mandatory reasonable 
suspicion testing according to the procedures listed in paragraph (b) of 
this section beginning on January 1, 1995.
    (2) Each Class II railroad shall implement mandatory reasonable 
suspicion testing according to the procedures listed in paragraph (b) of 
this section beginning on July 1, 1995. Prior to that date, a Class II 
railroad may use the procedures described in paragraphs (c) through (e) 
of this section.
    (3) Each Class III railroad (including a switching and terminal or 
other railroad not otherwise classified) shall implement mandatory 
reasonable suspicion testing according to the procedures listed in 
paragraph (b) of this section beginning on January 1, 1996. Prior to 
that date, a Class III railroad may use the procedures described in 
paragraphs (c) through (e) of this section.
    (4) In the case of a railroad commencing operations after January 1, 
1996, the railroad shall implement mandatory reasonable suspicion 
testing not later than the expiration of 60 days from approval by the 
Administrator of the railroad's random testing programs.
    (b) As provided for in subparagraph (a)(1) of this section, the 
conduct of alcohol testing under this subpart is governed by subpart H 
of this part and part 40 of subtitle A of this title.
    (c)-(e)  [Reserved]
    (f)(1) Under the circumstances set forth in Sec. 219.301, a railroad 
may require an employee to participate in a breath alcohol screening 
test solely for the purpose of determining whether the conduct of a test 
meeting the criteria of paragraph (a) is indicated. If the screening 
test is negative within the meaning of paragraph (b), the employee shall 
not be required to submit to further breath testing under this subpart. 
If the screening test is positive, no consequence shall attach except 
that the employee may be removed from covered service for the period 
necessary to conduct a breath test meeting the criteria of paragraph 
(a).
    (2) Except as provided in paragraph (d)(2)(iii) of this section, the 
conduct of a screening test under paragraph (d)(1) of this section does 
not excuse full compliance with paragraph (a) of this section with 
respect to any breath test procedure which is then undertaken. If a 
screening test is positive, the following procedures govern:
    (i) An initial breath test shall be conducted meeting the criteria 
of paragraph (a) of this section.
    (ii) If that test is positive, a second breath test shall be 
conducted meeting the criteria of paragraph (a) of this section.
    (iii) The second test meeting the criteria of section (a) of this 
section must be conducted at least 15 minutes after the positive 
screening test conducted under paragraph (d)(1) of this section. 
However, since a waiting period of 15 minutes is sufficient to permit 
the dissipation of any alcohol in the mouth, the requirement of 
paragraph (a)(5) of this section that there be a period of at least 15 
minutes between the two tests meeting the criteria of paragraph (a) of 
this section does not apply.

[59 FR 60563, Nov. 25, 1994, as amended at 62 FR 63467, Dec. 1, 1997]



Sec. 219.305  Urine test procedures and safeguards.

    The conduct of urine drug testing under this subpart is governed by 
subpart H of this part and (to the extent not inconsistent with this 
part) part 40 of subtitle A of this title.



             Subpart E--Identification of Troubled Employees



Sec. 219.401  Requirement for policies.

    (a) The purpose of this subpart is to prevent the use of alcohol and 
drugs in connection with covered service.
    (b) Each railroad shall adopt, publish and implement--
    (1) A policy designed to encourage and facilitate the identification 
of those covered employees who abuse alcohol or drugs as a part of a 
treatable condition and to ensure that such employees are provided the 
opportunity to obtain counseling or treatment before those problems 
manifest themselves in detected violations of this part (hereafter 
``voluntary referral policy''); and
    (2) A policy designed to foster employee participation in preventing 
violations of this subpart and encourage

[[Page 202]]

co-worker participation in the direct enforcement of this part 
(hereafter ``co-worker report policy'').
    (c) A railroad may comply with this subpart by adopting, publishing 
and implementing policies meeting the specific requirements of 
Secs. 219.403 and 219.405 of this subpart or by complying with 
Sec. 219.407.
    (d) If a railroad complies with this part by adopting, publishing 
and implementing policies consistent with Secs. 219.403 and 219.405, the 
railroad shall make such policies, and publications announcing such 
policies, available for inspection and copying by FRA.
    (e) Nothing in this subpart shall be construed to--
    (1) Require payment of compensation for any period an employee is 
out of service under a voluntary referral or co-worker report policy;
    (2) Require a railroad to adhere to a voluntary referral or co-
worker report policy in a case where the referral or report is made for 
the purpose, or with the effect, of anticipating the imminent and 
probable detection of a rule violation by a supervising employee; or
    (3) Limit the discretion of a railroad to dismiss or otherwise 
discipline an employee for specific rule violations or criminal 
offenses, except as specifically provided by this subpart.



Sec. 219.403  Voluntary referral policy.

    (a) Scope. This section prescribes minimum standards for voluntary 
referral policies. Nothing in this section restricts a railroad from 
adopting, publishing and implementing a voluntary referral policy that 
affords more favorable conditions to employees troubled by alcohol or 
drug abuse problems, consistent with the railroad's responsibility to 
prevent violations of Sec. 219.101 and Sec. 219.102.
    (b) Required provisions. A voluntary referral policy shall include 
the following provisions:
    (1) A covered employee who is affected by an alcohol or drug use 
problem may maintain an employment relationship with the railroad if, 
before the employee is charged with conduct deemed by the railroad 
sufficient to warrant dismissal, the employee seeks assistance through 
the railroad for the employee's alcohol or drug use problem or is 
referred for such assistance by another employee or by a representative 
of the employee's collective bargaining unit. The railroad shall specify 
whether, and under what circumstances, its policy provides for the 
acceptance of referrals from other sources, including (at the option of 
the railroad) supervisory employees.
    (2) Except as may be provided under paragraph (c) of this part, the 
railroad treats the referral and subsequent handling, including 
counseling and treatment, as confidential.
    (3) The railroad will, to the extent necessary for treatment and 
rehabilitation, grant the employee a leave of absence from the railroad 
for the period necessary to complete primary treatment and establish 
control over the employee's alcohol or drug problem. The policy must 
allow a leave of absence of not less than 45 days, if necessary for the 
purpose of meeting initial treatment needs.
    (4) Except as may be provided under paragraph (c)(2) of this 
section, the employee will be returned to service on the recommendation 
of the substance abuse professional. Approval to return to service may 
not be unreasonably withheld.
    (c) Optional provisions. A voluntary referral policy may include any 
of the following provisions, at the option of the railroad:
    (1) The policy may provide that the rule of confidentiality is 
waived if--
    (i) The employee at any time refuses to cooperate in a recommended 
course of counseling or treatment and/or;
    (ii) The employee is later determined, after investigation, to have 
been involved in an alcohol or drug-related disciplinary offense growing 
out of subsequent conduct.
    (2) The policy may require successful completion of a return-to-
service medical examination as a further condition on reinstatement in 
covered service.
    (3) The policy may provide that it does not apply to an employee who 
has previously been assisted by the railroad under a policy or program 
substantially consistent with this section or who has previously elected 
to waive investigation under Sec. 219.405 of this section (co-worker 
report policy).

[[Page 203]]

    (4) The policy may provide that, in order to invoke its benefits, 
the employee must report to the contact designated by the railroad 
either:
    (i) During non-duty hours (i.e., at a time when the employee is off 
duty) or
    (ii) While unimpaired and otherwise in compliance with the 
railroad's alcohol and drug rules consistent with this subpart.



Sec. 219.405  Co-worker report policy.

    (a) Scope. This section prescribes minimum standards for co-worker 
report policies. Nothing in this section restricts a railroad from 
adopting, publishing and implementing a policy that affords more 
favorable conditions to employees troubled by alcohol or drug abuse 
problems, consistent with the railroad's responsibility to prevent 
violations of Secs. 219.101 and 219.102.
    (b) Employment relationship. A co-worker report policy shall provide 
that a covered employee may maintain an employment relationship with the 
railroad following an alleged first offense under these rules or the 
railroad's alcohol and drug rules, subject to the conditions and 
procedures contained in this section.
    (c) General conditions and procedures. (1) The alleged violation 
must come to the attention of the railroad as a result of a report by a 
co-worker that the employee was apparently unsafe to work with or was, 
or appeared to be, in violation of this part or the railroad's alcohol 
and drug rules.
    (2) If the railroad representative determines that the employee is 
in violation, the railroad may immediately remove the employee from 
service in accordance with its existing policies and procedures.
    (3) The employee must elect to waive investigation on the rule 
charge and must contact the substance abuse professional within a 
reasonable period specified by the policy.
    (4) The substance abuse professional must schedule necessary 
interviews with the employee and complete an evaluation within 10 
calendar days of the date on which the employee contacts the 
professional with a request for evaluation under the policy, unless it 
becomes necessary to refer the employee for further evaluation. In each 
case, all necessary evaluations must be completed within 20 days of the 
date on which the employee contacts the professional.
    (d) When treatment is required. If the substance abuse professional 
determines that the employee is affected by psychological or chemical 
dependence on alcohol or a drug or by another identifiable and treatable 
mental or physical disorder involving the abuse of alcohol or drugs as a 
primary manifestation, the following conditions and procedures shall 
apply:
    (1) The railroad must, to the extent necessary for treatment and 
rehabilitation, grant the employee a leave of absence from the railroad 
for the period necessary to complete primary treatment and establish 
control over the employee's alcohol or drug problem. The policy must 
allow a leave of absence of not less than 45 days, if necessary for the 
purpose of meeting initial treatment needs.
    (2) The employee must agree to undertake and successfully complete a 
course of treatment deemed acceptable by the substance abuse 
professional.
    (3) The railroad must promptly return the employee to service, on 
recommendation of the substance abuse professional, when the employee 
has established control over the substance abuse problem. Return to 
service may also be conditioned on successful completion of a return-to-
service medical examination. Approval to return to service may not be 
unreasonably withheld.
    (4) Following return to service, the employee, as a further 
condition on withholding of discipline, may, as necessary, be required 
to participate in a reasonable program of follow-up treatment for a 
period not to exceed 60 months from the date the employee was originally 
withdrawn from service.
    (e) When treatment is not required. If the substance abuse 
professional determines that the employee is not affected by an 
identifiable and treatable mental or physical disorder--
    (1) The railroad shall return the employee to service within 5 days 
after completion of the evaluation.
    (2) During or following the out-of-service period, the railroad may 
require the employee to participate in a

[[Page 204]]

program of education and training concerning the effects of alcohol and 
drugs on occupational or transportation safety.
    (f) Follow-up tests. A railroad may conduct return-to-service and/or 
follow-up tests (as described in Sec. 219.104 of this part) of an 
employee who waives investigation and is determined to be ready to 
return to service under this section.



Sec. 219.407  Alternate policies.

    (a) In lieu of a policy under Sec. 219.403 (voluntary referral) or 
Sec. 219.405 (co-worker report), or both, a railroad may adopt, publish 
and implement, with respect to a particular class or craft of covered 
employees, an alternate policy or policies having as their purpose the 
prevention of alcohol or drug use in railroad operations, if such policy 
or policies has the written concurrence of the recognized 
representatives of such employees.
    (b) The concurrence of recognized employee representatives in an 
alternate policy may be evidenced by a collective bargaining agreement 
or any other document describing the class or craft of employees to 
which the alternate policy applies. The agreement or other document must 
make express reference to this part and to the intention of the railroad 
and employee representatives that the alternate policy shall apply in 
lieu of the policy required by Sec. 219.403, Sec. 219.405, or both.
    (c) The railroad shall file the agreement or other document 
described in paragraph (b) with the Associate Administrator for Safety, 
FRA. If the alternate policy is amended or revoked, the railroad shall 
file a notice of such amendment or revocation at least 30 days prior to 
the effective date of such action.
    (d) This section does not excuse a railroad from adopting, 
publishing and implementing the policies required by Secs. 219.403 and 
219.405 with respect to any group of covered employees not within the 
coverage of an appropriate alternate policy.



                     Subpart F--Pre-employment Tests



Sec. 219.501  Pre-employment tests.

    (a)(1) Each Class I railroad (including the National Railroad 
Passenger Corporation) and each railroad providing commuter passenger 
service shall implement pre-employment alcohol testing beginning on 
January 1, 1995.
    (2) Each Class II railroad shall implement pre-employment alcohol 
testing beginning on July 1, 1995.
    (3) Each Class III railroad (including a switching and terminal or 
other railroad not otherwise classified) shall implement pre-employment 
alcohol testing beginning on January 1, 1996.
    (4) In the case of a railroad commencing operations after January 1, 
1996, the railroad shall implement pre-employment alcohol testing not 
later than the expiration of 60 days from approval by the Administrator 
of the railroad's random testing programs.
    (b) Prior to the first time a covered employee performs covered 
service for a railroad, the employee shall undergo testing for alcohol 
and drugs. No railroad shall allow a covered employee to perform covered 
service, unless the employee has been administered an alcohol test with 
a result indicating an alcohol concentration of less than .04 and has 
been administered a test for drugs with a result that did not indicate 
the misuse of controlled substances. This requirement shall apply to 
final applicants for employment and to employees seeking to transfer for 
the first time from non-covered service to duties involving covered 
service. If the test result of a final applicant for pre-employment 
indicates an alcohol content of .02 or greater, the provisions of 
paragraph (b) of this section shall apply.
    (c) No final applicant for employment tested under the provisions of 
this part who is found to have an alcohol concentration of .02 or 
greater but less than .04 shall perform safety-sensitive functions for a 
railroad, nor shall a railroad permit the applicant to perform safety-
sensitive functions, until the applicant's alcohol concentration 
measures less than .02.

[[Page 205]]

    (d) Tests shall be accomplished through breath analysis and analysis 
of urine samples. The conduct of breath alcohol testing and urine drug 
testing under this subpart is governed by subpart H of this part and 
part 40 of subtitle A of this title.
    (e) As used in subpart H with respect to a test required under this 
subpart, the term covered employee includes an applicant for pre-
employment testing only. In the case of an applicant who declines to be 
tested and withdraws the application for employment, no record shall be 
maintained of the declination.
    (f) Notwithstanding any other provisions of this subpart, all 
provisions and requirements in this section pertaining to preemployment 
testing for alcohol are suspended as of May 10, 1995.

[59 FR 60564, Nov. 25, 1994, as amended at 60 FR 24766, May 10, 1995]



Sec. 219.503  Notification; records.

    The railroad shall provide for medical review of the urine drug test 
results as provided in subpart H of this part. The railroad shall notify 
the applicant of the results of the urine and breath tests in the same 
manner as provided for employees in subpart H. Records shall be 
maintained confidentially and shall be retained in the same manner as 
required under subpart J for employee test records, except that such 
records need not reflect the identity of an applicant whose application 
for employment in covered service was denied.

[59 FR 7462, Feb. 15, 1994]



Sec. 219.505  Refusals.

    An applicant who has refused to submit to pre-employment testing 
under this section shall not be employed in covered service based upon 
the application and examination with respect to which such refusal was 
made. This section does not create any right on the part of the 
applicant to have a subsequent application considered; nor does it 
restrict the discretion of the railroad to entertain a subsequent 
application for employment from the same person.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7462, Feb. 15, 1994]



           Subpart G--Random Alcohol and Drug Testing Programs



Sec. 219.601  Railroad random drug testing programs.

    (a) Submission. Each railroad shall submit for FRA approval a random 
testing program meeting the requirements of this subpart. A Class I 
railroad (including the National Railroad Passenger Corporation) or a 
railroad providing commuter passenger service shall submit such a 
program not later than October 2, 1989. A Class II railroad shall submit 
such a program not later than April 2, 1990. A Class III railroad 
(including a switching and terminal or other railroad not otherwise 
classified) shall submit such a program not later than July 2, 1990. A 
railroad commencing operations after the pertinent date specified in 
this paragraph shall submit such a program not later than 30 days prior 
to such commencement. The program shall be submitted to the Associate 
Administrator for Safety, FRA, for review and approval by the 
Administrator. If, after approval, a railroad desires to amend the 
random testing program implemented under this subpart, the railroad 
shall file with FRA a notice of such amendment at least 30 days prior to 
the intended effective date of such action. A program responsive to the 
requirements of this section or any amendment to the program shall not 
be implemented prior to approval.
    (b) Form of programs. Random testing programs submitted by or on 
behalf of each railroad under this subpart shall meet the following 
criteria, and the railroad and its managers, supervisors, officials and 
other employees and agents shall conform to such criteria in 
implementing the program:
    (1) Selection of covered employees for testing shall be made by a 
method employing objective, neutral criteria which ensure that every 
covered employee has a substantially equal statistical chance of being 
selected within a specified time frame. The method may not permit 
subjective factors to play a role in selection, i.e., no employee may be 
selected as the result of the exercise of discretion by the railroad. 
The selection method shall be capable of

[[Page 206]]

verification with respect to the randomness of the selection process, 
and any records necessary to document random selection shall be retained 
for not less than 24 months from the date upon which the particular 
samples were collected.
    (2) The program shall select for testing a sufficient number of 
employees so that, during the first 12 months--
    (i) The random testing program is spread reasonably through the 12-
month period.
    (ii) [Reserved]

During the subsequent 12-month period, the program shall select for 
testing a sufficient number of employees so that the number of tests 
conducted will equal at least 50 percent of the number of covered 
employees. Annualized percentage rates shall be determined by reference 
to the total number of covered employees employed by the railroad at the 
beginning of the particular twelve-month period or by an alternate 
method specified in the plan approved by the Associate Administrator for 
Safety. If the railroad conducts random testing through a consortium, 
the annual rate may be calculated for each individual employer or for 
the total number of covered employees subject to random testing by the 
consortium.
    (3) Railroad random testing programs shall ensure to the maximum 
extent practicable that each employee shall perceive the possibility 
that a random test may be required on any day the employee reports for 
work.
    (4) Notice of an employee's selection shall not be provided until 
the duty tour in which testing is to be conducted, and then only so far 
in advance as is reasonably necessary to ensure the employee's presence 
at the time and place set for testing.
    (5) The program shall include testing procedures and safeguards, and 
procedures for action based on positive test results, consistent with 
this part.
    (6) An employee shall be subject to testing only while on duty. Only 
employees who perform covered service for the railroad shall be subject 
to testing under this part. In the case of employees who during some 
duty tours perform covered service and during others do not, the 
railroad program shall specify the extent to which, and the 
circumstances under which they shall be subject to testing. To the 
extent practical within the limitations of this part and in the context 
of the railroad's operations, the railroad program shall provide that 
employees shall be subject to the possibility of random testing on any 
day they actually perform covered service.
    (7) Each time an employee is notified for random drug testing the 
employee will be informed that selection was made on a random basis.
    (c) Approval. The Associate Administrator for Safety will notify the 
railroad in writing whether the program is approved as consistent with 
the criteria set forth in this part. If the Associate Administrator for 
Safety determines that the program does not conform to those criteria, 
the Associate Administrator for Safety will inform the railroad of any 
matters preventing approval of the program, with specific explanation as 
to necessary revisions. The railroad shall resubmit its program with the 
required revisions within 30 days of such notice. Failure to resubmit 
the program with the necessary revisions will be considered a failure to 
implement a program under this subpart.
    (d) Implementation. (1) No later than 45 days prior to commencement 
of random testing, the railroad shall publish to each of its covered 
employees, individually, a written notice that they will be subject to 
random drug testing under this part. Such notice shall state the date 
for commencement of the program, shall state that the selection of 
employees for testing will be on a strictly random basis, shall describe 
the consequences of a determination that the employee has violated 
Sec. 219.102 or any applicable railroad rule, and shall inform the 
employee of the employee's rights under subpart E of this part. A copy 
of the notice shall be provided to each new covered employee on or 
before the employee's initial date of service. Since knowledge of 
Federal law is presumed, nothing in this paragraph creates a defense to 
a violation of Sec. 219.102 of this part.
    (2) Each Class I railroad (including the National Railroad Passenger 
Corporation) and each railroad providing

[[Page 207]]

commuter passenger service shall implement its approved random testing 
program not later than January 16, 1990. Each Class II railroad shall 
implement its approved random testing program not later than July 2, 
1990. Each Class III railroad (including a switching and terminal or 
other railroad not otherwise classified) shall implement its approved 
random testing program not later than November 1, 1990. In the case of a 
railroad commencing operations after the pertinent date set forth in 
paragraph (a) of this section for filing of a program, the railroad 
shall implement its approved random testing program not later than the 
expiration of 60 days from approval by the Administrator or by the 
pertinent date set forth in this paragraph, whichever is later.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7462, Feb. 15, 1994; 62 
FR 63467, Dec. 1, 1997]



Sec. 219.602  Administrator's determination of random drug testing rate.

    (a) Except as provided in paragraphs (b) through (d) of this 
section, the minimum annual percentage rate for random drug testing 
shall be 50 percent of covered employees.
    (b) The Administrator's decision to increase or decrease the minimum 
annual percentage rate for random drug testing is based on the reported 
positive rate for the entire industry. All information used for this 
determination is drawn from the drug MIS reports required by this part. 
In order to ensure reliability of the data, the Administrator considers 
the quality and completeness of the reported data, may obtain additional 
information or reports from railroads, and may make appropriate 
modifications in calculating the industry positive rate. Each year, the 
Administrator will publish in the Federal Register the minimum annual 
percentage rate for random drug testing of covered employees. The new 
minimum annual percentage rate for random drug testing will be 
applicable starting January 1 of the calendar year following 
publication.
    (c) When the minimum annual percentage rate for random drug testing 
is 50 percent, the Administrator may lower this rate to 25 percent of 
all covered employees if the Administrator determines that the data 
received under the reporting requirements of Sec. 219.803 for two 
consecutive calendar years indicate that the reported positive rate is 
less than 1.0 percent.
    (d) When the minimum annual percentage rate for random drug testing 
is 25 percent, and the data received under the reporting requirements of 
Sec. 219.803 for any calendar year indicate that the reported positive 
rate is equal to or greater than 1.0 percent, the Administrator will 
increase the minimum annual percentage rate for random drug testing to 
50 percent of all covered employees.
    (e) Selection of covered employees for testing shall be made by a 
method employing objective, neutral criteria which ensures that every 
covered employee has a substantially equal statistical chance of being 
selected within a specified time frame. The method may not permit 
subjective factors to play a role in selection, i.e., no employee may be 
selected as a result of the exercise of discretion by the railroad. The 
selection method shall be capable of verification with respect to the 
randomness of the selection process.
    (f) The railroad shall randomly select a sufficient number of 
covered employees for testing during each calendar year to equal an 
annual rate not less than the minimum annual percentage rate for random 
drug testing determined by the Administrator. If the railroad conducts 
random drug testing through a consortium, the number of employees to be 
tested may be calculated for each individual railroad or may be based on 
the total number of covered employees covered by the consortium who are 
subject to random drug testing at the same minimum annual percentage 
rate under this part or any DOT drug testing rule.
    (g) Each railroad shall ensure that random drug tests conducted 
under this part are unannounced and that the dates for administering 
random tests are spread reasonably throughout the calendar year.
    (h) If a given covered employee is subject to random drug testing 
under the drug testing rules of more than one DOT agency for the same 
railroad, the employee shall be subject to random

[[Page 208]]

drug testing at the percentage rate established for the calendar year by 
the DOT agency regulating more than 50 percent of the employee's 
function.
    (i) If a railroad is required to conduct random drug testing under 
the drug testing rules of more than one DOT agency, the railroad may--
    (1) Establish separate pools for random selection, with each pool 
containing the covered employees who are subject to testing at the same 
required rate; or
    (2) Randomly select such employees for testing at the highest 
percentage rate established for the calendar year by any DOT agency to 
which the railroad is subject.

[59 FR 62228, Dec. 2, 1994]



Sec. 219.603  Participation in drug testing.

    Participation. A railroad shall, under the conditions specified in 
this subpart and subpart H, require a covered employee selected through 
the random testing program to cooperate in urine testing to determine 
compliance with Sec. 219.102, and the employee shall provide the 
required sample and complete the required paperwork and certifications. 
Compliance by the employee shall be excused only in the case of a 
documented medical or family emergency.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7463, Feb. 15, 1994; 62 
FR 63467, Dec. 1, 1997]



Sec. 219.605  Positive drug test results; procedures.

    (a) Medical review. The result of a test required under this subpart 
shall be deemed positive only after it has been properly confirmed as 
required in subpart H of this part and reviewed by a Medical Review 
Officer (MRO) as provided in subpart H to determine if it is evidence of 
prohibited drug use under Sec. 219.102.
    (b) Procedures for administrative handling by the railroad in the 
event a sample provided under this subpart is reported as positive by 
the MRO are set forth in Sec. 219.104 of this part. The responsive 
action required in Sec. 219.104 is not stayed pending the result of a 
retest or split sample test.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7463, Feb. 15, 1994]



Sec. 219.607  Railroad random alcohol testing programs.

    (a) Each railroad shall submit for FRA approval a random alcohol 
testing program meeting the requirements of this subpart. A Class I 
railroad (including the National Railroad Passenger Corporation) or a 
railroad providing commuter passenger service shall submit such a 
program not later than August 15, 1994. A Class II railroad shall submit 
such a program not later than February 15, 1995. A Class III railroad 
(including a switching and terminal or other railroad not otherwise 
classified) shall submit such a program not later than August 15, 1995. 
A railroad commencing operations after the pertinent date specified in 
this paragraph shall submit a random alcohol testing program not later 
than 30 days prior to such commencement. The program shall be submitted 
to the Associate Administrator for Safety, FRA, for review and approval. 
If, after approval, a railroad desires to amend the random alcohol 
testing program implemented under this subpart, the railroad shall file 
with FRA a notice of such amendment at least 30 days prior to the 
intended effective date of such action. A program responsive to the 
requirements of this section or any amendment to the program shall not 
be implemented prior to approval.
    (b) Form of programs. Random alcohol testing programs submitted by 
or on behalf of each railroad under this subpart shall meet the 
following criteria, and the railroad and its managers, supervisors, 
officials and other employees and agents shall conform to such criteria 
in implementing the program:
    (1) Selection of covered employees for testing shall be made by a 
method employing objective, neutral criteria which ensures that every 
covered employee has a substantially equal statistical chance of being 
selected within a specified time frame. The method may not permit 
subjective factors to play a role in selection, i.e., no employee may be 
selected as the result of the exercise

[[Page 209]]

of discretion by the railroad. The selection method shall be capable of 
verification with respect to the randomness of the selection process, 
and any records necessary to document random selection shall be retained 
for not less than 24 months from the date upon which the particular 
samples were collected.
    (2) The program shall include testing procedures and safeguards, 
and, consistent with this part, procedures for action based on tests 
where the employee is found to have violated Sec. 219.101.
    (3) The program shall ensure that random alcohol tests conducted 
under this part are unannounced and that the dates for administering 
random tests are spread reasonably throughout the calendar year.
    (4) The program shall ensure to the maximum extent practicable that 
each covered employee shall perceive the possibility that a random 
alcohol test may be required at any time the employee reports for work 
and at any time during the duty tour (except any period when the 
employee is expressly relieved of any responsibility for performance of 
covered service).
    (5) An employee shall be subject to testing only while on duty. Only 
employees who perform covered service for the railroad shall be subject 
to testing under this part. In the case of employees who during some 
duty tours perform covered service and during others do not, the 
railroad program shall specify the extent to which, and the 
circumstances under which they shall be subject to testing. To the 
extent practical within the limitations of this part and in the context 
of the railroad's operations, the railroad program shall provide that 
employees shall be subject to the possibility of random testing on any 
day they actually perform covered service.
    (6) Testing shall be conducted promptly, as provided in 
Sec. 219.715(a).
    (7) Each time an employee is notified for random alcohol testing the 
employee will be informed that selection was made on a random basis.
    (8) Each railroad shall ensure that each covered employee who is 
notified of selection for random alcohol testing proceeds to the test 
site immediately; provided, however, that if the employee is performing 
a safety-sensitive function at the time of the notification, the 
railroad shall instead ensure that the employee ceases to perform the 
safety-sensitive function and proceeds to the testing site as soon as 
possible.
    (c) Implementation. (1) No later than 45 days prior to commencement 
of random alcohol testing, the railroad shall publish to each of its 
covered employees, individually, a written notice that they will be 
subject to random alcohol testing under this part. Such notice shall 
state the date for commencement of the program, shall state that the 
selection of employees for testing will be on a strictly random basis, 
shall describe the consequences of a determination that the employee has 
violated Sec. 219.101 or any applicable railroad rule, and shall inform 
the employee of the employee's rights under subpart E of this part. A 
copy of the notice shall be provided to each new covered employee on or 
before the employee's initial date of service. Since knowledge of 
Federal law is presumed, nothing in this paragraph creates a defense to 
a violation of Sec. 219.101. This notice may be combined with the notice 
or policy statement required by Sec. 219.23.
    (2) Each Class I railroad (including the National Railroad Passenger 
Corporation) and each railroad providing commuter passenger service 
shall implement its approved random alcohol testing program beginning on 
January 1, 1995. Each Class II railroad shall implement its approved 
random testing program beginning on July 1, 1995. Each Class III 
railroad (including a switching and terminal or other railroad not 
otherwise classified) shall implement its approved random testing 
program beginning on January 1, 1996. In the case of a railroad 
commencing operations after the pertinent date set forth in paragraph 
(a) of this section for filing of a program, the railroad shall 
implement its approved random testing program not later than the 
expiration of 60 days from approval by the Administrator or by the 
pertinent date set forth in this paragraph, whichever is later.

[59 FR 7463, Feb. 15, 1994]

[[Page 210]]



Sec. 219.608  Administrator's determination of random alcohol testing rate.

    (a) Except as provided in paragraphs (b) through (d) of this 
section, the minimum annual percentage rate for random alcohol testing 
shall be 25 percent of covered employees.
    (b) The Administrator's decision to increase or decrease the minimum 
annual percentage rate for random alcohol testing is based on the 
violation rate for the entire industry. All information used for the 
determination is drawn from the alcohol MIS reports required by this 
part. In order to ensure reliability of the data, the Administrator 
considers the quality and completeness of the reported data, may obtain 
additional information or reports from employers, and may make 
appropriate modifications in calculating the industry violation rate. 
Each year, the Administrator will publish in the Federal Register the 
minimum annual percentage rate for random alcohol testing of covered 
employees. The new minimum annual percentage rate for random alcohol 
testing will be applicable starting January 1 of the calendar year 
following publication.
    (c)(1) When the minimum annual percentage rate for random alcohol 
testing is 25 percent or more, the Administrator may lower this rate to 
10 percent of all covered employees if the Administrator determines that 
the data received under the reporting requirements of Sec. 219.801 for 
two consecutive calendar years indicate that the violation rate is less 
than 0.5 percent.
    (2) When the minimum annual percentage rate for random alcohol 
testing is 50 percent, the Administrator may lower this rate to 25 
percent of all covered employees if the Administrator determines that 
the data received under the reporting requirements of Sec. 219.801 for 
two consecutive calendar years indicate that the violation rate is less 
than 1.0 percent but equal to or greater than 0.5 percent.
    (d)(1) When the minimum annual percentage rate for random alcohol 
testing is 10 percent, and the data received under the reporting 
requirements of Sec. 219.801 for that calendar year indicate that the 
violation rate is equal to or greater than 0.5 percent, but less than 
1.0 percent, the Administrator will increase the minimum annual 
percentage rate for random alcohol testing to 25 percent of all covered 
employees.
    (2) When the minimum annual percentage rate for random alcohol 
testing is 25 percent or less, and the data received under the reporting 
requirements of Sec. 219.801 for any calendar year indicate that the 
violation rate is equal to or greater than 1.0 percent, the 
Administrator will increase the minimum annual percentage rate for 
random alcohol testing to 50 percent of all covered employees.
    (e) The railroad shall randomly select and test a sufficient number 
of covered employees for testing during each calendar year to equal an 
annual rate not less than the minimum annual percentage rate for random 
alcohol testing determined by the Administrator. If the railroad 
conducts random alcohol testing through a consortium, the number of 
employees to be tested may be calculated for each individual employer or 
may be based on the total number of covered employees covered by the 
consortium who are subject to random testing at the same minimum annual 
percentage rate under this part or any DOT alcohol testing rule.
    (f) If a railroad is required to conduct random alcohol testing 
under the alcohol testing rules of more than one DOT agency, the 
railroad may--
    (1) Establish separate pools for random selection, with each pool 
containing the covered employees who are subject to testing at the same 
required rate; or
    (2) Randomly select such employees for testing at the highest 
percentage rate established for the calendar year by any DOT agency to 
which the railroad is subject.

[59 FR 7464, Feb. 15, 1994]



Sec. 219.609  Participation in alcohol testing.

    A railroad shall, under the conditions specified in this subpart and 
subpart H of this part, require a covered employee selected through the 
random testing program to cooperate in breath testing to determine 
compliance with Sec. 219.101, and the employee shall provide the 
required breath and complete the required paperwork and certifications. 
Compliance by the employee

[[Page 211]]

shall be excused only in the case of a documented medical or family 
emergency.

[59 FR 7464, Feb. 15, 1994]



Sec. 219.611  Test result indicating prohibited alcohol concentration; procedures.

    Procedures for administrative handling by the railroad in the event 
an employee's confirmation test indicates an alcohol concentration of 
.04 or greater are set forth in Sec. 219.104.

[59 FR 7464, Feb. 15, 1994]



  Subpart H--Procedures and Safeguards for Urine Drug Testing and for 
                             Alcohol Testing



Sec. 219.701  Standards for urine drug testing.

    (a) Urine drug testing required or authorized by subparts B, D, F, 
and G of this part shall be conducted in the manner provided by this 
subpart and (to the extent not inconsistent with this part) part 40 of 
subtitle A of this title. Laboratories employed for these purposes must 
be certified by the Department of Health and Human Services under that 
Department's Mandatory Guidelines for Federal Workplace Drug Testing 
Programs.
    (b) Each railroad's contract with a laboratory conducting testing 
subject to this subpart shall provide that the FRA and the railroad 
shall have the right to unannounced inspection during normal business 
hours through qualified personnel or designated contractors. Such 
inspecton rights shall, at minimum, include reasonable accompanied 
access to all records pertinent to testing under this part, quality 
control data incident thereto, samples submitted under this part, and 
equipment and personnel related to analysis of those samples.
    (c) Each such contract shall also require that the laboratory comply 
with all applicable provisions of this part and 49 CFR part 40, 
including requirements for employee access to specified laboratory 
records and any applicable conditions imposed upon approvals issued 
under this subpart or 49 CFR part 40.



Sec. 219.703  Drug testing procedures.

    (a) Urine samples shall be collected and handled as required in 49 
CFR part 40 and this section.
    (b) The collection site person (collector) shall meet the 
requirements of 49 CFR part 40.
    (c) A person with management or supervisory responsibility over the 
employee to be tested, or a co-worker of the employee to be tested, may 
not serve as a collector. For purposes of this paragraph, co-worker 
means a person with whom the person to be tested is assigned or could be 
assigned in a crew or other working unit to perform normal 
transportation duties on the railroad.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7464, Feb. 15, 1994; 62 
FR 63467, Dec. 1, 1997]



Sec. 219.705  Drugs tested.

    (a) Urine samples shall be analyzed for the presence of controlled 
substances designated in paragraph (b) of this section and may be 
analyzed by procedures reasonably incident to analysis of the specimen 
for controlled substances (e.g., determination of pH or tests for 
specific gravity, creatinine concentration, or presence of adulterants).
    (b) Each sample submitted shall be analyzed for marijuana, cocaine, 
phencylidine (PCP), opiates (morphine and codeine), and amphetamines 
(amphetamine and methamphetamine).
    (c) As part of the reasonable cause testing program established by 
subpart D of this part, a railroad may test for additional controlled 
substances in addition to those specified in this section only with 
approval granted by FRA and for substances for which the Department of 
Health and Human Services has established an approved testing protocol 
and positive threshold.



Sec. 219.707  Review by MRO of urine drug testing results.

    (a) Urine drug test results reported positive by the laboratory as 
provided in part 40 of this title shall not be deemed positive or 
disseminated to any person (other than to the employee tested in a 
medical interview, if conducted) until they are reviewed by a

[[Page 212]]

Medical Review Officer (MRO) of the railroad as required by part 40 of 
this title and this section. For purposes of this part, medical use of 
controlled substances by a covered employee is a legitimate medical 
explanation for presence of a controlled substance (i.e., a basis for 
declaring the result ``negative'') only to the extent such use was 
consistent with Sec. 219.103 of this part.
    (b) The MRO shall complete review of test results within not more 
than 10 regular working days of receipt of the laboratory report or they 
shall be declared negative, unless any portion of the delay shall result 
from the unwillingness or inability of the employee to appear for an 
interview or provide documentation of prescription or other authorized 
use of medications. If the employee is responsible for such delay, the 
10-day period may be extended by a period equal to the period attributed 
to the employee's delay. This paragraph shall not be read to bar 
reporting of a positive result if the employee, without a reasonable 
basis, fails to respond to an opportunity to provide supplementary 
information.
    (c) After the MRO has reviewed the pertinent information and the 
laboratory assessment is verified as indicating presence of controlled 
substances without medical authorization consistent with Sec. 219.103 of 
this part (and the review required by paragraph (b) of this section is 
completed), the MRO shall report the results to a designated railroad 
officer for action in keeping with the requirements of this part (or 
take appropriate action under the railroad's medical standards). The 
employee shall be provided a copy of the approved test results, or such 
results shall be dispatched by U.S. mail or other suitable means 
providing prompt delivery, not later than 24 hours following any adverse 
action.
    (d) Test results reported as negative by the laboratory shall also 
be communicated through the MRO. The MRO shall promptly transmit the 
negative finding to the employee. If the MRO provides the railroad with 
negative test results in a nonaggregated manner, all such negative test 
results, including results involving medical use or administration of 
controlled substances or insufficiency of laboratory data, shall be 
transmitted to the designated railroad officer over the MRO's signature 
in a manner that does not disclose medical use of drugs which is 
permitted under Sec. 219.103 of this part.

[54 FR 53259, Dec. 27, 1989, as amended at 59 FR 7464, Feb. 15, 1994]



Sec. 219.708  Employee requests for testing.

    If the test result of the primary sample is positive, an employee 
may request that his or her split sample(s) be tested in accordance with 
the procedures specified in 49 CFR part 40.

[59 FR 7464, Feb. 15, 1994]



Sec. 219.709  [Reserved]



Sec. 219.711  Confidentiality of test results.

    (a) A laboratory reporting results of tests conducted under this 
subpart shall report those results only to the designated Medical Review 
Officer of the railroad. The results shall not be disclosed by the 
laboratory to any other person, except that the laboratory may affirm 
the test result to the employee to whom the sample was identified. This 
paragraph shall not be read to bar normal access to analytical data for 
laboratory accreditation or certification processes.
    (b) The MRO may not disclose medically approved drug use or 
administration information obtained under this part (whether ascertained 
through testing or reported by the employee or the employee's medical 
practitioner at the employee's request) to non-medical railroad 
personnel or any third party; however, nothing in this part bars use of 
such information by the railroad's medical officer in the context of an 
established medical qualifications program. This paragraph shall not be 
construed to permit medical disqualification of an employee based upon a 
laboratory report indicating presence of a controlled substance prior to 
completion of the MRO review, nor to limit the discretion of the 
railroad under Sec. 40.33(c) of this chapter.
    (c) No record of tests conducted subject to this subpart or 
information drawn therefrom shall be used or disseminated by the 
railroad or within the railroad for any purpose other than

[[Page 213]]

providing for compliance with this part (and railroad rules consistent 
herewith), unless with the voluntary written consent of the employee. 
Such written consent shall specify the person to whom the information 
may be provided. Each railroad shall adopt and implement procedures to 
guard this information against unauthorized disclosure both within and 
external to the railroad company.



Sec. 219.713  [Reserved]



Sec. 219.715  Alcohol testing procedures.

    (a) Each covered employee who is notified of selection for alcohol 
testing and who is not performing covered service at the time of 
notification shall proceed to the testing site immediately. The railroad 
shall ensure that an employee who is performing covered service at the 
time of notification shall, as soon as possible without affecting 
safety, cease to perform covered service and proceed to the testing 
site.
    (b) Each railroad shall ensure that all alcohol testing conducted 
under this part complies with the procedures set forth in part 40 of 
this title. The provisions of part 40 of this title that address alcohol 
testing are made applicable to employers by this part.

[59 FR 7464, Feb. 15, 1994]



                        Subpart I--Annual Report



Sec. 219.801  Reporting alcohol misuse prevention program results in a management information system.

    (a) Each railroad that has 400,000 or more total manhours shall 
submit to FRA by March 15 of each year a report covering the previous 
calendar year (January 1-December 31), summarizing the results of its 
alcohol misuse prevention program.
    (b) A railroad that is subject to more than one DOT agency alcohol 
regulation shall identify each employee covered by the regulations of 
more than one DOT agency. The identification will be by the total number 
and category of covered functions. Prior to conducting any alcohol test 
on a covered employee subject to the regulations of more than one DOT 
agency, the railroad shall determine which DOT agency regulation or rule 
authorizes or requires the test. The test result information shall be 
directed to the appropriate DOT agency or agencies.
    (c) Each railroad shall ensure the accuracy and timeliness of each 
report submitted. The report shall be submitted on one of the two forms 
specified by the FRA.
    (d) Each report that contains information on an alcohol screening 
test result of .02 or greater or a violation of the alcohol misuse 
provisions of subpart B of this part shall include the following 
elements (the ``Alcohol Testing Management Information System Data 
Collection Form,'' appendix D3 to this part):
    (1) Number of covered employees by employee category (i.e., train 
service, engine service, dispatcher/operator, signal, other).
    (2) Number of covered employees in each category subject to alcohol 
testing under the alcohol misuse regulation of another DOT agency, 
identified by each agency.
    (3)(i) Number of screening tests by type of test (i.e., pre-
employment and covered service transfer, random, post-positive return to 
service, and follow-up) and employee category.
    (ii) Number of confirmation tests, by type of test and employee 
category.
    (4) Number of confirmation alcohol tests indicating an alcohol 
concentration equal of .02 or greater but less than .04, by type of test 
and employee category.
    (5) Number of confirmation alcohol tests indicating an alcohol 
concentration of .04 or greater, by type of test and employee category.
    (6) Number of persons denied a position as a covered employee 
following a pre-employment alcohol test indicating an alcohol 
concentration of .04 or greater.
    (7) Number of covered employees with a confirmation alcohol test 
indicating an alcohol concentration of .04 or greater, or who have 
violations of other alcohol misuse provisions, who were returned to 
service in covered positions (having complied with the recommendations 
of a substance abuse professional as described in Sec. 219.104(d)).

[[Page 214]]

    (8) For cause breath alcohol testing under railroad authority, by 
reason for test (accident/injury or rules violation), the number of 
screening tests conducted, the number of confirmation tests conducted, 
the number of confirmation tests of .02 or greater but less than .04, 
and the number of confirmation test results of .04 or greater.
    (9) For cause breath alcohol testing under FRA authority, by reason 
for test (reasonable suspicion, accident/injury or rules violation), the 
number of screening tests conducted, the number of confirmation tests 
conducted, the number of confirmation tests of .02 or greater but less 
than .04, and the number of confirmation test results of .04 or greater.
    (10) Number of covered employees who were found to have violated 
other provisions of subpart B of this part, and the action taken in 
response to the violation.
    (11) Number of covered employees who were administered alcohol and 
drug tests at the same time, with both a positive drug test result and 
an alcohol test result indicating an alcohol concentration of .04 or 
greater.
    (12) Number of covered employees who refused to submit to a random 
alcohol test required under this part.
    (13) Number of covered employees who refused to submit to a non-
random alcohol test required under this part.
    (14) Number of supervisory personnel who have received the required 
initial training on the specific contemporaneous physical, behavioral, 
and performance indicators of probable alcohol use during the reporting 
period.
    (e) Each report that contains no screening test results of 0.02 or 
greater or violations of the alcohol misuse provisions of subpart B of 
this part shall include the following informational elements (the 
``Alcohol Testing Management Information System Data Collection Form (No 
Alcohol Misuse),'' appendix D4 to this part): (This report may only be 
submitted if the program results meet this criteria.)
    (1) Number of covered employees by employee category (i.e., train 
service, engine service, dispatcher/operator, signal, other).
    (2) Number of covered employees in each category subject to alcohol 
testing under the alcohol misuse regulation of another DOT agency, 
identified by each agency.
    (3) Number of screening tests by type of test (i.e., pre-employment 
and covered service transfer, random, post-positive return to service, 
and follow-up) and employee category.
    (4) Number of covered employees with a confirmation alcohol test 
indicating an alcohol concentration of .04 or greater, or who have 
violations of other alcohol misuse provisions, who were returned to 
service in covered positions (having complied with the recommendations 
of a substance abuse professional as described in Sec. 219.104(d)).
    (5) For cause breath alcohol testing under railroad authority, by 
reason for test (accident/injury or rules violation), the number of 
screening tests conducted.
    (6) For cause breath alcohol testing under FRA authority, by reason 
for test (reasonable suspicion, accident/injury or rules violation), the 
number of screening tests conducted.
    (7) Number of covered employees who refused to submit to a random 
alcohol test required under this part.
    (8) Number of covered employees who refused to submit to a non-
random alcohol test required under this part.
    (9) Number of supervisory personnel who have received the required 
initial training on the specific contemporaneous physical, behavioral, 
and performance indicators of probable alcohol use during the reporting 
period.
    (f) Annual reporting for calendar year 1993 and prior years shall be 
governed by the provisions of Sec. 217.13 of this chapter in effect 
during the subject calendar period.

[59 FR 7465, Feb. 15, 1994]



Sec. 219.803  Reporting drug misuse prevention program results in a management information system.

    (a) Each railroad that has 400,000 or more total manhours shall 
submit to FRA an annual report covering the calendar year, summarizing 
the results of its drug misuse prevention program.
    (b) A railroad that is subject to more than one DOT agency drug 
regulation shall identify each employee covered by the regulations of 
more than one DOT agency. The identification will be

[[Page 215]]

by the total number and category of covered functions. Prior to 
conducting any drug test on a covered employee subject to the 
regulations of more than one DOT agency, the railroad shall determine 
which DOT agency regulation or rules authorizes or requires the test. 
The test result information shall be directed to the appropriate DOT 
agency or agencies.
    (c) Each railroad shall ensure the accuracy and timeliness of each 
report submitted by the railroad or a consortium.
    (d) Each railroad shall submit the required annual reports no later 
than March 15 of each year. The report shall be submitted on one of the 
forms specified by the FRA. A railroad with no positive test results 
shall submit the ``Drug Testing Management Information System Zero 
Positives Data Collection Form'' form attached as appendix D2 to this 
part. All other railroads shall submit the ``Drug Testing Management 
Information System Data Collection Form'' attached as appendix D to this 
part.
    (e) A railroad submitting the ``Drug Testing Management Information 
System Data Collection Form'' shall address each of the following data 
elements:
    (1) Number of covered employees by employee category (i.e., train 
service, engine service, dispatcher/operator, signal service, other).
    (2) Number of covered employees in each category subject to testing 
under the anti-drug regulations of more than one DOT agency, identified 
by each agency.
    (3) Number of specimens collected by type of test (ie., pre-
employment and covered service transfer, random, post-positive return to 
service, and follow-up), and employee category.
    (4) Number of specimens verified negative by a Medical Review 
Officer (MRO) by type of test, and employee category.
    (5) Number of specimens verified positive for one or more of the 
five drugs by a MRO by type of test, employee category, and type of 
drug. If a test has been verified positive by a MRO for multiple drugs, 
the employer should report the result as a positive for each type of 
drug.
    (6) Number of applicants or transfers denied employment or transfer 
to a covered service position following a verified positive pre-
employment drug test.
    (7) Number of employees, currently in or having completed 
rehabilitation or otherwise qualified to return to duty, who have 
returned to work in a covered position during the reporting period.
    (8) For cause drug testing, the number of specimens collected by 
reason for test (i.e., accident/injury, rules violation, or reasonable 
suspicion), type of authority (railroad or FRA), employee category and 
type of drug, including drugs tested for under railroad authority only.
    (9) For cause drug testing, the number of specimens verified 
negative by a MRO by reason for test, type of authority, employee 
category and type of drug, including drugs tested for under railroad 
authority only.
    (10) For cause drug testing, the number of specimens verified 
positive by a MRO by reason for test, type of authority, employee 
category and type of drug, including drugs tested for under railroad 
authority only.
    (11) For cause breath alcohol testing under railroad authority, by 
reason for test, the number of tests conducted, the number of tests with 
a positive result (i.e., breath alcohol concentration (BAC) = or > .02), 
and the number of refusals.
    (12) For cause urine alcohol testing under railroad authority, by 
reason for test, the number of tests conducted, the number of tests with 
a positive result, and the number of refusals.
    (13) For cause breath alcohol testing under FRA authority, by reason 
for test, the number of tests conducted, the number of tests with a 
positive result, and the number of refusals.
    (14) Total number of covered employees observed in documented 
operational tests and inspections related to enforcement of the 
railroad's rules on alcohol and drug use.
    (15) Based on the tests and inspections described in element 14, the 
number of covered employees charged with a violation of the railroad's 
Rule G or similar rule or policy on drugs.

[[Page 216]]

    (16) Based on the tests and inspections described in element 14, the 
number of covered employees charged with a violation of the railroad's 
Rule G or similar rule or policy on alcohol.
    (17) Number of specimens verified positive for more than one drug, 
by employee category and type of drug.
    (18) Number of covered employees who refused to submit to a random 
drug test required under FRA authority.
    (19) Number of covered employees who refused to submit to a non-
random drug test required under FRA authority.
    (20) Number of supervisory personnel who have received the required 
initial training on the specific contemporaneous physical, behavioral, 
and performance indicators of probable drug use during the reporting 
period.
    (f) A railroad authorized to submit the ``Drug Testing Management 
Information System Zero Positives Data Collection Form'' attached as 
appendix D2 to this part shall address each of the following data 
elements:
    (1) Number of covered employees by employee category (i.e., train 
service, engine service, dispatcher/operator, signal service, other).
    (2) Number of covered employees in each category subject to testing 
under the anti-drug regulations of more than one DOT agency, identified 
by each agency.
    (3) Number of specimens collected and verified negative by type of 
test (i.e., pre-employment and covered service transfer, random, for 
cause due to accident/incident, for cause due to rules violation, 
reasonable suspicion, post-positive return to service, and follow-up), 
and employee category.
    (4) For cause breath alcohol testing under railroad authority, the 
number of tests conducted by reason for test (i.e., accident/injury, 
rules violation, or reasonable suspicion).
    (5) For cause urine alcohol testing under railroad authority, the 
number of tests conducted by reason for test.
    (6) For cause breath alcohol testing under FRA authority, the number 
of tests conducted by reason for test.
    (7) Total number of covered employees observed in documented 
operational tests and inspections related to enforcement of the 
railroad's rules on alcohol and drug use.
    (8) Based on the tests and inspections described in element 7, the 
number of covered employees charged with a violation of the railroad's 
Rule G or similar rule or policy on drugs.
    (9) Based on the tests and inspections described in element 7, the 
number of covered employees charged with a violation of the railroad's 
Rule G or similar rule or policy on alcohol.
    (10) Number of covered employees who refused to submit to a random 
drug test required under FRA authority.
    (11) Number of covered employees who refused to submit to a non-
random drug test required under FRA authority.
    (12) Number of supervisory personnel who have received the required 
initial training on the specific contemporaneous physical, behavioral, 
and performance indicators of probable drug use during the reporting 
period.

[58 FR 68235, Dec. 23, 1993, as amended at 62 FR 63467, Dec. 1, 1997]



                  Subpart J--Recordkeeping Requirements

    Source: 59 FR 7466, Feb. 15, 1994, unless otherwise noted.



Sec. 219.901  Retention of breath alcohol testing records.

    (a) General requirement. Each railroad shall maintain records of its 
alcohol misuse prevention program as provided in this section. The 
records shall be maintained in a secure location with controlled access.
    (b) Period of retention. Each railroad shall maintain the records in 
accordance with the following schedule:
    (1) Five years. The following shall be maintained for a minimum of 
five years:
    (i) Records of alcohol test results with results indicating an 
alcohol concentration of .02 or greater, documentation of refusals to 
take required alcohol tests, calibration documentation, and employee 
evaluation and referrals;
    (ii) A summary record of each covered employee's test results; and

[[Page 217]]

    (iii) A copy of the annual report summarizing the results of its 
alcohol misuse prevention programs (if required to submit under 
Sec. 219.801(a).
    (2) Two years. Records related to the collection process (except 
calibration of evidential breath testing devices) and training shall 
also be maintained for a minimum of two years.
    (3) One year. Records of all test results below .02 shall be 
maintained for a minimum of one year.
    (c) Types of records. The following specific records must be 
maintained.
    (1) Records related to the collection process:
    (i) Collection logbooks, if used.
    (ii) Documents relating to the random selection process.
    (iii) Calibration documentation for evidential breath testing 
devices.
    (iv) Documentation of breath alcohol technician training.
    (v) Documents generated in connection with decisions to administer 
reasonable suspicion alcohol tests.
    (vi) Documents generated in connection with decisions on post-
accident testing.
    (vii) Documents verifying the existence of a medical explanation of 
the inability of a covered employee to provide an adequate breath 
sample.
    (2) Records related to test results:
    (i) The railroad's copy of the alcohol test form, including the 
results of the test.
    (ii) Documents related to the refusal of any covered employee to 
submit to an alcohol test required by this part.
    (iii) Documents presented by a covered employee to dispute the 
result of an alcohol test administered under this part.
    (3) Records related to other violations of this part.
    (4) Records related to evaluations:
    (i) Records pertaining to a determination by a substance abuse 
professional concerning a covered employee's need for assistance.
    (ii) Records concerning a covered employee's compliance with the 
recommendations of the substance abuse professional.
    (5) Records related to evaluation and training:
    (i) Materials on drug misuse awareness, including a copy of the 
railroad's policy on drug misuse.
    (ii) Documentation of compliance with the requirements of 
Sec. 219.23.
    (iii) Documentation of training provided to supervisors for the 
purpose of qualifying the supervisors to make a determination concerning 
the need for alcohol testing based on reasonable suspicion.
    (iv) Certification that any training conducted under this part 
complies with the requirements for such training.



Sec. 219.903  Retention of urine drug testing records.

    (a) General requirement. Each railroad shall maintain records of its 
drug misuse prevention program as provided in this section. The records 
shall be maintained in a secure location with controlled access.
    (b) Period of retention. Each railroad shall maintain the records in 
accordance with the following schedule:
    (1) Five years. The following shall be maintained for a minimum of 
five years:
    (i) Records of employee positive drug test results, documentation of 
refusals to take required drug tests, and employee evaluation and 
referral;
    (ii) A summary record of each covered employee's test results; and
    (iii) A copy of the annual report summarizing the results of its 
drug misuse prevention program (if required to submit under 
Sec. 219.803(a).
    (2) Two years. Records related to the collection process and 
training shall be maintained for a minimum of two years.
    (3) One year. Records of negative test results (as defined in Part 
40 of this title) shall be maintained for a minimum of one year.
    (c) Types of records. The following specific records must be 
maintained.
    (1) Records related to the collection process:
    (i) Documents relating to the random selection process.
    (ii) Documents generated in connection with decisions to administer 
reasonable suspicion drug tests.

[[Page 218]]

    (iii) Documents generated in connection with decisions on post-
accident testing.
    (iv) Documents verifying the existence of a medical explanation of 
the inability of a covered employee to provide a urine sample.
    (2) Records related to test results:
    (i) The railroad's copy of the drug test custody and control form, 
including the results of the test.
    (ii) Documents related to the refusal of any covered employee to 
submit to a drug test required by this part.
    (iii) Documents presented by a covered employee to dispute the 
result of a drug test administered under this part.
    (3) Records related to other violations of this part.
    (4) Records related to evaluations:
    (i) Records pertaining to a determination by a substance abuse 
professional concerning a covered employee's need for assistance.
    (ii) Records concerning a covered employee's compliance with the 
recommendations of the substance abuse professional.
    (5) Records related to evaluation and training:
    (i) Materials on alcohol misuse awareness, including a copy of the 
railroad's policy on alcohol misuse.
    (ii) Documentation of compliance with the requirements of 
Sec. 219.23.
    (iii) Documentation of training provided to supervisors for the 
purpose of qualifying the supervisors to make a determination concerning 
the need for alcohol testing based on reasonable suspicion.
    (iv) Certification that any training conducted under this part 
complies with the requirements for such training.



Sec. 219.905  Access to facilities and records.

    (a) Release of covered employee information contained in records 
required to be maintained under Secs. 219.901 and 219.903 shall be in 
accordance with 49 CFR part 40 and this section. (For purposes of this 
section only, urine drug testing records shall be considered equivalent 
to breath alcohol testing records.)
    (b) Each railroad shall permit access to all facilities utilized in 
complying with the requirements of this part to the Secretary of 
Transportation or any DOT agency with regulatory authority over the 
railroad or any of its covered employees.
    (c) Each railroad shall make available copies of all results for 
railroad alcohol and drug testing programs conducted under this part and 
any other information pertaining to the railroad's alcohol and drug 
misuse prevention program, when requested by the Secretary of 
Transportation or any DOT agency with regulatory authority over the 
railroad or covered employee.

         Appendix A to Part 219--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                                Willful
                      Section                       Violation  Violation
------------------------------------------------------------------------
                Subpart A--General
 
219.11 General Conditions for Chemical Tests             (--)     $5,000
 (b)(1), (3), or (4) Employee unlawfully refuses
 to participate in testing........................
    (b)(2) Failure to give necessary medical           $3,000      8,000
     treatment priority, or improperly requiring
     urine sample.................................
219.23 Notice to employees:
    (a) Failure to give notice of FRA test........      1,000      4,000
    (b) Failure to give notice of basis for FRA           500      2,000
     test.........................................
    (c) Use of Subpart C forms for other types of         500      1,000
     tests........................................
 
              Subpart B--Prohibitions
 
219.101 Alcohol and drug use Employee violates           (--)     10,000
 prohibition
219.104 Responsive action:
    (a) Failure to remove from service immediately      3,000      8,000
    (b) Failure to provide notice.................      1,000      4,000
    (c) Failure to provide prompt post-suspension       2,000      7,000
     hearing......................................
    (d) Unlawful return to service................      2,000      7,000
    (e) Improper alcohol test.....................      1,000      4,000
219.105  Railroad's duty to prevent violations:
    (a) Permitting employee to go or remain on          7,000     10,000
     duty in violation of prohibitions............
    (b) Failure to exercise due diligence to            2,500      5,000
     assure compliance with prohibition...........
 

[[Page 219]]

 
         Subpart--C: Post-Accident Testing
 
219.201 Events for which testing is required:
    (i) Failure to facilitate conduct of required       5,000      7,500
     post-accident toxicological test by making
     reasonable inquiry and good faith judgments
     with respect to circumstances of accident/
     incident; by failing to take all practicable
     steps to require employee participation; or
     by otherwise failing to comply with Subpart C
     such that test cannot be conducted (each
     employee not tested is a violation...........
    (ii) Required employee to provide samples           5,000     10,000
     under authority of Subpart C where one or
     more testing criteria not present, due either
     to mistake of law or failure to make
     reasonable inquiry or exercise good faith
     judgment.....................................
    (iii) Failure to promptly provide FRA with          1,000      3,000
     report describing decision on whether event
     qualified for testing........................
219.203 Responsibilities of Railroads and
 Employees:
    (a) Failure to exclude employee from impact of      2,500      5,000
     fatal train incident testing where
     appropriate..................................
    (b)(1) Delay in obtaining samples account           2,500      5,000
     failure to make every reasonable effort......
    (b)(4) Improper release of or failure to            4,000      7,500
     recall employee subject to testing, or
     improper recall to duty......................
    (c) Place of sample collection; by whom.......      2,500      5,000
    (d) Failure to notify FRA of an employee            2,500      5,000
     injury requiring FRA intervention............
219.205 Sample collection and handling:
    (a) Failure to observe requirements with            2,500      5,000
     respect to sample collection, marking and
     handling.....................................
    (b) Failure to provide properly prepared            1,000      2,000
     information sheets with samples..............
    (d) Failure to promptly forward samples.......      2,500      5,000
219.207 Fatality:
    (a) Failure to contact custodian and request        2,500      5,000
     assistance...................................
    (b) Failure to notify FRA where intervention        2,500      5,000
     needed.......................................
219.209 Reports of tests and refusals:
    (a) Failure to provide telephonic report......      1,000      2,000
    (b) Failure to provide written report (samples      1,000      2,000
     not provided)................................
219.213 Unlawful refusals, consequences:
    (a) Failure to take action against employee         2,500      5,000
     who refuses to provide samples, or permitting
     employee to return without meeting conditions
    (b), (c) Failure to provide timely notice and       2,500      5,000
     proper hearing...............................
 
    Subpart D--Authorization to test for casue
 
219.301 Testing for reasonable cause:
    (a) Employee required, under authority of this      5,000      7,500
     subpart, to submit to testing without
     reasonable cause.............................
    (f)(2) Employee required to participate in          2,000      4,000
     testing after expiration of 8 hours..........
    (f)(4) Employee tested after release from duty      1,500      3,000
219.303 Breath testing procedures and safeguards        2,000      4,000
 (incl. optional blood test)......................
219.305 Urine test: failure to comply with Subpart      2,000      4,000
 H procedures and safeguards......................
219.309 Employee notice...........................      1,000      4,000
 
  Subpart E--Identification of troubled employees
 
219.401 Requirements for policies:
    (i) Failure to adopt or publish or wholesale        5,000      7,500
     failure to implement policy required by
     Subpart E....................................
    (ii) Failure to implement as to individual          2,500      5,000
     employee.....................................
219.407 Alternate policies: Failure to file             1,000      2,000
 agreement or other document or provide timely
 notice of revocation.............................
 
       Subpart F--Pre-Employment Drug Screen
 
219.501 Pre-employment drug screens:
    (a) Failure to perform preemployment drug           2,500      5,000
     screen prior to employing applicant in
     covered service..............................
    (b)(i) Failure to provide prior notice of drug      2,000      4,000
     screen.......................................
    (ii) Maintaining record of declination of test        500      1,000
    (c) Failure to comply with Subpart H--              2,000      4,000
     Procedures and safeguards....................
219.503 Notification; records Failure to notify         2,000      4,000
 applicant of test results or to proplerly
 maintain or retain records
219.505 Refusals; consequences of positive:
    (a) Employing one who has refused test in           2,500      5,000
     covered service..............................
    (b) Employing applicant who has tested              3,000      8,000
     positive in covered service..................
 

[[Page 220]]

 
          Subpart G--Random Drug Testing
 
219.601 Programs:
    (a) Failure to submit to FRA on a timely basis      5,000      7,500
     a random testing program that satisfies
     requirements of this subpart and subpart H...
    (b)(1) Required employee to provide sample in       5,000     10,000
     reliance on this subpart based on other than
     random selection.............................
    (b)(2) through (b)(7) Fail to conform to            2,000      4,000
     approved criteria in implementing program....
    (d)(1) Failure to provide timely notice to          1,000      4,000
     each employee................................
    (d)(2) Failure to implement program on timely       5,000      7,500
     basis........................................
219.603 Participation in testing; refusals:
    (a) Failure to require a selected employee to       2,500      5,000
     cooperate in random testing..................
    (b)(1) Failure to take action against employee      2,500      5,000
     who refuses to provide sample................
    (b)(2) Failure to provide timely notice and         2,500      5,000
     proper hearing...............................
    (c) Permitting employee to return without           2,500      5,000
     meeting conditions...........................
219.605 Positive test results: (a) Test deemed          2,000      4,000
 positive without following Subpart H procedures..
 
  Subpart H--Procedures and Safeguards For Urine
                   Drug Testing
 
219.701 Standards for urine drug testing (e.g.,         5,000      7,500
 use of uncertified lab or other violation of 49
 CFR part 40 not referenced below, absence of
 required provisions in contract, etc.).
219.703 Collection................................      2,000      4,000
219.705 Drugs tested..............................      2,000      4,000
219.707 Review by MRO.............................      2,000      4,000
219.709 Retest....................................      2,000      4,000
219.711 Confidentiality...........................      3,000      6,000
219.713 Reports; FRA access.......................        500      2,000
------------------------------------------------------------------------
\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 $22,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.


[54 FR 53259, Dec. 27, 1989, as amended at 55 FR 22794, June 4, 1990; 63 
FR 11621, Mar. 10, 1998]

  Appendix B to Part 219--Designation of Laboratory for Post-Accident 
                          Toxicological Testing

    The following laboratory is currently designated to conduct post-
accident toxicological analysis under Subpart C of this part: NWT Inc., 
1141 E. 3900 South, Suite A-110, Salt Lake City, UT 84124, Telephone: 
(801) 268-2431 (Day), (801) 483-3383 (Night/Weekend).

[60 FR 61665, Dec. 1, 1995, as amended at 62 FR 63467, Dec. 1, 1997]

     Appendix C to Part 219--Post-Accident Testing Sample Collection

                              1.0  General.

    This appendix prescribes procedures for collection of samples for 
mandatory post-accident testing pursuant to subpart C of this part. 
Collection of blood and urine samples is required to be conducted at an 
independent medical facility.

                          (Surviving Employees)

                        2.0  Surviving Employees.

    This unit provides detailed procedures for collecting post-accident 
toxicological samples from surviving employees involved in train 
accidents and train incidents, as required by 49 CFR part 219, subpart 
C. Subpart C specifies qualifying events and employees required to be 
tested.

                  2.1  Collection Procedures; General.

    All forms and supplies necessary for collection and transfer of 
blood and urine samples for three surviving employees can be found in 
the FRA post-accident shipping box, which is made available to the 
collection site by the railroad representative.
    Each shipping box contains supplies for blood/urine collections from 
three individuals, including instructions and necessary forms. The 
railroad is responsible for ensuring that materials are fresh, complete 
and meet FRA requirements.

          2.11  Responsibility of the Railroad Representative.

    In the event of an accident/incident for which testing is required 
under subpart C of this part, the railroad representative shall follow 
the designated set of instructions, and, upon arrival at the independent 
medical facility, promptly present to the collection facility 
representative a post-accident shipping box or boxes with all remaining 
sets of instructions. (Each box contains supplies to collect samples 
from three employees.) The railroad representative shall request the 
collection facility representative to review the instructions provided 
and, through qualified personnel, provide for collection of the samples 
according to the procedures set out.
    The railroad representative shall undertake the following additional 
responsibilities--
     Complete FRA Form 6180.73 (revised), Accident Information 
Required for Post-Accident Toxicological Testing, describing the testing 
event and identifying the employees

[[Page 221]]

whose samples are to be deposited in the shipping box.
     As necessary to verify the identity of individual 
employees, affirm the identity of each employee to the medical facility 
personnel.
     Consistent with the policy of the collection facility, 
monitor the progress of the collection procedure.
    Warning: Monitor but do not directly observe urination or otherwise 
disturb the privacy of urine or blood collection. Do not handle sample 
containers, bottles or tubes (empty or full). Do not become part of the 
collection process.

                     2.12  Employee Responsibility.

    An employee who is identified for post-accident toxicological 
testing shall cooperate in testing as required by the railroad and 
personnel of the independent medical facility. Such cooperation will 
normally consist of the following, to be performed as requested:
     Provide a blood sample, which a qualified medical 
professional or technician will draw using a single-use sterile syringe. 
The employee should be seated for this procedure.
     Provide, in the privacy of an enclosure, a urine sample 
into a plastic collection cup. Deliver the cup to the collector.
     Do not let the blood and urine samples that you provided 
leave your sight until they have been properly sealed and initialed by 
you.
     Certify the statement in Step 4 of the Blood/Urine Custody 
and Control Form (FRA Form 6180.74 (revised)).
     If required by the medical facility, complete a separate 
consent form for taking of the samples and their release to FRA for 
analysis under the FRA rule.

    Note: The employee may not be required to complete any form that 
contains any waiver of rights the employee may have in the employment 
relationship or that releases or holds harmless the medical facility 
with respect to negligence in the collection.

                          2.2  The Collection.

    Exhibit C-1 contains instructions for collection of samples for 
post-accident toxicology from surviving employees. These instructions 
shall be observed for each collection. Instructions are also contained 
in each post-accident shipping box and shall be provided to collection 
facility personnel involved in the collection and/or packaging of 
samples for shipment.

                        (Post Mortem Collection)

                             3.0  Fatality.

    This unit provides procedures for collecting post-accident body 
fluid/tissue samples from the remains of employees killed in train 
accidents and train incidents, as required by 49 CFR part 219, subpart 
C. Subpart C specifies qualifying events and employees required to be 
tested.

                            3.1  Collection.

    In the event of a fatality for which testing is required under 
subpart C, the railroad shall promptly make available to the custodian 
of the remains a post-accident shipping box. The railroad representative 
shall request the custodian to review the instructions contained in the 
shipping box and, through qualified medical personnel, to provide the 
samples as indicated.

                  (Surviving Employees and Fatalities)

                             4.0  Shipment.

    The railroad is responsible for arranging overnight transportation 
of the sealed shipping box containing the samples. When possible without 
incurring delay, the box should be delivered directly from the 
collection personnel providing the samples to an overnight express 
service courier. If it becomes necessary for the railroad to transport 
the box from point of collection to point of shipment, then--
    1. Individual kits and the shipping box shall be sealed by 
collection personnel before the box is turned over to the railroad 
representative;
    2. The railroad shall limit the number of persons handling the 
shipping box to the minimum necessary to provide for transportation;
    3. If the shipping box cannot immediately be delivered to the 
express carrier for transportation, it shall be maintained in secure 
temporary storage; and
    4. The railroad representatives handling the box shall document 
chain of custody of the shipping box and shall make available such 
documentation to FRA on request.

  Exhibit C-1--Instructions for Collection of Blood and Urine Samples: 
              Mandatory Post-Accident Toxicological Testing

                               A. Purpose

    These instructions are for the use of personnel of collection 
facilities conducting collection of blood and urine samples from 
surviving railroad employees following railroad accidents and casualties 
that qualify for mandatory alcohol/drug testing. The Federal Railroad 
Administration appreciates the participation of medical facilities in 
this important public safety program.

                        B. Prepare for Collection

    Railroad employees have consented to provision of samples for 
analysis by the Federal Railroad Administration as a condition of

[[Page 222]]

employment (49 CFR 219.11). A private, controlled area should be 
designated for collection of samples and completion of paperwork.
    Only one sample should be collected at a time, with each employee's 
blood draw or urine collection having the complete attention of the 
collector until the specific sample has been labeled, sealed and 
documented.
    Please remember two critical rules for the collections:
    All labeling and sealing must be done in the sight of the donor, 
with the sample never having left the donor's presence until the sample 
has been labeled, sealed and initialled by the donor.
    Continuous custody and control of blood and urine samples must be 
maintained and documented on the forms provided. In order to do this it 
is important for the paperwork and the samples to stay together.
    To the extent practical, blood collection should take priority over 
urine collection. To limit steps in the chain of custody, it is best if 
a single collector handles both collections from a given employee.
    You will use a single Post-Accident Testing Blood/Urine Custody and 
Control Form (FRA Form 6108.74 (revised)), consisting of six Steps to 
complete the collection for each employee. We will refer to it as the 
Control Form.

                          C. Identify the Donor

    The employee donor must provide photo identification to each 
collector, or lacking this, be identified by the railroad 
representative.
    The donor should remove all unnecessary outer garments such as coats 
or jackets, but may retain valuables, including wallet. Donors should 
not be asked to disrobe, unless necessary for a separate physical 
examination required by the attending physician.

                              D. Draw Blood

    Assemble the materials for collecting blood from each employee: two 
10 ml grey-stoppered blood tubes and the Control Form.
    Ask the donor to complete STEP 1 on the Control Form.
    With the donor seated, draw two (2) 10 ml tubes of blood using 
standard medical procedures (sterile, single-use syringe into evacuated 
gray-top tubes provided). CAUTION: Do not use alcohol or an alcohol-
based swab to cleanse the venipuncture site.
    Once both tubes are filled and the site of venipuncture is 
protected, immediately--
     Seal and label each tube by placing a numbered blood sample 
label from the label set on the Control Form over the top of the tube 
and securing it down the sides.
     Ask the donor to initial each label. Please check to see 
that the initials match the employee's name and note any discrepancies 
in the ``Remarks'' block of the Control Form.
     As collector, sign and date each blood tube label at the 
place provided.
     Skip to STEP 5 and initiate chain of custody for the blood 
tubes by filling out the first line of the block to show receipt of the 
blood samples from the donor.
     Complete STEP 2 on the form.
     Return the blood tubes into the individual kit. Keep the 
paperwork and samples together. If another collector will be collecting 
the urine sample from this employee, transfer both the form and the 
individual kit with blood tubes to that person, showing the transfer of 
the blood tubes on the second line of STEP 5 (the chain of custody 
block).

                            E. Collect Urine

    The urine collector should assemble at his/her station the materials 
for collecting urine from each employee: one plastic collection cup with 
temperature device affixed enclosed in a heat-seal bag (with protective 
seal intact), two 90 ml urine sample bottles with caps and one biohazard 
bag (with absorbent) also enclosed in a heat-seal bag (with protective 
seal intact), and the Control Form. Blood samples already collected must 
remain in the collector's custody and control during this procedure.
    After requiring the employee to wash his/her hands, the collector 
should escort the employee directly to the urine collection area. To the 
extent practical, all sources of water in the collection area should be 
secured and a bluing agent (provided in the box) placed in any toilet 
bowl, tank, or other standing water.
    The employee will be provided a private place in which to void. 
Urination will not be directly observed. If the enclosure contains a 
source of running water that cannot be secured or any material (soap, 
etc.) that could be used to adulterate the sample, the collector should 
monitor the provision of the sample from outside the enclosure. Any 
unusual behavior or appearance should be noted in the remarks section of 
the Control Form or on the back of that form.
    The collector should then proceed as follows:
    Unwrap the collection cup in the employee's presence and hand it to 
the employee (or allow the employee to unwrap it).
    Ask the employee to void at least 60 ml into the collection cup (at 
least to the line marked). Leave the private enclosure.

    IF THERE IS A PROBLEM WITH URINATION OR SAMPLE QUANTITY, SEE THE 
            ``TROUBLE BOX'' AT THE BACK OF THESE INSTRUCTIONS

    Once the void is complete, the employee should exit the private 
enclosure and deliver

[[Page 223]]

the sample to the collector. Both the collector and the employee must 
proceed immediately to the labeling/sealing area, with the sample never 
leaving the sight of the employee before being sealed and labeled.
    Upon receipt of the sample, proceed as follows:
     In the full view of the employee, remove the wrapper from 
the two urine sample bottles. Transfer the urine from the collection cup 
into the sample bottles (at least 30 ml in bottle A and at least 15 ml 
in bottle B).
     As you pour the sample into the sample bottles, please 
inspect for any unusual signs indicating possible adulteration or 
dilution. Carefully secure the tops. Note any unusual signs under 
``remarks'' at STEP 3 of the Control Form.
     Within 4 minutes after the void, measure the temperature of 
the urine by reading the strip on the bottle. Mark the result at STEP 3 
of the Control Form.

IF THERE IS A PROBLEM WITH THE URINE SAMPLE, SEE THE TROUBLE BOX AT THE 
                       BACK OF THESE INSTRUCTIONS

     Remove the urine bottle labels from the Control Form. The 
labels are marked A and B. Place each label as marked over the top of 
its corresponding bottle, and secure the label to the sides of the 
bottle.
     Ask the donor to initial each label. Please check to see 
that the initials match the employee name and note any discrepancy in 
the ``Remarks'' block of STEP 3.
     As collector, sign and date each urine label.
     Skip to STEP 5 and initiate chain-of-custody by showing 
receipt of the urine samples from the donor. (If you collected the 
blood, a check under ``urine'' will suffice. If someone else collected 
the blood, first make sure transfer of the blood to you is documented. 
Then, using the next available line, show ``Provide samples'' under 
purpose, ``Donor'' under ``released by,'' check under ``urine'' and 
place your name, signature and date in the space provided.)
     Complete the remainder of STEP 3 on the Control Form.
     Have the employee complete STEP 4 on the Control Form.
     Place the filled urine bottles in the individual employee 
kit. Keep the paperwork and samples together. If another collector will 
be collecting the blood sample from this employee, transfer both the 
form and the kit to that person, showing the transfer of the urine 
samples on the next available line of STEP 5 (the chain of custody 
block).

                   F. Seal the Individual Employee Kit

    The blood and urine samples have now been collected for this 
employee. The blood/urine samples will now be sealed into the individual 
employee kit, while all paperwork will be retained for further 
completion. After rechecking to see that each sample is properly labeled 
and initialled, close the plastic bag to contain any leakage in 
transportation, and apply the kit security seal to the small individual 
kit. As collector, sign and date the kit seal.
    Before collecting samples from the next employee, complete the next 
line on the chain-of-custody block showing release of the blood and 
urine by yourself for the purpose of ``Shipment'' and receipt by the 
courier service or railroad representative that will provide 
transportation of the box, together with the date.

                    G. Complete Treatment Information

    Complete STEP 6 of the Control Form. Mark the box if a breath 
alcohol test was conducted under FRA authority.

                     H. Prepare the Box for Shipment

    Sealed individual employee kits should be retained in secure storage 
if there will be a delay in preparation of the shipping box. The 
shipping box shall be prepared and sealed by a collection facility 
representative as follows:
     Inspect STEP 5 of each Control Form to ensure chain-of-
custody is continuous and complete for each fluid (showing samples 
released for shipment). Retain the medical facility copy of each Control 
Form and the Accident Information form for your records.
     Place sealed individual employee kits in the shipping box. 
Place all forms in zip-lock bag and seal securely. Place bag with forms 
and unused supplies in shipping box.
     Affix the mailing label provided to the outside of the 
shipping box.

                             I. Ship the Box

    The railroad must arrange to have the box shipped overnight air 
express or (if express service is unavailable) by air freight, prepaid, 
to FRA's designated laboratory. Whenever possible without incurring 
delay, the collector should deliver the box directly into the hands of 
the express courier or air freight representative.
    Where courier pickup is not immediately available at the collection 
facility where the samples are taken, the railroad is required to 
transport the shipping box for expeditious shipment by air express, air 
freight or equivalent means.
    If the railroad is given custody of the box to arrange shipment, 
please record the name of the railroad official taking custody on the 
copy of Form 6180.73 retained by the collection site.

                             ``TROUBLE BOX''

    1. Problem: The employee claims an inability to urinate, either 
because he/she has recently

[[Page 224]]

voided or because of anxiety concerning the collection.
    Action: The employee may be offered moderate quantities of liquid to 
assist urination. If the employee continues to claim inability after 4 
hours, the urine collection should be discontinued, but the blood 
samples should be forwarded and all other procedures followed. Please 
note in area provided for remarks what explanation was provided by the 
employee.
    2. Problem: The employee cannot provide approximately 60 ml. of 
sample.
    Action: The employee should remain at the collection facility until 
as much as possible of the required amount can be given (up to 4 hours). 
The employee should be offered moderate quantities of liquids to aid 
urination. The first bottle, if it contains any quantity of urine, 
should be sealed and securely stored with the blood tubes and Control 
Form pending shipment. A second bottle should then be used for the 
subsequent void (using a second Control Form with the words ``SECOND 
VOID--FIRST SAMPLE INSUFFICIENT'' in the remarks block and labels from 
that form). However, if after 4 hours the donor's second void is also 
insufficient or contains no more than the first insufficient void, 
discard the second void and send the first void to the laboratory.
    3. Problem: The urine temperature is outside the normal range of 
32 deg.-38 deg.C/90 deg.-100 deg.F, and a suitable medical explanation 
cannot be provided by an oral temperature or other means; or
    4. Problem: The collector observes conduct clearly and unequivocally 
indicating an attempt to substitute or adulterate the sample (e.g., 
substitute urine in plain view, blue dye in sample presented, etc.) and 
a collection site supervisor or the railroad representative agrees that 
the circumstances indicate an attempt to tamper with the sample.
    Action (for either Problem No. 3 or Problem No. 4): Document the 
problem on the Control Form. If the collection site supervisor or 
railroad representative concur that the temperature of the sample, or 
other clear and unequivocal evidence, indicates a possible attempt to 
substitute or alter the sample, another void must be taken under direct 
observation by a collector of the same gender.
    If a collector of the same sex is not available, do NOT proceed with 
this step.
    If a collector of the same gender is available, proceed as follows: 
A new Control Form must be initiated for the second void. The original 
suspect sample should be marked ``Void 1'' and the follow-up void should 
be marked ``Void 2,'' with both voids being sent to the laboratory and 
the incident clearly detailed on the Control Form.

    Exhibit C-2--Instructions for Collection of Post Mortem Samples: 
             Employee Killed in a Railroad Accident/Incident

    To the Medical Examiner, Coroner, or Pathologist:
    In compliance with Federal safety regulations (49 CFR part 219), a 
railroad representative has requested that you obtain samples for 
toxicology from the remains of a railroad employee who was killed in a 
railroad accident or incident. The deceased consented to the taking of 
such samples, as a matter of Federal law, by performing service on the 
railroad (49 CFR 219.11(f)).
    Your assistance is requested in carrying out this program of 
testing, which is important to the protection of the public safety and 
the safety of those who work on the railroads.

                               Materials:

    The railroad will provide you a post-accident shipping box that 
contains necessary supplies. If the box is not immediately available, 
please proceed using supplies available to you that are suitable for 
forensic toxicology.

               Samples requested, in order of preference:

    (1) Blood--20 milliliters or more. Preferred sites: intact femoral 
vein or artery or peripheral vessels (up to 10 ml, as available) and 
intact heart (20 ml). Deposit blood in gray-stopper tubes individually 
by site and shake to mix sample and preservative.

    Note: If uncontaminated blood is not available, bloody fluid or 
clots from body cavity may be useful for qualitative purposes; but do 
not label as blood. Please indicate source and identity of sample on 
label of tube.

    (2) Urine--as much as 100 milliliters, if available. Deposit into 
plastic bottles provided.
    (3) Vitreous fluid--all available, deposited into smallest available 
tube (e.g., 3 ml) with 1% sodium fluoride, or gray-stopper tube 
(provided). Shake to mix sample and preservative.
    (4) If available at autopsy, organs--50 to 100 grams each of two or 
more of the following in order preference, as available: liver, bile, 
brain, kidney, spleen, and/or lung. Samples should be individually 
deposited into zip-lock bags or other clean, single use containers 
suitable for forensic samples.
    (5) If vitreous or urine is not available, please provide--
    a. Spinal fluid--all available, in 8 ml container (if available) 
with sodium fluoride or in gray-stopper tube; or, if spinal fluid cannot 
be obtained,
    b. Gastric content--up to 100 milliliters, as available, into 
plastic bottle.

[[Page 225]]

                           Sample collection:

    Sampling at time of autopsy is preferred so that percutaneous needle 
puncturing is not necessary. However, if autopsy will not be conducted 
or is delayed, please proceed with sampling.
    Blood samples should be taken by sterile syringe and deposited 
directly into evacuated tube, if possible, to avoid contamination of 
sample or dissipation of volatiles (ethyl alcohol).

    Note: If only cavity fluid is available, please open cavity to 
collect sample. Note condition of cavity.

    Please use smallest tubes available to accommodate available 
quantity of fluid sample (with 1% sodium fluoride).

                     Sample identification, sealing:

    As each sample is collected, seal each blood tube and each urine 
bottle using the respective blood tube or urine bottle using the 
identifier labels from the set provided with the Post Accident Testing 
Blood/Urine Custody and Control Form (FRA Form 6180.74 (revised)). Make 
sure the unique identification number on the labels match the pre-
printed number on the Control Form. Please label other samples with name 
and sample set identification numbers. You can use labels and seals from 
any of the extra forms, but annotate them accordingly.
    Annotate each label with sample description and source (as 
appropriate) (e.g., blood, femoral vein).
    Please provide copy of any written documentation regarding condition 
of body and/or sampling procedure that is available at the time samples 
are shipped.

                                Handling:

    If samples cannot be shipped immediately as provided below, samples 
other than blood may be immediately frozen. Blood samples should be 
refrigerated, but not frozen.
    All samples and documentation should be secured from unauthorized 
access pending delivery for transportation.

                              Information:

    If the railroad has not already done so, please place the name of 
the subject at the top of the Control Form (STEP 1). You are requested 
to complete STEP 2 of the form, annotating it by writing the word 
``FATALITY,'' listing the samples provided, providing any further 
information under ``Remarks'' or at the bottom of the form. If it is 
necessary to transfer custody of the samples from the person taking the 
samples prior to preparing the box for shipment, please use the blocks 
provided in STEP 5 to document transfer of custody.
    The railroad representative will also provide Accident Information 
Required for Post-Accident Toxicological Testing, FRA Form 6180.73 
(revised). Both forms should be placed in the shipping box when 
completed; but you may retain the designated medical facility copy of 
each form for your records.

                        Packing the shipping box:

    Place urine bottles and blood tubes in the sponge liner in the 
individual kit, close the biohazard bag zipper, close the kit and apply 
the kit custody seal to the kit. You may use additional kits for each 
tissue sample, being careful to identify sample by tissue, name of 
deceased, and specimen set identification number. Apply kit security 
seals to individual kits and initial across all seals.
    Place all forms in the zip-lock bag and seal securely. Place the bag 
in the shipping box. Do not put forms in with the specimens.
    Seal the shipping box with the seal provided and initial and date 
across the seal.
    Affix the mailing label to the outside of the box.

                            Shipping the box:

    The railroad must arrange to have the box shipped overnight air 
express or (if express service is unavailable) by air freight, prepaid, 
to FRA's designated laboratory. When possible, but without incurring 
delay, deliver the sealed shipping box directly to the express courier 
or the air freight representative.
    If courier pickup is not immediately available at your facility, the 
railroad is required to transport the sealed shipping box to the nearest 
point of shipment via air express, air freight or equivalent means.
    If the railroad receives the sealed shipping box to arrange 
shipment, please record under ``Supplemental Information'' on the 
Control Form, the name of the railroad official taking custody.

                                 Other:

    FRA requests that the person taking the samples annotate the Control 
Form under ``Supplemental Information'' if additional toxicological 
analysis will be undertaken with respect to the fatality. FRA reports 
are available to the coroner or medical examiner on request.

[60 FR 19539, Apr. 19, 1995]

[[Page 226]]

[GRAPHIC] [TIFF OMITTED] TR23DE93.023


[[Page 227]]


[GRAPHIC] [TIFF OMITTED] TR23DE93.024


[[Page 228]]


[GRAPHIC] [TIFF OMITTED] TR23DE93.025


[[Page 229]]


[GRAPHIC] [TIFF OMITTED] TR23DE93.026


[[Page 230]]


[GRAPHIC] [TIFF OMITTED] TR23DE93.027


[[Page 231]]


[GRAPHIC] [TIFF OMITTED] TR23DE93.028


[[Page 232]]


[GRAPHIC] [TIFF OMITTED] TR23DE93.029


[[Page 233]]


[GRAPHIC] [TIFF OMITTED] TR23DE93.030


[[Page 234]]


[GRAPHIC] [TIFF OMITTED] TR23DE93.031


[[Page 235]]


[GRAPHIC] [TIFF OMITTED] TR23DE93.032


[[Page 236]]


[GRAPHIC] [TIFF OMITTED] TR23DE93.033


[[Page 237]]


[GRAPHIC] [TIFF OMITTED] TR23DE93.034

[58 FR 68237, Dec. 23, 1993]

[[Page 238]]

                   Appendix D1 to Part 219  [Reserved]
[GRAPHIC] [TIFF OMITTED] TR23DE93.035


[[Page 239]]


[GRAPHIC] [TIFF OMITTED] TR23DE93.036


[[Page 240]]


[GRAPHIC] [TIFF OMITTED] TR23DE93.037


[[Page 241]]


[GRAPHIC] [TIFF OMITTED] TR23DE93.038


[[Page 242]]


[GRAPHIC] [TIFF OMITTED] TR23DE93.039

[58 FR 68250, Dec. 23, 1993]

[[Page 243]]

[GRAPHIC] [TIFF OMITTED] TR15FE94.030


[[Page 244]]


[GRAPHIC] [TIFF OMITTED] TR15FE94.031


[[Page 245]]


[GRAPHIC] [TIFF OMITTED] TR15FE94.032


[[Page 246]]


[GRAPHIC] [TIFF OMITTED] TR15FE94.033


[[Page 247]]


[GRAPHIC] [TIFF OMITTED] TR15FE94.034


[[Page 248]]


[GRAPHIC] [TIFF OMITTED] TR15FE94.035


[[Page 249]]


[GRAPHIC] [TIFF OMITTED] TR15FE94.036


[[Page 250]]


[GRAPHIC] [TIFF OMITTED] TR15FE94.037


[[Page 251]]


[GRAPHIC] [TIFF OMITTED] TR15FE94.038

[59 FR 7468, Feb. 15, 1994]

[[Page 252]]

[GRAPHIC] [TIFF OMITTED] TR15FE94.039


[[Page 253]]


[GRAPHIC] [TIFF OMITTED] TR15FE94.040


[[Page 254]]


[GRAPHIC] [TIFF OMITTED] TR15FE94.041


[[Page 255]]


[GRAPHIC] [TIFF OMITTED] TR15FE94.042

[59 FR 7477, Feb. 15, 1994]

[[Page 256]]



PART 220--RAILROAD COMMUNICATIONS--Table of Contents




                           Subpart A--General

Sec.
220.1  Scope.
220.2  Preemptive effect.
220.3  Application.
220.5  Definitions.
220.7  Penalty.
220.8  Waivers.
220.9  Requirements for trains.
220.11  Requirements for roadway workers.
220.13  Reporting emergencies.

         Subpart B--Radio and Wireless Communication Procedures

220.21  Railroad operating rules; radio communications; recordkeeping.
220.23  Publication of radio information.
220.25  Instruction and operational testing of employees.
220.27  Identification.
220.29  Statement of letters and numbers in radio communications.
220.31  Initiating a radio transmission.
220.33  Receiving a radio transmission.
220.35  Ending a radio transmission.
220.37  Testing radio and wireless communication equipment.
220.38  Communication equipment failure.
220.39  Continuous radio monitoring.
220.41  [Reserved].
220.43  Radio communications consistent with federal regulations and 
          railroad operating rules.
220.45  Radio communication shall be complete.
220.47  Emergency radio transmissions.
220.49  Radio communication used in shoving, backing or pushing 
          movements.
220.51  Radio communications and signal indications.
220.61  Radio transmission of mandatory directives.

Appendix A to Part 220--Recommended Phonetic Alphabet
Appendix B to Part 220--Recommended Pronunciation of Numerals
Appendix C to Part 220--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20103, 20107, 21301, 21304, 21311 (1994); and 
49 CFR 1.49.

    Source: 63 FR 47195, Sept. 4, 1998, unless otherwise noted.



                           Subpart A--General



Sec. 220.1  Scope.

    This part prescribes minimum requirements governing the use of 
wireless communications in connection with railroad operations. So long 
as these minimum requirements are met, railroads may adopt additional or 
more stringent requirements.



Sec. 220.2  Preemptive effect.

    Under 49 U.S.C. 20106 (formerly section 205 of the Federal Railroad 
Safety Act of 1970, 45 U.S.C. 434), issuance of the regulations in this 
part preempts any State law, rule, regulation, order, or standard 
covering the same subject matter, except a provision necessary to 
eliminate or reduce an essentially local safety hazard that is not 
incompatible with this part and that does not unreasonably burden 
interstate commerce.



Sec. 220.3  Application.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to railroads that operate trains or other rolling equipment on 
standard gage track which is part of the general railroad system of 
transportation.
    (b) This part does not apply to:
    (1) A railroad that operates only on track inside an installation 
which is not part of the general railroad system of transportation; or
    (2) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation.



Sec. 220.5  Definitions.

    As used in this part, the term:
    Adjacent tracks means two or more tracks with track centers spaced 
less than 25 feet apart.
    Control center means the locations on a railroad from which the 
railroad issues instructions governing railroad operations.
    Division headquarters means the location designated by the railroad 
where a high-level operating manager (e.g., a superintendent, division 
manager, or equivalent), who has jurisdiction over a portion of the 
railroad, has an office.
    Employee means an individual who is engaged or compensated by a 
railroad or by a contractor to a railroad, who is authorized by a 
railroad to use its wireless communications in connection with railroad 
operations.
    Immediate access to a radio means a radio on the employee's person, 
or sufficiently close to the employee to allow

[[Page 257]]

the employee to make and receive radio transmissions.
    Joint operations means rail operations conducted by more than one 
railroad on the track of a railroad subject to the requirements of 
Sec. 220.9(a), except as necessary for the purpose of interchange.
    Locomotive means a piece of on-track equipment other than hi-rail, 
specialized maintenance, or other similar equipment--
    (1) With one or more propelling motors designed for moving other 
equipment;
    (2) With one or more propelling motors designed to carry freight or 
passenger traffic, or both; or
    (3) Without propelling motors but with one or more control stands.
    Lone worker means an individual roadway worker who is not being 
afforded on-track safety by another roadway worker, who is not a member 
of a roadway work group, and who is not engaged in a common task with 
another roadway worker.
    Mandatory directive means any movement authority or speed 
restriction that affects a railroad operation.
    Railroad operation means any activity which affects the movement of 
a train, locomotive, on-track equipment, or track motor car, singly or 
in combination with other equipment, on the track of a railroad.
    Roadway worker means any employee of a railroad, or of a contractor 
to a railroad, whose duties include inspection, construction, 
maintenance or repair of railroad track, bridges, roadway, signal and 
communication systems, electric traction systems, roadway facilities or 
roadway maintenance machinery on or near track or with the potential of 
fouling a track, and flagmen and watchmen/lookouts.
    System headquarters means the location designated by the railroad as 
the general office for the railroad system.
    Train means one or more locomotives coupled with or without cars, 
requiring an air brake test in accordance with 49 CFR part 232, except 
during switching operations or where the operation is that of 
classifying and assembling rail cars within a railroad yard for the 
purpose of making or breaking up trains.
    Working radio means a radio that can communicate with the control 
center of the railroad (through repeater stations, if necessary to reach 
the center) from any location within the rail system, except:
    (1) Tunnels or other localized places of extreme topography, and
    (2) Temporary lapses of coverage due to atmospheric or topographic 
conditions. In the case of joint operations on another railroad, the 
radio must be able to reach the control center of the host railroad.
    Working wireless communications means the capability to communicate 
with either a control center or the emergency responder of a railroad 
through such means as radio, portable radio, cellular telephone, or 
other means of two-way communication, from any location within the rail 
system, except:
    (1) Tunnels or other localized places of extreme topography, and
    (2) Temporary lapses of coverage due to atmospheric or topographic 
conditions. In the case of joint operations on another railroad, the 
radio must be able to reach the control center of the host railroad.



Sec. 220.7  Penalty.

    Any person (including but not limited to a railroad; any manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations; where a grossly negligent violation or a pattern of repeated 
violations has created an imminent hazard of death or injury, or has 
caused death or injury, a penalty not to exceed $22,000 per violation 
may be assessed; and the standard of liability for a railroad will vary 
depending upon the requirement involved. Each day a violation continues

[[Page 258]]

shall constitute a separate offense. (See appendix C to this part for a 
statement of agency civil penalty policy.)



Sec. 220.8  Waivers.

    (a) Any person subject to a requirement of this part may petition 
the Administrator for a waiver of compliance with such requirement. The 
filing of such a petition does not affect that person's responsibility 
for compliance with that requirement while the petition is being 
considered.
    (b) Each petition for waiver must be filed in the manner and contain 
the information required by part 211 of this chapter.
    (c) If the Administrator finds that a waiver of compliance is in the 
public interest and is consistent with railroad safety, the 
Administrator may grant the waiver subject to any conditions the 
Administrator deems necessary.



Sec. 220.9  Requirements for trains.

    (a) Except as provided for in paragraphs (b)(1) through (4) of this 
section, on and after July 1, 1999, each occupied controlling locomotive 
in a train shall have a working radio, and each train shall also have 
communications redundancy. For purposes of this section, 
``communications redundancy'' means a working radio on another 
locomotive in the consist or other means of working wireless 
communications.
    (b) On and after July 1, 2000, the following requirements apply to a 
railroad that has fewer than 400,000 annual employee work hours:
    (1) Any train that transports passengers shall be equipped with a 
working radio in the occupied controlling locomotive and with redundant 
working wireless communications capability in the same manner as 
provided in paragraph (a) of this section.
    (2) Any train that operates at greater than 25 miles per hour; or 
engages in joint operations on track where the maximum authorized speed 
for freight trains exceeds 25 miles per hour; or engages in joint 
operations on a track that is adjacent to and within 30 feet measured 
between track center lines of another track on which the maximum 
authorized speed for passenger trains exceeds 40 miles per hour, shall 
be equipped with a working radio in the occupied controlling locomotive.
    (3) Any train that engages in joint operations, where the maximum 
authorized speed of the track is 25 miles per hour or less, shall be 
equipped with working wireless communications in the occupied 
controlling locomotive.
    (4) Any train not described in paragraph (b) of this section that 
transports hazardous material required to be placarded under the 
provisions of part 172 of this title shall be equipped with working 
wireless communications in the occupied controlling locomotive.



Sec. 220.11  Requirements for roadway workers.

    (a) On and after July 1, 1999, the following requirements apply to a 
railroad that has 400,000 or more annual employee work hours:
    (1) Maintenance-of-way equipment operating without locomotive 
assistance between work locations shall have a working radio on at least 
one such unit in each multiple piece of maintenance-of-way equipment 
traveling together under the same movement authority. The operators of 
each additional piece of maintenance-of-way equipment shall have 
communications capability with each other.

(2) Each maintenance-of-way work group shall have intra-group 
communications capability upon arriving at a work site.
    (b) On and after July 1, 1999, each employee designated by the 
employer to provide on-track safety for a roadway work group or groups, 
and each lone worker, shall be provided, and where practicable, shall 
maintain immediate access to a working radio. When immediate access to a 
working radio is not available, the employee responsible for on-track 
safety or lone worker shall be equipped with a radio capable of 
monitoring transmissions from train movements in the vicinity. A 
railroad with fewer than 400,000 annual employee work hours may provide 
immediate access to working wireless communications as an alternative to 
a working radio.
    (c) This section does not apply to:
    (1) Railroads which have fewer than 400,000 annual employee work 
hours,

[[Page 259]]

and which do not operate trains in excess of 25 miles per hour; or
    (2) Railroad operations where the work location of the roadway work 
group or lone worker:
    (i) Is physically inaccessible to trains; or
    (ii) Has no through traffic or traffic on adjacent tracks during the 
period when roadway workers will be present.



Sec. 220.13  Reporting emergencies.

    (a) Employees shall immediately report by the quickest means 
available derailments, collisions, storms, wash-outs, fires, 
obstructions to tracks, and other hazardous conditions which could 
result in death or injury, damage to property or serious disruption of 
railroad operations.
    (b) In reporting emergencies, employees shall follow:
    (1) The procedures of Sec. 220.47 when using a radio; or
    (2) The procedures specified for reporting emergencies in the 
railroad's timetables or timetable special instructions, when using 
another means of wireless communications.
    (c) Employees shall describe as completely as possible the nature, 
degree and location of the hazard.
    (d) An alternative means of communications capability shall be 
provided whenever the control center is unattended or unable to receive 
radio transmissions during a period in which railroad operations are 
conducted.



         Subpart B--Radio and Wireless Communication Procedures



Sec. 220.21  Railroad operating rules; radio communications; recordkeeping.

    (a) The operating rules of each railroad with respect to radio 
communications shall conform to the requirements of this part.
    (b) Thirty days before commencing to use radio communications in 
connection with railroad operations each railroad shall retain one copy 
of its current operating rules with respect to radio communications at 
the locations prescribed in paragraphs (b) (1) and (b)(2) of this 
section. Each amendment to these operating rules shall be filed at such 
locations within 30 days after it is issued. These records shall be made 
available to representatives of the Federal Railroad Administration for 
inspection and photocopying during normal business hours.
    (1) Each Class I railroad, each Class II railroad, each railroad 
providing intercity rail passenger service, and each railroad providing 
commuter service in a metropolitan or suburban area shall retain such 
rules at each of its division headquarters and at its system 
headquarters; and (2) Each Class III railroad and any other railroad 
subject to this part but not subject to paragraph (b)(1) of this section 
shall retain such rules at the system headquarters of the railroad.
    (c) For purposes of this section, the terms Class I railroad, Class 
II railroad, and Class III railroad have the meaning given these terms 
in 49 CFR Part 1201.



Sec. 220.23  Publication of radio information.

    Each railroad shall designate where radio base stations are 
installed, where wayside stations may be contacted, and the appropriate 
radio channels used by these stations in connection with railroad 
operations by publishing them in a timetable or special instruction. The 
publication shall indicate the periods during which base and wayside 
radio stations are operational.



Sec. 220.25  Instruction and operational testing of employees.

    Each employee who a railroad authorizes to use a radio in connection 
with a railroad operation, shall be:
    (a) Provided with a copy of the railroad's operating rules governing 
the use of radio communication in a railroad operation;
    (b) Instructed in the proper use of radio communication as part of 
the program of instruction prescribed in Sec. 217.11 of this chapter; 
and
    (c) Periodically tested under the operational testing requirements 
in Sec. 217.9 of this chapter.



Sec. 220.27  Identification.

    (a) Except as provided in paragraph (c) of this section, the 
identification of each wayside, base or yard station shall include at 
least the following

[[Page 260]]

minimum elements, stated in the order listed:
    (1) Name of railroad. An abbreviated name or initial letters of the 
railroad may be used where the name or initials are in general usage and 
are understood in the railroad industry; and
    (2) Name and location of office or other unique designation.
    (b) Except as provided in paragraph (c) of this section, the 
identification of each mobile station shall consist of the following 
elements, stated in the order listed:
    (1) Name of railroad. An abbreviated name or initial letters of the 
railroad may be used where the name or initial letters are in general 
usage and are understood in the railroad industry;
    (2) Train name (number), if one has been assigned, or other 
appropriate unit designation; and
    (3) When necessary, the word ``locomotive'', ``motorcar'', or other 
unique identifier which indicates to the listener the precise mobile 
transmitting station.
    (c) If positive identification is achieved in connection with 
switching, classification, and similar operations wholly within a yard, 
fixed and mobile units may use short identification after the initial 
transmission and acknowledgment consistent with applicable Federal 
Communications Commission regulations governing ``Station 
Identification''.



Sec. 220.29  Statement of letters and numbers in radio communications.

    (a) If necessary for clarity, a phonetic alphabet shall be used to 
pronounce any letter used as an initial, except initial letters of 
railroads. See appendix A of this part for the recommended phonetic 
alphabet.
    (b) A word which needs to be spelled for clarity, such as a station 
name, shall first be pronounced, and then spelled. If necessary, the 
word shall be spelled again, using a phonetic alphabet.
    (c) Numbers shall be spoken by digit, except that exact multiples of 
hundreds and thousands may be stated as such. A decimal point shall be 
indicated by the words ``decimal,'' ``dot,'' or ``point.'' (See appendix 
B to this part, for a recommended guide to the pronunciation of 
numbers.)



Sec. 220.31  Initiating a radio transmission.

            Before transmitting by radio, an employee shall:

    (a) Listen to ensure that the channel on which the employee intends 
to transmit is not already in use;
    (b) Identify the employee's station in accordance with the 
requirements of Sec. 220.27; and
    (c) Verify that the employee has made radio contact with the person 
or station with whom the employee intends to communicate by listening 
for an acknowledgment. If the station acknowledging the employee's 
transmission fails to identify itself properly, the employee shall 
require a proper identification before proceeding with the transmission.



Sec. 220.33  Receiving a radio transmission.

    (a) Upon receiving a radio call, an employee shall promptly 
acknowledge the call, identifying the employee's station in accordance 
with the requirements of Sec. 220.27 and stand by to receive. An 
employee need not attend the radio during the time that this would 
interfere with other immediate duties relating to the safety of railroad 
operations.
    (b) An employee who receives a transmission shall repeat it to the 
transmitting party unless the communication:
    (1) Relates to yard switching operations;
    (2) Is a recorded message from an automatic alarm device; or
    (3) Is general in nature and does not contain any information, 
instruction or advice which could affect the safety of a railroad 
operation.



Sec. 220.35  Ending a radio transmission.

    (a) Except for transmissions relating to yard switching operations, 
at the close of each transmission to which a response is expected, the 
transmitting employee shall say ``over'' to indicate to the receiving 
employee that the transmission is ended.

[[Page 261]]

    (b) Except for transmissions relating to yard switching operations, 
at the close of each transmission to which no response is expected, the 
transmitting employee shall state the employee's identification followed 
by the word ``out'' to indicate to the receiving employee that the 
exchange of transmissions is complete.



Sec. 220.37  Testing radio and wireless communication equipment.

    (a) Each radio, and all primary and redundant wireless communication 
equipment used under Secs. 220.9 and 220.11, shall be tested as soon as 
practicable to ensure that the equipment functions as intended prior to 
the commencement of the work assignment.
    (b) The test of a radio shall consist of an exchange of voice 
transmissions with another radio. The employee receiving the 
transmission shall advise the employee conducting the test of the 
clarity of the transmission.



Sec. 220.38  Communication equipment failure.

    (a) Any radio or wireless communication device found not to be 
functioning as intended when tested pursuant to Sec. 220.37 shall be 
removed from service and the dispatcher or other employee designated by 
the railroad shall be so notified as soon as practicable.
    (b) If a radio or wireless communication device fails on the 
controlling locomotive en route, the train may continue until the 
earlier of--
    (1) The next calendar day inspection, or
    (2) The nearest forward point where the radio or wireless 
communication device can be repaired or replaced.



Sec. 220.39  Continuous radio monitoring.

    Each radio used in a railroad operation shall be turned on to the 
appropriate channel as designated in Sec. 220.23 and adjusted to receive 
communications.



Sec. 220.41  [Reserved]



Sec. 220.43  Radio communications consistent with federal regulations and railroad operating rules.

    Radio communication shall not be used in connection with a railroad 
operation in a manner which conflicts with the requirements of this 
part, Federal Communication Commission regulations, or the railroad's 
operating rules. The use of citizen band radios for railroad operating 
purposes is prohibited.



Sec. 220.45  Radio communication shall be complete.

    Any radio communication which is not fully understood or completed 
in accordance with the requirements of this part and the operating rules 
of the railroad, shall not be acted upon and shall be treated as though 
not sent.



Sec. 220.47  Emergency radio transmissions.

    An initial emergency radio transmission shall be preceded by the 
word ``emergency,'' repeated three times. An emergency transmission 
shall have priority over all other transmissions and the frequency or 
channel shall be kept clear of non-emergency traffic for the duration of 
the emergency communication.



Sec. 220.49  Radio communication used in shoving, backing or pushing movements.

    When radio communication is used in connection with the shoving, 
backing or pushing of a train, locomotive, car, or on-track equipment, 
the employee directing the movement shall specify the distance of the 
movement, and the movement shall stop in one-half the remaining distance 
unless additional instructions are received. If the instructions are not 
understood, the movement shall be stopped immediately and may not be 
resumed until the misunderstanding has been resolved, radio contact has 
been restored, or communication has been achieved by hand signals or 
other procedures in accordance with the operating rules of the railroad.



Sec. 220.51  Radio communications and signal indications.

    (a) No information may be given by radio to a train or engine crew 
about the position or aspect displayed by a fixed signal. However, a 
radio may be

[[Page 262]]

used by a train crew member to communicate information about the 
position or aspect displayed by a fixed signal to other members of the 
same crew.
    (b) Except as provided in the railroad's operating rules, radio 
communication shall not be used to convey instructions which would have 
the effect of overriding the indication of a fixed signal.



Sec. 220.61  Radio transmission of mandatory directives.

    (a) Each mandatory directive may be transmitted by radio only when 
authorized by the railroad's operating rules. The directive shall be 
transmitted in accordance with the railroad's operating rules and the 
requirements of this part.
    (b) The procedure for transmission of a mandatory directive is as 
follows:
    (1) The train dispatcher or operator shall call the addressees of 
the mandatory directive and state the intention to transmit the 
mandatory directive.
    (2) Before the mandatory directive is transmitted, the employee to 
receive and copy shall state the employee's name, identification, 
location, and readiness to receive and copy. An employee operating the 
controls of moving equipment shall not receive and copy mandatory 
directives. A mandatory directive shall not be transmitted to employees 
on moving equipment, if such directive cannot be received and copied 
without impairing safe operation of the equipment.
    (3) A mandatory directive shall be copied in writing by the 
receiving employee in the format prescribed in the railroad's operating 
rules.
    (4) After the mandatory directive has been received and copied, it 
shall be immediately repeated in its entirety. After verifying the 
accuracy of the repeated mandatory directive, the train dispatcher or 
operator shall then state the time and name of the employee designated 
by the railroad who is authorized to issue mandatory directives. An 
employee copying a mandatory directive shall then acknowledge by 
repeating the time and name of the employee so designated by the 
railroad.
    (5)(i) For train crews, before a mandatory directive is acted upon, 
the conductor and engineer shall each have a written copy of the 
mandatory directive and make certain that the mandatory directive is 
read and understood by all members of the crew who are responsible for 
the operation of the train. Mandatory directives which have been 
fulfilled or canceled shall be marked with an ``X'' or in accordance 
with the railroad's operating rules, and retained for the duration of 
the train crew's work assignment.
    (ii) For on-track equipment, before a mandatory directive is acted 
upon, the employee responsible for on-track safety shall have a written 
copy of the mandatory directive, and make certain that the mandatory 
directive is acknowledged by all employees who are responsible for 
executing that mandatory directive. The employee responsible for on-
track safety shall retain a copy of the mandatory directive while it is 
in effect.
    (6) A mandatory directive which has not been completed or which does 
not comply with the requirements of the railroad's operating rules and 
this part, may not be acted upon and shall be treated as though not 
sent. Information contained in a mandatory directive may not be acted 
upon by persons other than those to whom the mandatory directive is 
addressed.

          Appendix A to Part 220--Recommended Phonetic Alphabet

A--ALFA
B--BRAVO
C--CHARLIE
D--DELTA
E--ECHO
F--FOXTROT
G--GOLF
H--HOTEL
I--INDIA
J--JULIET
K--KILO
L--LIMA
M--MIKE
N--NOVEMBER
O--OSCAR
P--PAPA
Q--QUEBEC
R--ROMEO
S--SIERRA
T--TANGO
U--UNIFORM
V--VICTOR
W--WHISKEY
X--XRAY
Y--YANKEE
Z--ZULU

[[Page 263]]

    The letter ``ZULU'' should be written as ``Z'' to distinguish it 
from the numeral ``2''.

    Editorial Note: At 63 FR 11621, Mar. 10, 1998, an amendment was 
published amending footnote 1 to appendix A of part 220. The amendment 
could not be incorporated because footnote 1 to appendix A of part 220 
in 49 CFR parts 200 to 399, revised as of Oct. 1, 1997, does not exist.

      Appendix B to Part 220--Recommended Pronunciation of Numerals

    To distinguish numbers from similar sounding words, the word 
``figures''should be used preceding such numbers. Numbers should be 
pronounced as follows:

------------------------------------------------------------------------
                  Number                               Spoken
------------------------------------------------------------------------
0........................................  ZERO.
1........................................  WUN.
2........................................  TOO.
3........................................  THUH-REE-.
4........................................  FO-WER.
5........................................  FI-YIV.
6........................................  SIX.
7........................................  SEVEN.
8........................................  ATE.
9........................................  NINER.
------------------------------------------------------------------------

    (The figure ZERO should be written as ``0'' to distinguish it from 
the letter ``O''. The figure ONE should be underlined to distinguish it 
from the letter ``I''. When railroad rules require that numbers be 
spelled, these principles do not apply.)
    The following examples illustrate the recommended pronunciation of 
numerals:

------------------------------------------------------------------------
                 Number                               Spoken
------------------------------------------------------------------------
44.....................................  FO-WER FO-WER.
500....................................  FI-YIV HUNDRED.
1000...................................  WUN THOUSAND.
1600...................................  WUN SIX HUNDRED.
14899..................................  WUN FO-WER ATE
                                         NINER NINER.
20.3...................................  TOO ZERO DECIMAL
                                         THUH-REE.
------------------------------------------------------------------------


         Appendix C to Part 220--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
220.9 Requirements for trains...........          $5,000          $7,500
220.11 Requirements for roadway workers.           5,000           7,500
220.21 Railroad Operating rules; radio
 communications.........................
(a).....................................           5,000           7,500
(b).....................................           2,500           5,000
220.23 Publication of radio information.           2,500           5,000
220.25 Instruction of employees.........           5,000           7,500
220.27 Identification...................           1,000           2,000
220.29 Statement of letters and numbers.           1,000           2,000
220.31 Initiating a transmission........           1,000           2,000
220.33 Receiving a transmission.........           1,000           2,000
220.35 Ending a transmission............           1,000           2,000
220.37 Voice test.......................           5,000           7,500
220.39 Continuous monitoring............           2,500           5,000
220.41 [Reserved].......................  ..............  ..............
220.43 Communication consistent with the           2,500           5,000
 rules..................................
220.45 Complete communications..........           2,500           5,000
220.47 Emergencies......................           2,500           5,000
220.49 Switching, backing or pushing....           5,000           7,500
220.51 Signal indications...............           5,000           7,500
220.61 Radio transmission of mandatory             5,000           7,500
 directives.............................
------------------------------------------------------------------------
\1\ A penalty may be assessed against and only for a willful violation.
  The Administrator reserves the right to assess a penalty of up to
  $22,000 for any violation where circumstances warrant. See 49 CFR part
  209, appendix A.


[[Page 264]]



PART 221--REAR END MARKING DEVICE--PASSENGER, COMMUTER AND FREIGHT TRAINS--Table of Contents




                           Subpart A--General

Sec.
221.1  Scope.
221.3  Application.
221.5  Definitions.
221.7  Civil penalty
221.9  Waivers.
221.11  State regulation.

                       Subpart B--Marking Devices

221.13  Marking device display.
221.14  Marking devices.
221.15  Marking device inspection.
221.16  Inspection procedure.
221.17  Movement of defective equipment.

Appendix A to Part 221--Procedures for Approval of Rear End Marking 
          Devices
Appendix B to Part 221--Approved Rear End Marking Devices
Appendix C to Part 221--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20103, 20107 and 49 CFR 1.49.

    Source: 42 FR 2321, Jan. 11, 1977, unless otherwise noted.



                           Subpart A--General



Sec. 221.1  Scope.

    This part prescribes minimum requirements governing highly visible 
marking devices for the trailing end of the rear car of all passenger, 
commuter and freight trains. So long as these minimum requirements are 
met, railroads may adopt additional or more stringent requirements for 
rear end marking devices.



Sec. 221.3  Application.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to passenger, commuter and freight trains when operated on a 
standard gage main track which is part of the general railroad system of 
transportation.
    (b) This part does not apply to:
    (1) A railroad that operates only trains consisting of historical or 
antiquated equipment for excursion, educational, or recreational 
purposes;
    (2) A train that operates only on track inside an installation which 
is not part of the general railroad system of transportation;
    (3) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation.
    (4) A railroad that operates only one train at any given time.

[42 FR 2321, Jan. 11, 1977, as amended at 53 FR 28600, July 28, 1988]



Sec. 221.5  Definitions.

    As used in this part:
    (a) Train means a locomotive unit or locomotive units coupled, with 
or without cars, involved in a railroad operation conducted on a main 
track. It does not include yard movements.
    (b) Commuter train means a short haul passenger train operating on 
track which is part of the general railroad system of transportation, 
within an urban, suburban or metropolitan area. It includes a passenger 
train provided by an instrumentality of a State or political subdivision 
thereof.
    (c) Locomotive means a self-propelled unit of equipment designed for 
moving other equipment in revenue service and includes a self-propelled 
unit designed to carry freight or passenger traffic, or both.
    (d) Main track means a track, other than an auxiliary track, 
extending through yards or between stations, upon which trains are 
operated by timetable or train order or both, or the use of which is 
governed by a signal system.
    (e) Train order means mandatory directives issued as authority for 
the conduct of a railroad operation outside of yard limits.
    (f) Red-orange-amber color range means those colors defined by 
chromaticity coordinates, as expressed in terms of the International 
Commission on Illumination's 1931 Colormetric System, which lie within 
the region bounded by the spectrum locus and lines defined by the 
following equations:

                        X+Y=.97 (white boundary)

                        Y=X--.12 (green boundary)

    (g) Administrator means the Federal Railroad Administrator, the 
Deputy Administrator, or any official of the Federal Railroad 
Administration to

[[Page 265]]

whom the Administrator has delegated his authority under this part.
    (h) Effective intensity means that intensity of a light in candela 
as defined by the Illuminating Engineering Society's Guide for 
Calculating the Effective Intensity of Flashing Signal Lights, November, 
1964.
    (i) Qualified person means any person who has the skill to perform 
the task and has received adequate instruction.

[42 FR 2321, Jan. 11, 1977; 42 FR 3843, Jan. 21, 1977, as amended at 51 
FR 25185, July 10, 1986]



Sec. 221.7  Civil penalty.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix C to this part for a 
statement of agency civil penalty policy.

[53 FR 28600, July 28, 1988, as amended at 53 FR 52930, Dec. 29, 1988; 
63 FR 11621, Mar. 10, 1998]



Sec. 221.9  Waivers.

    (a) A railroad may petition the Federal Railroad Administrator for a 
waiver of compliance with any requirement prescribed in this part.
    (b) Each petition for a waiver under this section must be filed in 
the manner and contain the information required by part 211 of this 
chapter.
    (c) If the Administrator finds that a waiver of compliance is in the 
public interest and is consistent with railroad safety, he may grant the 
waiver subject to any condition he deems necessary. Notice of each 
waiver granted, including a statement of the reasons therefor, will be 
published in the Federal Register.



Sec. 221.11  State regulation.

    Notwithstanding the provisions of this part, a State may continue in 
force any law, rule, regulation, order, or standard that was in effect 
on July 8, 1976, relating to lighted marking devices on the rear car of 
freight trains except to the extent that such law, rule, regulation, 
order, or standard would cause such cars to be in violation of this 
part.



                       Subpart B--Marking Devices



Sec. 221.13  Marking device display.

    (a) During the periods prescribed in paragraph (b) of this section, 
each train to which this part applies that occupies or operates on main 
track shall (1) be equipped with, (2) display on the trailing end of the 
rear car of that train, and (3) continuously illuminate or flash a 
marking device prescribed in this subpart.
    (b) Unless equipped with a functioning photoelectric cell activation 
mechanism complying with paragraph (c) of this section, the marking 
devices prescribed by this subpart shall be illuminated continuously or 
flash during the period between one hour before sunset and one hour 
after sunrise, and during all other hours when weather conditions so 
restrict visibility that the end silhouette of a standard box car cannot 
be seen from \1/2\ mile on tangent track by a person having 20/20 
corrected vision.
    (c) Marking devices prescribed by this part and equipped with a 
functioning photoelectric cell activation mechanism shall illuminate or 
flash the device continuously when there is less than 1.0 candela per 
square meter of ambient light.

[[Page 266]]

    (d) The centroid of the marking device must be located at a minimum 
of 48 inches above the top of the rail.

[51 FR 25185, July 10, 1986]



Sec. 221.14  Marking devices.

    (a) As prescribed in Sec. 221.13, passenger, commuter and freight 
trains shall be equipped with at least one marking device, which has 
been approved by the Federal Railroad Adminstrator in accordance with 
the procedures included in appendix A of this part, and which has the 
following characteristics:
    (1) An intensity of not less than 100 candela nor more than 1000 
candela (or an effective intensity of not less than 100 candela nor more 
than 1000 candela for flashing lights) as measured at the center of the 
beam width;
    (2) A horizontal beam with a minimum arc width of fifteen (15) 
degrees each side of the vertical center line, and a vertical beam with 
a minimum arc width of five (5) degrees each side of the horizontal 
center line as defined in terms of the 50 candela intensity points;
    (3) A color defined by the red-orange-amber color range; and
    (4) If a flashing light is used, a flash rate of not less than once 
every 1.3 seconds nor more than once every .7 seconds.
    (b) Marking devices used on passenger and commuter trains in 
compliance with paragraph (a) of this section shall be lighted under the 
conditions prescribed in Sec. 221.13 (b) and (c).
    (c) When a locomotive is operated singly, or at the rear of a train, 
highly visible marking devices may be provided by the use of:
    (1) At least one marking device that complies with paragraph (a) of 
this section; or
    (2) At least one illuminated red or amber classification light on 
the rear of the locomotive, provided it complies with paragraph (a) of 
this section; or
    (3) The rear headlight of the locomotive illuminated on low beam.

[51 FR 25185, July 10, 1986]



Sec. 221.15  Marking device inspection.

    (a) Each marking device displayed in compliance with this part shall 
be examined at each crew change point to assure that the device is in 
proper operating condition.
    (b) This examination shall be accomplished either by visually 
observing that the device is functioning as required or that the device 
will function when required by either (1) repositioning the activation 
switch or (2) covering the photoelectric cell.
    (c) This examination shall be conducted either by the train crew or 
some other qualified person, Provided that, if a non-train crewmember 
performs the examination, that person shall communicate his or her 
findings to the locomotive engineer of the new train crew.
    (d) When equipped with a radio telemetry capability, a marker 
displayed in accordance with this part may be examined by observing the 
readout information displayed in the cab of the controlling locomotive 
demonstrating that the light is functioning as required in lieu of 
conducting a visual observation.

[51 FR 25185, July 10, 1986]



Sec. 221.16  Inspection procedure.

    (a) Prior to operating the activation switch or covering the 
photoelectric cell when conducting this test, a non-train crew person 
shall determine that he is being protected against the unexpected 
movement of the train either under the procedures established in part 
218 of this chapter or under the provisions of paragraph (b) of this 
section.
    (b) In order to establish the alternative means of protection under 
this section, (1) the train to be inspected shall be standing on a main 
track; (2) the inspection task shall be limited to ascertaining that the 
marker is in proper operating condition; and (3) prior to performing the 
inspection procedure, the inspector shall personally contact the 
locomotive engineer or hostler and be advised by that person that they 
are occupying the cab of the controlling locomotive and that the train 
is and will remain secure against movement until the inspection has been 
completed.

[51 FR 25185, July 10, 1986]

[[Page 267]]



Sec. 221.17  Movement of defective equipment.

    (a) Whenever the marking device prescribed in this part becomes 
inoperative enroute, the train may be moved to the next forward location 
where the marking device can be repaired or replaced.
    (b) Defective rolling equipment which, because of the nature of the 
defect, can be placed only at the rear of a train for movement to the 
next forward location at which repairs can be made need not be equipped 
with marking devices prescribed in this part.
    (c) When a portion of a train has derailed, and a portable marking 
device is not available, the remainder of the train may be moved to the 
nearest terminal without being equipped with the marking device 
prescribed in this part.

  Appendix A to Part 221--Procedures for Approval of Rear End Marking 
                                 Devices

    As provided in Sec. 221.15 of this part, marking devices must be 
approved by the Administrator, Approval shall be issued in accordance 
with the following procedures:
    (a) Each submission for approval of a marking device consisting of 
lighted elements only shall contain the following information:
    (1) A detailed description of the device including the type, 
luminance description, size of lens, manufacturer and catalog number, 
lamp manufacturer, lamp type and model number, and any auxiliary optics 
used.
    (2) A certification, signed by the chief operating officer of the 
railroad, that--
    (i) The device described in the submission has been tested in 
accordance with the current ``Guidelines for Testing of FRA Rear End 
Marking Devices,'' copies of which may be obtained from the Office of 
Safety, Federal Railroad Administration, 2100 Second Street SW., 
Washington, DC 20590;
    (ii) The results of the tests performed under paragraph (i) of this 
subsection demonstrate marking device performance in compliance with the 
standard perscribed in 49 CFR 221.15;
    (iii) Detailed test records, including as a minimum the name and 
address of the testing organizations, the name of the individual in 
charge of the tests, a narrative description of the test procedures, the 
number of samples tested, and for each sample tested, the on-axis beam 
candela, the beam candela at the plus-minus15 degree points 
in the horizontal plane, the beam candela at the plus-minus5 
degree points in the vertical plane, and the chromaticity coordinates, 
are maintained by the railroad and are available for inspection by the 
FRA at a designated location which is identified in the submission;
    (iv) Marking devices of this type installed in the operating 
environment shall consist of the same type and model of components as 
were used in the samples tested for purposes of this approval 
submission.
    (3) Unless otherwise qualified, acknowledgement of the receipt of 
the submission required by this section shall constitute approval of the 
device. The FRA reserves the right to review the test records maintained 
by the railroad, or to test independently any device submitted for 
approval under these procedures, and to withdraw the approval of such 
device at any time, after notice and opportunity for oral comment, if 
its performance in the operating environment fails to substantiate the 
rest results or to comply with 49 CFR 221.15.
    (b)(1) Each submission for approval of a marking device consisting 
of non-lighted elements or a combination of lighted and non-lighted 
elements shall contain the following information:
    (i) A detailed description of the device including the type of 
material, the reflectance factor, the size of the device, and the 
manufacturer and catalogue number;
    (ii) A detailed description of the external litht source including 
the intensity throughout its angle of coverage, and the manufacturer and 
catalogue number;
    (iii) A detailed description of the proposed test procedure to be 
used to demonstrate marking device compliance with the standard 
prescribed in 49 CFR 221.15, including any detailed mathematical data 
reflecting expected performance.
    (2) FRA will review the data submitted under subsection (1) of this 
section, and in those instances in which compliance with 49 CFR 221.15 
appears possible from a theoretical analysis, the FRA will authorize and 
may take part in testing to demonstrate such compliance.
    (3) Where authorized testing has demonstrated compliance with 49 CFR 
221.15, a railroad shall submit a certification, signed by the chief 
operating officer of the railroad, that--
    (i) The device described in the original submission has been tested 
in accordance with the procedures described therein;
    (ii) The results of the tests peformed under paragraph (i) of this 
subsection demonstrate marking device performance in compliance with the 
standard prescribed in 49 CFR 221.15;
    (iii) Detailed test records, including as a minimum the name and 
address of the testing organization, the name of the individual in 
charge of the tests, a narrative description of the test procedure, a 
description of the external light source used, the number of samples 
tested, and for each sample tested,

[[Page 268]]

the on-axis beam candela, the beam candela at the 
plus-minus15 degree points in the horizontal plane, the beam 
candela at the plus-minus15 degree point in the vertical 
plane, and the chromaticity coordinates, are maintained by the railroad 
and are available for inspection by the FRA at a designated location 
which is identified in the submission;
    (iv) Marking devices of this type installed in the operating 
environment and the external light source used to illuminate them shall 
consist of the same type and model of components as were used in the 
samples tested for purposes of this approval submission.
    (4) Unless otherwise qualified, acknowledgement of the receipt of 
the submission required by this subsection shall constitute approval of 
the device. The FRA reserves the right to review the test records 
maintained by the railroad, or to test independently any device 
submitted for approval under these procedures, and to disapprove the use 
of such device at any time if its performance fails to comply with 49 
CFR 221.15.
    (c) Whenever a railroad elects to use a marking device which has 
been previously approved by the FRA, and is included in the current list 
in appendix B to this part, the submission shall contain the following 
information:
    (1) The marking device model designation as it appears in appendix 
B.
    (2) A certification, signed by the chief operating officer of the 
railroad that--
    (i) Marking devices of this type installed in the operating 
environment shall consist of the same type and model of components as 
were used in the samples tested for the original approval.
    (d) Each submission for approval of a marking device shall be filed 
in triplicate with the Office of Standards and Procedures, Office of 
Safety, Federal Railroad Administration, 2100 Second Street SW., 
Washington, DC 20590.

[42 FR 62004, Dec. 8, 1977]

        Appendix B to Part 221--Approved Rear End Marking Devices

         part i--approved devices tested for or by manufacturers

    1. Manufacturer: Star Headlight & Lantern Co., 168 West Main Street, 
Honeoye Falls, NY 14472.
    FRA identification Nos. FRA-PLE-STAR-845-F (flasher) and FRA-PLE-
STAR-845-C (steady burn).
    2. Manufacturer: Julian A. McDermott Corp., 1639 Stephen Street, 
Ridgewood, Long Island, NY 11227.
    FRA identification Nos. FRA-MEC-MCD-100-C (steady burn), FRA-MEC-
MCD-100-F (flasher), FRA-MEC-MCD-300-C (steady burn), and FRA-MEC-MCD-
300-F (flasher).
    3. Manufacturer: American Electronics, Inc.,140 Essex 
Street, Hackensack, NJ 07601.
---------------------------------------------------------------------------

    1 Note: Yankee Metal Products Corp. previously produced 
these devices.
---------------------------------------------------------------------------

    FRA identification Nos. FRA-DRGW-YANK-300 (portable strobe), FRA-WP-
YANK-301R (flashing), FRA-WP-YANK-305R (flashing), and FRA-WP-YANK-306R 
(steady burn).

        part ii--approved devices tested for or by rail carriers

    1. Carrier: Atchison, Topeka & Santa Fe Railway Co., Technical 
Research & Development Department, 1001 Northeast Atchison Street, 
Topeka, Kans. 66616.
    Manufacturer: Trans-Lite, Inc., P.O. Box 70, Milford, Conn. 06460.
    FRA identification Nos. FRA-ATSF-TL-875-150, FRA-ATSF-TL-875-60, 
FRA-ATSF-TL-875-4412, and FRA-ATSF-TL-200.
    2. Carrier: Amtrak--National Railroad Passenger Corporation, 400 
North Capitol Street NW., Washington, DC 20001.
    Manufacturer: (a) Trans-Lite, Inc., P.O. Box 70, Milford, Conn. 
06460.
    FRA identification Nos. FRA-ATK-TL-3895-1, FRA-ATK-TL-4491-2, FRA-
ATK-TL-4491-3, and FRA-ATK-TL-FM-4491-1.
    Manufacturer: (b) Luminator Division of Gulfton Industries, Inc., 
1200 East Dallas North Parkway, Plano, Tex. 75074.
    FRA identification No. FRA-ATK-LUM-0101890-001.
    Manufacturer: (c) Whelen Engineering Co., Inc., Deep River, Conn. 
06417.
    FRA identification No. FRA-ATK-WHE-WERT-12.

[43 FR 36447, Aug. 17, 1978]

         Appendix C to Part 221--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
221.13  Marking device display:
    (a) device not present, not displayed, or        $5,000       $7,500
     not properly illuminated.................
    (d) device too close to rail..............        1,000        2,000
221.14  Marking devices: Use of unapproved or         2,500        5,000
 noncomplying device..........................
221.15  Marking device inspection:
    (a) Failure to inspect at crew change.....        2,500        5,000
    (b), (c) improper inspection..............        2,500        5,000
221.16  Inspection procedure:
    (a) Failure to obtain protection..........        5,000        7,500
    (b) Improper protection...................        2,500        5,000

[[Page 269]]

 
221.17  Movement of defective equipment.......        (\1\)        (\1\)
------------------------------------------------------------------------
\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 $20,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A. Where the conditions for movement of
  defective equipment set forth in Sec.  221.17 of this part are not
  met, the movement constitutes a violation of Sec.  221.13 of this
  part.


[53 FR 52930, Dec. 29, 1988]



PART 223--SAFETY GLAZING STANDARDS--LOCOMOTIVES, PASSENGER CARS AND CABOOSES--Table of Contents




                           Subpart A--General

Sec.
223.1  Scope.
223.3  Application.
223.5  Definitions.
223.7  Responsibility.

                    Subpart B--Specific Requirements

223.8  Additional requirements for passenger equipment.
223.9  Requirements for new or rebuilt equipment.
223.11  Requirements for existing locomotives.
223.13  Requirements for existing cabooses.
223.15  Requirements for existing passenger cars.
223.17  Identification of equipped locomotives, passenger cars and 
          cabooses.

Appendix A to Part 223--Certification of Glazing Materials
Appendix B to Part 223--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20102-03, 20133, 20701-20702, 21301-02, 21304; 
49 CFR 1.49(c), (m).



                           Subpart A--General



Sec. 223.1  Scope.

    This part provides minimum requirements for glazing materials in 
order to protect railroad employees and railroad passengers from injury 
as a result of objects striking the windows of locomotives, caboose and 
passenger cars.

[44 FR 77352, Dec. 31, 1979]



Sec. 223.3  Application.

    (a) This part applies to railroads that operate rolling equipment on 
standard gauge track that is a part of the general railroad system of 
transportation.
    (b) This part does not apply to--
    (1) Locomotives, cabooses, and passenger cars that operate only on 
track inside an installation that is not part of the general railroad 
system of transportation;
    (2) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation.
    (3) Locomotives, passenger cars and cabooses that are historical or 
antiquated equipment and are used only for excursion, educational, 
recreational purposes or private transportation purposes.
    (4) Locomotives that are used exclusively in designated service as 
defined in Sec. 223.5(m).

[44 FR 77352, Dec. 31, 1979, as amended at 53 FR 28600, July 28, 1988]



Sec. 223.5  Definitions.

    As used in this part--
    Administrator means the Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Caboose means a car in a freight train intended to provide 
transportation for crewmembers.
    Certified glazing means a glazing material that has been certified 
by the manufacturer as having met the testing requirements set forth in 
Appendix A of this part and that has been installed in such a manner 
that it will perform its intended function.
    Designated service means exclusive operation of a locomotive under 
the following conditions:
    (1) The locomotive is not used as an independent unit or the 
controlling unit is a consist of locomotives except when moving for the 
purpose of servicing or repair within a single yard area;
    (2) The locomotive is not occupied by operating or deadhead crews 
outside a single yard area; and
    (3) The locomotive is stenciled ``Designated Service--DO NOT 
OCCUPY''.
    Emergency responder means a member of a police or fire department, 
or other organization involved with public safety charged with providing 
or coordinating emergency services, who responds to a passenger train 
emergency.
    Emergency window means that segment of a side facing glazing 
location

[[Page 270]]

which has been designed to permit rapid and easy removal during a crisis 
situation.
    End facing glazing location means any location where a line 
perpendicular to the plane of the glazing material makes a horizontal 
angle of 50 degrees or less with the centerline of the locomotive, 
caboose or passenger car. Any location which, due to curvature of the 
glazing material, can meet the criteria for either a front facing 
location or a side facing location shall be considered a front facing 
location.
    FRA means the Federal Railroad Administration.
    Locomotive means a self-propelled unit of equipment designed 
primarily for moving other equipment. It does not include self-propelled 
passenger cars.
    Locomotive cab means that portion of the superstructure designed to 
be occupied by the crew while operating the locomotive.
    Passenger car means a unit of rail rolling equipment intended to 
provide transportation for members of the general public and includes 
self-propelled cars designed to carry baggage, mail, express or 
passengers. This term includes a passenger coach, cab car, and an MU 
locomotive. This term does not include a private car.
    Passenger train service means the transportation of persons (other 
than employees, contractors, or persons riding equipment to observe or 
monitor railroad operations) in intercity passenger service or commuter 
or other short-haul passenger service in a metropolitan or suburban 
area.
    Person includes all categories of entities covered under 1 U.S.C. 1, 
including, but not limited to, a railroad; any manager, supervisor, 
official, or other employee or agent of a railroad; any owner, 
manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any passenger, any trespasser or nontrespasser; any 
independent contractor providing goods or services to a railroad; and 
any employee of such owner, manufacturer, lessor, lessee, or independent 
contractor.
    Railroad means:
    (1) Any form of non-highway ground transportation that runs on rails 
or electromagnetic guideways, including
    (i) Commuter or other short-haul rail passenger service in a 
metropolitan or suburban area and commuter railroad service that was 
operated by the Consolidated Rail Corporation on January 1, 1979, and
    (ii) High speed ground transportation systems that connect 
metropolitan areas, without regard to whether those systems use new 
technologies not associated with traditional railroads, but does not 
include rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation and
    (2) A person that provides railroad transportation, whether directly 
or by contracting out operation of the railroad to another person.
    Rebuilt locomotive, caboose or passenger car means a locomotive, 
caboose or passenger car that has undergone overhaul which has been 
identified by the railroad as a capital expense under Surface 
Transportation Board accounting standards.
    Side facing glazing location means any location where a line 
perpendicular to the plane of the glazing material makes an angle of 
more than 50 degrees with the centerline of the locomotive, caboose or 
passenger car.
    Windshield means the combination of individual units of glazing 
material of the locomotive, passenger car, or caboose that are 
positioned in an end facing glazing location.
    Yard is a system of auxiliary tracks used exclusively for the 
classification of passenger or freight cars according to commodity or 
destination; assembling of cars for train movement; storage of cars; or 
repair of equipment.
    Yard caboose means a caboose that is used exclusively in a single 
yard area.
    Yard locomotive means a locomotive that is operated only to perform 
switching functions within a single yard area.

[63 FR 24675, May 4, 1998; 63 FR 36376, July 6, 1998]



Sec. 223.7  Responsibility.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or

[[Page 271]]

lessee of railroad equipment, track, or facilities; any independent 
contractor providing goods or services to a railroad; and any employee 
of such owner, manufacturer, lessor, lessee, or independent contractor) 
who violates any requirement of this part or causes the violation of any 
such requirement is subject to a civil penalty of at least $500 and not 
more than $11,000 per violation, except that: Penalties may be assessed 
against individuals only for willful violations, and, where a grossly 
negligent violation or a pattern of repeated violations has created an 
imminent hazard of death or injury to persons, or has caused death or 
injury, a penalty not to exceed $22,000 per violation may be assessed. 
Each day a violation continues shall constitute a separate offense. See 
appendix B to this part for a statement of agency civil penalty policy.

[53 FR 28601, July 28, 1988, as amended at 53 FR 52930, Dec. 29, 1988; 
63 FR 11621, Mar. 10, 1998]



                    Subpart B--Specific Requirements



Sec. 223.8  Additional requirements for passenger equipment.

    In addition to the requirements contained in this part, requirements 
for emergency window exits and window safety glazing on passenger 
equipment, as defined in Sec. 238.5 of this chapter, are also found in 
part 238 of this chapter.

[64 FR 25659, May 12, 1999]



Sec. 223.9  Requirements for new or rebuilt equipment.

    (a) Locomotives, including yard locomotives, built or rebuilt after 
June 30, 1980, must be equipped with certified glazing in all locomotive 
cab windows.
    (b) Cabooses, including yard cabooses, built or rebuilt after June 
30, 1980, must be equipped with certified glazing in all windows.
    (c) Passenger cars, including self-propelled passenger cars, built 
or rebuilt after June 30, 1980, must be equipped with certified glazing 
in all windows and at least four emergency opening windows.
    (d) Marking. Each railroad providing passenger train service shall 
ensure that for each passenger car, except for self-propelled cars 
designed to carry baggage, mail, or express:
    (1) Each emergency window is conspicuously and legibly marked with 
luminescent material on the inside of each car to facilitate passenger 
egress. Each such railroad shall post clear and legible operating 
instructions at or near each such exit.
    (2) Each window intended for emergency access by emergency 
responders for extrication of passengers is marked with a 
retroreflective, unique, and easily recognizable symbol or other clear 
marking. Each such railroad shall post clear and understandable window-
access instructions either at each such window or at each end of the 
car.

[44 FR 77352, Dec. 31, 1979, as amended at 45 FR 49271, July 24, 1980; 
63 FR 24675, May 4, 1998]



Sec. 223.11  Requirements for existing locomotives.

    (a) Locomotives, other than yard locomotives, built or rebuilt prior 
to July 1, 1980, which are equipped in the forward and rearward end 
facing glazing locations of the locomotive cab windshield with a glazing 
material that meets the criteria for either portion of the impact 
testing required for a Type I test under the provisions of appendix A of 
this part, will not require the installation of certified glazing in the 
windshield location except to replace windshield glazing material that 
is broken or damaged.
    (b) Locomotives, other than yard locomotives, built or rebuilt prior 
to July 1, 1980, which are equipped in all locomotive cab side facing 
glazing locations with a glazing material that meets the criteria for 
either portion of the impact testing required for a Type II test under 
the provisions of appendix A of this part, will not require the 
installation of certified glazing in the sidefacing glazing location 
except to replace sidefacing glazing material that is broken or damaged.
    (c) Except for yard locomotives and locomotives equipped as 
described in paragraphs (a) and (b), of this section, locomotives built 
or rebuilt prior to July 1, 1980, shall be equipped with certified 
glazing in all locomotive cab windows after June 30, 1984.

[[Page 272]]

    (d) Each locomotive subject to the provisions of paragraph (c) of 
this section which, as a result of an act of vandalism has a locomotive 
cab window that is broken or damaged so that the window fails to permit 
good visibility--
    (1) Shall be placed in Designated Service within 48 hours of the 
time of breakage or damage or
    (2) Shall be removed from service until equipped with certified 
glazing in the following manner:
    (i) If the broken or damaged window is a part of the windshield of 
the locomotive cab, all of the forward and rearward end facing glazing 
locations of the locomotive cab must be replaced with certified glazing.
    (ii) If the broken or damaged window is a part of the sidefacing 
window of the locomotive cab, all of the sidefacing glazing locations of 
the locomotive cab must be replaced with certified glazing.

(Sec. 209 of the Federal Railroad Safety Act, 94 Stat. 957 (45 U.S.C. 
438); sec. 1.49(m) of the regulations of the Office of the Secretary of 
Transportation, 49 CFR 1.49(m))

[45 FR 49271, July 24, 1980, as amended at 48 FR 24083, May 31, 1983; 48 
FR 56956, Dec. 27, 1983]



Sec. 223.13  Requirements for existing cabooses.

    (a) Cabooses, other than yard cabooses, built or rebuilt prior to 
July 1, 1980, which are equipped in the forward and rearward end facing 
glazing locations of the windshield with a glazing material that meets 
the criteria for either portion of the impact testing required for a 
Type I test under the provisions of appendix A of this part, will not 
require the installation of certified glazing in the windshield location 
except to replace windshield glazing material that is broken or damaged.
    (b) Cabooses, other than yard cabooses, built or rebuilt prior to 
July 1, 1980, which are equipped in all side facing glazing locations 
with a glazing material that meets the criteria for either portion of 
the impact testing required for a Type II test under the provisions of 
appendix A of this part, will not require the installation of certified 
glazing in the sidefacing glazing locations except to replace sidefacing 
glazing material that is broken or damaged.
    (c) Except for yard cabooses and cabooses equipped as described in 
paragraphs (a) and (b), cabooses built or rebuilt prior to July 1, 1980, 
shall be equipped with certified glazing in all windows after June 30, 
1984.
    (d) Each caboose subject to the provision of paragraph (c) of this 
section, which, as a result of an act of vandalism, has a window that is 
broken or damaged so that the window fails to permit good visibility 
shall be equipped with certified glazing in the following manner:
    (1) If the broken window is a part of the windshield, all of the 
forward and rearward end facing glazing locations must be replaced with 
certified glazing within 30 days of the date of breakage or damage.
    (2) If the broken window is a part of the sidefacing window, all of 
the sidefacing glazing locations must be replaced with certified glazing 
within 30 days of the date of breakage.

(Sec. 209 of the Federal Railroad Safety Act, 94 Stat. 957 (45 U.S.C. 
438); Sec. 1.49(m) of the regulations of the Office of the Secretary of 
Transportation, 49 CFR 1.49(m))

[44 FR 77352, Dec. 31, 1979, as amended at 48 FR 24083, May 31, 1983; 48 
FR 56956, Dec. 27, 1983]



Sec. 223.15  Requirements for existing passenger cars.

    (a) Passenger cars built or rebuilt prior to July 1, 1980, which are 
equipped in the forward and rearward end facing glazing locations of the 
windshield with a glazing material that meets the criteria for either 
portion of the impact testing required for a Type I test under the 
provisions of appendix A of this part will not require the installation 
of certified glazing in the windshield location except to replace 
windshield glazing material that is broken or damaged.
    (b) Passenger cars built or rebuilt prior to July 1, 1980, which are 
equipped in the sidefacing glazing locations with a glazing material 
that meets the criteria for either portion of the impact testing 
required for a Type II test under the provisions of appendix A of this 
part, will not require the installation of certified glazing except to

[[Page 273]]

replace sidefacing glazing material that is broken or damaged.
    (c) Except for passenger cars described in paragraphs (a) and (b), 
passenger cars built or rebuilt prior to July 1, 1980, shall be equipped 
with certified glazing in all windows and a minimum of four emergency 
windows after June 30, 1984.
    (d) Each passenger car subject to the provisions of paragraph (c) of 
this section which as a result of an act of vandalism, has a window that 
is broken or damaged so that the window fails to permit good visibility 
shall be equipped with certified glazing in the following manner:
    (1) When the broken window is a part of the windshield, all of the 
forward and rearward end facing glazing locations shall be replaced with 
certified glazing within 30 days of breakage.
    (2) When the broken window is a part of the sidefacing window, the 
glazing in that individual sidefacing glazing location shall be replaced 
with certified glazing within 30 days of the date of breakage.

(Sec. 209 of the Federal Railroad Safety Act, 94 Stat. 957 (45 U.S.C. 
438); sec. 1.49(m) of the regulations of the Office of the Secretary of 
Transportation, 49 CFR 1.49(m))

[44 FR 77352, Dec. 31, 1979, as amended at 48 FR 24083, May 31, 1983; 48 
FR 56956, Dec. 27, 1983]



Sec. 223.17  Identification of equipped locomotives, passenger cars and cabooses.

    Each locomotive, passenger car and caboose that is fully equipped 
with glazing materials that meet the requirements of this part shall be 
stencilled on an interior wall as follows:

``Fully Equipped FRA Part 223 glazing'' or similar words conveying that 
meaning in letters at least \3/8\ inch high.

[45 FR 49271, July 24, 1980]

       Appendix A to Part 223--Certification of Glazing Materials

    As provided in this part, certified glazing materials installed in 
locomotives, passenger cars, or cabooses must be certified by the 
glazing manufacturer in accordance with the following procedures:
    a. General Requirements
    (1) Each manufacturer that provides glazing materials, intended by 
the manufacturer for use in achieving compliance with the requirements 
of this part, shall certify that each type of glazing material being 
supplied for this purpose has been succcessfully tested in accordance 
with this appendix and that test verification data is available to a 
railroad or to FRA upon request.
    (2) The test verification data shall contain all pertinent original 
data logs and documentation that the selection of material samples, test 
set-ups, test measuring devices, and test procedures were performed by 
qualified personnel using recognized and acceptable practices and in 
accordance with this appendix.
    b. Testing Requirements
    (1) The material to be tested (Target Material) shall be a full 
scale sample of the largest dimension intended to be produced and 
installed.
    (2) The Target Material shall be representative of production 
material and shall be selected on a documented random choice basis.
    (3) The Target Material shall be securely and rigidly attached in a 
fixture so that the fixture's own characteristics will not induce test 
errors.
    (4) The Target Material so selected and attached shall constitute a 
Test Specimen.
    (5) The Test Specimen will then be equipped with a Witness Plate 
that shall be mounted parallel to and at a distance of six inches in 
back of the Target Material. The Witness Plate shall have at least an 
area which will cover the full map of the Target Material.
    (6) The Witness Plate shall be an unbacked sheet of maximum 0.006 
inch, alloy 1100 temper O, aluminum stretched within the perimeter of a 
suitable frame to provide a taut surface.
    (7) The Test Specimen will be positioned so that the defined 
projectile impacts it at an angle of 90 degrees to the Test Specimen 
surface.
    (8) The point of impact of the defined projectile will be within a 
radius of 3'' of the centroid of the Target Material.
    (9) Velocity screens or other suitable velocity measuring devices 
will be positioned so as to measure the impact velocity of the defined 
projectile within a 10% accuracy tolerance, with test modifications made 
to guarantee that the stipulated minimum velocity requirements are met.
    (10) The Test Specimen for glazing material that is intended for use 
in end facing glazing locations shall be subjected to a Type I test 
regimen consisting of the following tests:
    (i) Ballistic Impact in which a standard 22 caliber long rifle lead 
bullet of 40 grains in weight impacts at a minimum of 960 feet per 
second velocity.
    (ii) Large Object Impact in which a cinder block of 24 lbs minimum 
weight with dimensions of 8 inches by 8 inches by 16 inches

[[Page 274]]

nominally impacts at the corner of the block at a minimum of 44 feet per 
second velocity. The cinder block must be of composition referenced in 
American Society for Testing and Materials (ASTM) Specification C33L or 
ASTM C90.
    (11) The Test Specimen for glazing material that is intended for use 
only in side facing glazing locations shall be subjected to a Type II 
test regimen consisting of the following tests:
    (i) Ballistic Impact in which a standard 22 caliber long rifle lead 
bullet of 40 grains in weight impacts at a minimum of 960 feet per 
second velocity.
    (ii) Large Object Impact in which a cinder block of 24 lbs minimum 
weight with dimensions of 8 inches by 8 inches by 16 inches nominally 
impacts at the corner of the block at a minimum of 12 feet per second 
velocity. The cinder block must be of the composition referenced in ASTM 
C33L or ASTM C90.
    (12) Three different test specimens must be subjected to the 
ballistic impact portion of these tests.
    (13) Two different test specimens must be subjected to the large 
object impact portion of these tests.
    (14) A material so tested must perform so that:
    (i) there shall be no penetration of the back surfaces (side closest 
to Witness Plate) of the Target Material by the projectile. Partial 
penetration of the impact (front) surface of the Target Material does 
not constitute a failure; and
    (ii) there shall be no penetration of particles from the back side 
of the Target Material through the back side of the prescribed Witness 
Plate.
    (15) Test specimens must consecutively pass the required number of 
tests at the required minimum velocities. Individual tests resulting in 
failures at greater than the required minimum velocities may be repeated 
but a failure of an individual test at less than the minimum velocity 
shall result in termination of the total test and failure of the 
material.
    (16) After successful completion of the prescribed set of required 
consecutive tests, a manufacturer may certify in writing that a 
particular glazing material meets the requirements of these standards.
    c. Material Identification
    (1) Each individual unit of glazing material shall be permanently 
marked, prior to installation, to indicate that this type of material 
has been successfully tested as set forth in this appendix and that 
marking shall be done in such a manner that it is clearly visible after 
the material has been installed.
    (2) Each individual unit of a glazing material that has successfully 
passed the Type I testing regimen shall be marked to indicate:
    (i) ``FRA Type I'' material;
    (ii) the manufacturer of the material;
    (iii) the type or brand identification of the material.
    (3) Each individual unit of a glazing material that has successfully 
passed the Type II testing regimen shall be marked to indicate:
    (i) ``FRA Type II'' material;
    (ii) the manufacturer of the material;
    (iii) the type or brand identification of the material.

         Appendix B to Part 223--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
223.9  New or rebuilt Equipment:
    (a) Locomotives...........................       $2,500       $5,000
    (b) Cabooses..............................        2,500        5,000
    (c) Passenger cars........................        2,500        5,000
    (d) (1), (d)(2):..........................
        (i) Window not marked or instructions         2,500        5,000
         not posted...........................
        (ii) Window improperly marked or              1,000        2,000
         instructions improperly posted.......
223.11(c) Existing locomotives................        2,500        5,000
(d) Repair of window..........................        1,000        2,000
223.13(c) Existing cabooses...................        2,500        5,000
(d) Repair of window..........................        1,000        2,000
223.15(c) Existing passenger cars.............        2,500        5,000
(d) Repair of window..........................        1,000        2,000
223.17  Identification of units...............        1,000        1,500
------------------------------------------------------------------------
\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 $22,000 for any violation where circumstances warrant. See 49
  U.S.C. 21301, 21304, and 49 CFR part 209, appendix A. Further
  designations, not found in the CFR citation for certain provisions are
  FRA Office of Chief Counsel computer codes added as a suffix to the
  CFR citation and used to expedite imposition of civil penalties for
  violations. FRA reserves the right, should litigation become
  necessary, to substitute in its complaint the CFR citation in place of
  the combined designation cited in the penalty demand letter.


[63 FR 24676, May 4, 1998]



PART 225--RAILROAD ACCIDENTS/INCIDENTS: REPORTS CLASSIFICATION, AND INVESTIGATIONS--Table of Contents




Sec.
225.1  Purpose.
225.3  Applicability.
225.5  Definitions.
225.7  Public examination and use of reports.
225.9  Telephonic reports of certain accidents/incidents.
225.11  Reporting of accidents/incidents.
225.12  Rail Equipment Accident/Incident Reports alleging employee human 
          factor as cause; Employee Human Factor Attachment; notice to 
          employee; employee supplement.
225.13  Late reports.

[[Page 275]]

225.15  Accidents/incidents not to be reported.
225.17  Doubtful cases; alcohol or drug involvement.
225.19  Primary groups of accidents/incidents.
225.21  Forms.
225.23  Joint operations.
225.25  Recordkeeping.
225.27  Retention of records.
225.29  Penalties.
225.31  Investigations.
225.33  Internal Control Plans.
225.35  Access to records and reports.
225.37  Magnetic media transfer and electronic submission.

Appendix A to Part 225--Schedule of Civil Penalties
Appendix B to Part 225--Procedure for Determining Reporting Threshold

    Authority: 49 U.S.C. 20103, 20107, 20901, 21301-21302, and 49 CFR 
1.49.

    Source: 39 FR 43224, Dec. 11, 1974, unless otherwise noted.



Sec. 225.1  Purpose.

    The purpose of this part is to provide the Federal Railroad 
Administration with accurate information concerning the hazards and 
risks that exist on the Nation's railroads. FRA needs this information 
to effectively carry out its regulatory responsibilities under 49 U.S.C. 
chapters 201-213. FRA also uses this information for determining 
comparative trends of railroad safety and to develop hazard elimination 
and risk reduction programs that focus on preventing railroad injuries 
and accidents. Issuance of these regulations under the federal railroad 
safety laws and regulations preempts States from prescribing accident/
incident reporting requirements. Any State may, however, require 
railroads to submit to it copies of accident/incident and injury/illness 
reports filed with FRA under this part, for accidents/incidents and 
injuries/illnesses which occur in that State.

[61 FR 30967, June 18, 1996]



Sec. 225.3  Applicability.

    (a) Except as provided in paragraphs (b), (c), and (d), this part 
applies to all railroads except--
    (1) A railroad that operates freight trains only on track inside an 
installation which is not part of the general railroad system of 
transportation or that owns no track except for track that is inside an 
installation that is not part of the general railroad system of 
transportation and used for freight operations.
    (2) Rail mass transit operations in an urban area that are not 
connected with the general railroad system of transportation.
    (3) A railroad that exclusively hauls passengers inside an 
installation that is insular or that owns no track except for track used 
exclusively for the hauling of passengers inside an installation that is 
insular. An operation is not considered insular if one or more of the 
following exists on its line:
    (i) A public highway-rail grade crossing that is in use;
    (ii) An at-grade rail crossing that is in use;
    (iii) A bridge over a public road or waters used for commercial 
navigation; or
    (iv) A common corridor with a railroad, i.e., its operations are 
within 30 feet of those of any railroad.
    (b) The Internal Control Plan requirements in Sec. 225.33(a)(3) 
through (10) do not apply to--
    (1) Railroads that operate or own track on the general railroad 
system of transportation that have 15 or fewer employees covered by the 
hours of service law (49 U.S.C. 21101-21107) and
    (2) Railroads that operate or own track exclusively off the general 
system.
    (c) The recordkeeping requirements regarding accountable injuries 
and illnesses and accountable rail equipment accidents/incidents found 
in Sec. 225.25(a) through (g) do not apply to--
    (1) Railroads that operate or own track on the general railroad 
system of transportation that have 15 or fewer employees covered by the 
hours of service law (49 U.S.C. 21101-21107) and
    (2) Railroads that operate or own track exclusively off the general 
system.
    (d) All requirements in this part to record or report an injury or 
illness incurred by any classification of person that results from a 
non-train incident do not apply to railroads that operate or own track 
exclusively off the general railroad system of transportation,

[[Page 276]]

unless the non-train incident involves in- service on-track equipment.

[61 FR 30967, June 18, 1996, as amended at 61 FR 67490, Dec. 23, 1996]



Sec. 225.5  Definitions.

    As used in this part--
    Accident/incident means:
    (1) Any impact between railroad on-track equipment and an 
automobile, bus, truck, motorcycle, bicycle, farm vehicle or pedestrian 
at a highway-rail grade crossing;
    (2) Any collision, derailment, fire, explosion, act of God, or other 
event involving operation of railroad on-track equipment (standing or 
moving) that results in reportable damages greater than the current 
reporting threshold to railroad on-track equipment, signals, track, 
track structures, and roadbed;
    (3) Any event arising from the operation of a railroad which results 
in:
    (i) Death to any person;
    (ii) Injury to any person that requires medical treatment;
    (iii) Injury to a railroad employee that results in:
    (A) A day away from work;
    (B) Restricted work activity or job transfer; or
    (C) Loss of consciousness; or
    (4) Occupational illness.
    Accountable injury or illness means any condition, not otherwise 
reportable, of a railroad worker that is associated with an event, 
exposure, or activity in the work environment that causes or requires 
the worker to be examined or treated by a qualified health care 
professional. Such treatment would usually occur at a location other 
than the work environment; however, it may be provided at any location, 
including the work site.
    Accountable rail equipment accident/incident means any event not 
otherwise reportable, involving the operation of on-track equipment that 
causes physical damage to either the on-track equipment or the track 
upon which such equipment was operated and that requires the removal or 
repair of rail equipment from the track before any rail operations over 
the track can continue. An accountable rail equipment accident/incident, 
if not tended to, thus would disrupt railroad service. Examples of 
``disruption of service'' would include: loss of main track; one or more 
derailed wheels; any train failing to arrive or depart at its scheduled 
time; one or more cars or locomotives taken out of service; or rerouting 
trains due to a damaged car or locomotive.
    Arising from the operation of a railroad includes all activities of 
a railroad that are related to the performance of its rail 
transportation business.
    Day away from work is any day subsequent to the day of the injury or 
diagnosis of occupational illness that a railroad employee does not 
report to work for reasons associated with his or her condition.
    Day of restricted work activity is any day that a employee is 
restricted in his or her job following the day of the injury or 
diagnosis of occupational illness.
    Employee human factor includes any of the accident causes signified 
by the train accident cause codes listed under ``Train Operation--Human 
Factors'' in the current ``FRA Guide for Preparing Accidents/Incidents 
Reports,'' except for those train accident cause codes pertaining to 
non-railroad workers. For purposes of this definition ``employee'' 
includes the classifications of Worker on Duty--Employee, Employee not 
on Duty, Worker on Duty--Contractor, and Worker on Duty--Volunteer.
    Establishment means a single physical location where workers report 
to work, where railroad business is conducted, or where services or 
operations are performed. Examples are: a division office, general 
office, repair or maintenance facility, major switching yard or 
terminal. For employees who are engaged in dispersed operations, such as 
signal or track maintenance workers, an ``establishment'' is typically a 
location where work assignments are initially made and oversight 
responsibility exists, e.g., the establishment where the signal 
supervisor or roadmaster is located.
    FRA representative means the Associate Administrator for Safety, 
FRA; the Associate Administrator's delegate (including a qualified State 
inspector acting under part 212 of this chapter); the Chief Counsel, 
FRA; or the Chief Counsel's delegate.

[[Page 277]]

    Highway-rail grade crossing means a location where a public highway, 
road, street, or private roadway, including associated sidewalks and 
pathways, crosses one or more railroad tracks at grade.
    Joint operations means rail operations conducted on a track used 
jointly or in common by two or more railroads subject to this part or 
operation of a train, locomotive, car, or other on-track equipment by 
one railroad over the track of another railroad.
    Medical treatment includes any medical care or treatment beyond 
``first aid'' regardless of who provides such treatment. Medical 
treatment does not include diagnostic procedures, such as X-rays and 
drawing blood samples. Medical treatment also does not include 
preventive emotional trauma counseling provided by the railroad's 
employee counseling and assistance officer unless the participating 
worker has been diagnosed as having a mental disorder that was 
significantly caused or aggravated by an accident/incident and this 
condition requires a regimen of treatment to correct.
    Non-train incident means an event that results in a reportable 
casualty, but does not involve the movement of on-track equipment nor 
cause reportable damage above the threshold established for train 
accidents.
    Occupational illness means any abnormal condition or disorder, of 
any person who falls under the definition for the classifications of 
Worker on Duty--Employee, Worker on Duty--Contractor, or Worker on 
Duty--Volunteer, other than one resulting from injury, caused by 
environmental factors associated with the person's railroad employment, 
including, but not limited to, acute or chronic illnesses or diseases 
that may be caused by inhalation, absorption, ingestion, or direct 
contact.
    Person includes all categories of entities covered under 1 U.S.C. 1, 
including, but not limited to, a railroad; any manager, supervisor, 
official, or other employee or agent of a railroad; any owner, 
manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any passenger; any trespasser or nontrespasser; any 
independent contractor providing goods or services to a railroad; any 
volunteer providing goods or services to a railroad; and any employee of 
such owner, manufacturer, lessor, lessee, or independent contractor.
    Qualified health care professional is a health care professional 
operating within the scope of his or her license, registration, or 
certification. For example, an otolaryngologist is qualified to diagnose 
a case of noise-induced hearing loss and identify potential causal 
factors, but may not be qualified to diagnose a case of repetitive 
motion injuries. In addition to licensed physicians, the term qualified 
health care professional includes members of other occupations 
associated with patient care and treatment such as chiropractors, 
podiatrists, physician's assistants, psychologists, and dentists.
    Railroad means a person providing railroad transportation.
    Railroad transportation means any form of non-highway ground 
transportation that run on rails or electro-magnetic guideways, 
including commuter or other short-haul railroad passenger service in a 
metropolitan or suburban area, as well as any commuter railroad service 
that was operated by the Consolidated Rail Corporation as of January 1, 
1979, and high speed ground transportation systems that connect 
metropolitan areas, without regard to whether they use new technologies 
not associated with traditional railroads. Such term does not include 
rapid transit operations within an urban area that are not connected to 
the general railroad system of transportation.
    Train accident means any collision, derailment, fire, explosion, act 
of God, or other event involving operation of railroad on-track 
equipment (standing or moving) that results in damages greater than the 
current reporting threshold to railroad on-track equipment, signals, 
track, track structures, and roadbed.
    Train incident means any event involving the movement of on-track 
equipment that results in a reportable casualty but does not cause 
reportable damage above the current threshold established for train 
accidents.
    Work environment is the physical location, equipment, materials 
processed

[[Page 278]]

or used, and activities of a railroad employee associated with his or 
her work, whether on or off the railroad's property.
    Work related means related to any incident, activity, exposure, or 
the like occurring within the work environment.

[61 FR 30968, June 18, 1996, as amended at 61 FR 59371, Nov. 22, 1996; 
61 FR 67490, Dec. 23, 1996]



Sec. 225.7  Public examination and use of reports.

    (a) Accident/Incident reports made by railroads in compliance with 
these rules shall be available to the public in the manner prescribed by 
part 7 of this title. Accident/Incident reports may be inspected at the 
Office of Safety, Federal Railroad Administration, 400 Seventh Street, 
SW., Washington, DC 20590. Written requests for a copy of a report 
should be addressed to the Freedom of Information Officer, Office of 
Chief Counsel, FRA, 400 Seventh Street, SW., Washington, DC 20590, and 
be accompanied by the appropriate fee prescribed in part 7 of this 
title. To facilitate expedited handling, each request should be clearly 
marked ``Request for Accident/Incident Report.''
    (b) 49 U.S.C. 20903 provides that monthly reports filed by railroads 
under Sec. 225.11 may not be admitted as evidence or used for any 
purpose in any action for damages growing out of any matters mentioned 
in these monthly reports. The Employee Human Factor Attachment, Notice, 
and Employee Supplement under Sec. 225.12 are part of the reporting 
railroad's accident report to FRA pursuant to the 49 U.S.C. 20901 and, 
as such, shall not ``be admitted as evidence or used for any purpose in 
any suit or action for damages growing out of any matter mentioned in 
said report * * *.'' 49 U.S.C. 20903.

[39 FR 43224, Dec. 11, 1974, as amended at 51 FR 47019, Dec. 30, 1986; 
53 FR 28601, July 28, 1988; 55 FR 37827, Sept. 13, 1990; 55 FR 52487, 
Dec. 21, 1990; 61 FR 30969, June 18, 1996]



Sec. 225.9  Telephonic reports of certain accidents/incidents.1, 2
---------------------------------------------------------------------------

    1  The National Transportation Safety Board requires certain 
railroad accidents to be reported by telephone at the same toll free 
number (See Title 49, Code of Federal Regulations Part 840).
    2  FRA Locomotive Safety Standards require certain 
locomotive accidents to be reported by telephone at the same toll free 
number (See Title 49, Code of Federal Regulations, Sec. 229.17.)
---------------------------------------------------------------------------

    (a) Each railroad must report immediately by toll free telephone, 
Area Code 800-424-0201, whenever it learns of the occurrence of an 
accident/incident arising from the operation of the railroad that 
results in the:
    (1) Death of rail passenger or employee; or
    (2) Death or injury of five or more persons.
    (b) Each report must state the:
    (1) Name of the railroad;
    (2) Name, title, and telephone number of the individual making the 
report;
    (3) Time, date, and location of accident/incident;
    (4) Circumstances of the accident/incident; and
    (5) Number of persons killed or injured.

[39 FR 43224, Dec. 11, 1974, as amended at 41 FR 15847, Apr. 15, 1976; 
49 FR 48939, Dec. 17, 1984]



Sec. 225.11  Reporting of accidents/incidents.

    Each railroad subject to this part shall submit to FRA a monthly 
report of all railroad accidents/incidents described in Sec. 225.19. The 
report shall be made on the forms prescribed in Sec. 225.21 in hard copy 
or, alternatively, by means of magnetic media or electronic submission, 
as prescribed in Sec. 225.37, and shall be submitted within 30 days 
after expiration of the month during which the accidents/incidents 
occurred. Reports shall be completed as required by the current ``FRA 
Guide for Preparing Accidents/Incidents Reports.'' A copy of this guide 
may be obtained

[[Page 279]]

from the Office of Safety, RRS-22, Federal Railroad Administration, 400 
Seventh Street, S.W., Washington, D.C. 20590.

[61 FR 30969, June 18, 1996]



Sec. 225.12  Rail Equipment Accident/Incident Reports alleging employee human factor as cause; Employee Human Factor Attachment; notice to employee; employee 
          supplement.

    (a) Rail Equipment Accident/Incident Report alleging employee human 
factor as cause; completion of Employee Human Factor Attachment. If, in 
reporting a rail equipment accident/incident to FRA, a railroad cites an 
employee human factor as the primary cause or a contributing cause of 
the accident; then the railroad that cited such employee human factor 
must complete, in accordance with instructions on the form and in the 
current ``FRA Guide for Preparing Accident/Incident Reports,'' an 
Employee Human Factor Attachment form on the accident. For purposes of 
this section, ``employee'' is defined as a Worker on Duty--Employee, 
Employee not on Duty, Worker on Duty--Contractor, or Worker on Duty--
Volunteer.
    (b) Notice to identified implicated employees. Except as provided in 
paragraphs (e) and (f) of this section, for each employee whose act, 
omission, or physical condition was alleged by the railroad as the 
employee human factor that was the primary cause or a contributing cause 
of a rail equipment accident/incident and whose name was listed in the 
Employee Human Factor Attachment for the accident and for each such 
railroad employee of whose identity the railroad has actual knowledge, 
the alleging railroad shall--
    (1) Complete part I, ``Notice to Railroad Employee Involved in Rail 
Equipment Accident/Incident Attributed to Employee Human Factor,'' of 
Form FRA F 6180.78 with information regarding the accident, in 
accordance with instructions on the form and in the current ``FRA Guide 
for Preparing Accident/Incident Reports''; and
    (2) Hand deliver or send by first class mail (postage prepaid) to 
that employee, within 45 days after the end of the month in which the 
rail equipment accident/incident occurred--
    (i) A copy of Form FRA F 6180.78, ``Notice to Railroad Employee 
Involved in Rail Equipment Accident/Incident Attributed to Employee 
Human Factor; Employee Statement Supplementing Railroad Accident 
Report,'' with part I completed as to the applicable employee and 
accident;
    (ii) A copy of the railroad's Rail Equipment Accident/Incident 
Report and Employee Human Factor Attachment on the rail equipment 
accident/incident involved; and
    (iii) If the accident was also reportable as a highway-rail grade 
crossing accident/incident, a copy of the railroad's Highway-Rail Grade 
Crossing Accident/Incident Report on that accident.
    (c) Joint operations. If a reporting railroad makes allegations 
under paragraph (a) of this section concerning the employee of another 
railroad, the employing railroad must promptly provide the name, job 
title, address, and medical status of any employee reasonably identified 
by the alleging railroad, if requested by the alleging railroad.
    (d) Late identification. Except as provided in paragraphs (e) and 
(f) of this section, if a railroad is initially unable to identify a 
particular railroad employee whose act, omission, or physical condition 
was cited by the railroad as a primary or contributing cause of the 
accident, but subsequently makes such identification, the railroad shall 
submit a revised Employee Human Factor Attachment to FRA immediately, 
and shall submit the Notice described in paragraph (b) of this section 
to that employee within 15 days of when the revised report is to be 
submitted.
    (e) Deferred notification on medical grounds. The reporting railroad 
has reasonable discretion to defer notification of implicated employees 
on medical grounds.
    (f) Implicated employees who have died by the time that the Notice 
is ready to be sent. (1) If an implicated employee has died as a result 
of the accident, a Notice under paragraph (b) addressed to that employee 
must not be sent to any person.
    (2) If an implicated employee has died of whatever causes by the 
time that the Notice is ready to be sent, no

[[Page 280]]

Notice addressed to that employee is required.
    (g) Employee Statement Supplementing Railroad Accident Report 
(Supplements or Employee Supplements). (1) Employee Statements 
Supplementing Railroad Accident Reports are voluntary, not mandatory; 
nonsubmission of a Supplement does not imply that the employee admits or 
endorses the railroad's conclusions as to cause or any other 
allegations.
    (2) Although a Supplement is completely optional and not required, 
if an employee wishes to submit a Supplement and assure that, after 
receipt, it will be properly placed by FRA in a file with the railroad's 
Rail Equipment Accident/Incident Report and that it will be required to 
be reviewed by the railroad that issued the Notice, the Supplement must 
be made on part II of Form FRA F 6180.78 (entitled ``Notice to Railroad 
Employee Involved in Rail Equipment Accident/Incident Attributed to 
Employee Human Factor; Employee Statement Supplementing Railroad 
Accident Report''), following the instructions printed on the form. 
These instructions require that, within 35 days of the date that the 
Notice was hand delivered or sent by first class mail (postage prepaid) 
to the employee (except for good cause shown), the original of the 
Supplement be filed with FRA and a copy be hand delivered or sent by 
first class mail (postage prepaid) to the railroad that issued the 
Notice so that the railroad will have an opportunity to reassess its 
reports to FRA concerning the accident.
    (3) Information that the employee wishes to withhold from the 
railroad must not be included in this Supplement. If an employee wishes 
to provide confidential information to FRA, the employee should not use 
the Supplement form (part II of Form FRA F 6180.78), but rather provide 
such confidential information by other means, such as a letter to the 
employee's collective bargaining representative, or to the Federal 
Railroad Administration, Office of Safety Assurance and Compliance, RRS-
11, 400 Seventh Street, SW., Washington, DC 20590. The letter should 
include the name of the railroad making the allegations, the date and 
place of the accident, and the rail equipment accident/incident number.
    (h) Willful false statements; penalties. If an employee chooses to 
submit a Supplement to FRA, all of the employee's assertions in the 
Supplement must be true and correct to the best of the employee's 
knowledge and belief.
    (1) Under 49 U.S.C. 21301, 21302, and 21304, any person who 
willfully files a false Supplement with FRA is subject to a civil 
penalty. See appendix A to this part.
    (2) Any person who knowingly and willfully files a false Supplement 
is subject to a $5,000 fine, or up to two years'' imprisonment, or both, 
under 49 U.S.C. 21311.

[55 FR 37827, Sept. 13, 1990; 55 FR 39538, Sept. 27, 1990, as amended at 
61 FR 30969, 30973, June 18, 1996]



Sec. 225.13  Late reports.

    Whenever a railroad discovers that a report of an accident/incident, 
through mistake or otherwise, has been improperly omitted from or 
improperly reported on its regular monthly accident/incident report, a 
report covering this accident/incident together with a letter of 
explanation must be submitted immediately. Whenever a railroad receives 
a partially or fully completed Employee Statement Supplementing Railroad 
Accident Report (part II of Form FRA F 6180.78), in response to a Notice 
to Railroad Employee (part I of Form FRA F 6180.78) issued by the 
railroad and mailed or hand delivered to the employee, the railroad must 
promptly review that Supplement; based on that review, reassess the 
accuracy and validity of the railroad's Rail Equipment Accident/Incident 
Report and of any other reports and records required by this part 
concerning the same accident, including the Employee Human Factor 
Attachment; make all justified revisions to each of those reports and 
records; submit any amended reports to FRA; and submit a copy of any 
amended Rail Equipment Accident/Incident Report, Employee Human Factor 
Attachment, and Highway-Rail Grade Crossing Accident/Incident Report on 
the accident to the employee. A second notice under Sec. 225.12 is not 
required for the employee. If an employee who was never

[[Page 281]]

sent a notice under Sec. 225.12 for that accident is implicated in the 
revised Employee Human Factor Attachment, the railroad must follow the 
procedures of Sec. 225.12(d).

[39 FR 43224, Dec. 11, 1974, as amended at 55 FR 37828, Sept. 13, 1990; 
61 FR 30973, June 18, 1996]



Sec. 225.15  Accidents/incidents not to be reported.

    A railroad need not report:
    (a) Casualties which occur at highway-rail grade crossings that do 
not involve the presence or operation of on-track equipment, or the 
presence of railroad employees then engaged in the operation of a 
railroad;
    (b) Casualties in or about living quarters not arising from the 
operation of a railroad;
    (c) Suicides as determined by a coroner or other public authority; 
or
    (d) Attempted suicides.

[39 FR 43224, Dec. 11, 1974, as amended at 61 FR 30973, June 18, 1996]



Sec. 225.17  Doubtful cases; alcohol or drug involvement.

    (a) The reporting officer f a railroad will ordinarily determine the 
reportability or nonreportability of an accident/incident after 
examining all evidence available. The FRA, however, cannot delegate 
authority to decide matters of judgment when facts are in dispute. In 
all such cases the decision shall be that of the FRA.
    (b) Even though there may be no witness to an accident/incident, if 
there is evidence indicating that a reportable accident/incident may 
have occurred, a report of that accident/incident must be made.
    (c) All accidents/incidents reported as ``claimed but not admitted 
by the railroad'' are given special examination by the FRA, and further 
inquiry may be ordered. Accidents/incidents accepted as reportable are 
tabulated and included in the various statistical statements issued by 
the FRA. The denial of any knowledge or refusal to admit responsibility 
by the railroad does not exclude those accidents/incidents from monthly 
and annual figures. Facts stated by a railroad that tend to refute the 
claim of an injured person are given consideration, and when the facts 
seem sufficient to support the railroad's position, the case is not 
allocated to the reporting railroad.
    (d)(1) In preparing a Rail Equipment Accident/Incident Report under 
this part, the railroad shall make such specific inquiry as may be 
reasonable under the circumstances into the possible involvement of 
alcohol or drug use or impairment in such accident or incident. If the 
railroad comes into possession of any information whatsoever, whether or 
not confirmed, concerning alleged alcohol or drug use or impairment by 
an employee who was involved in, or arguably could be said to have been 
involved in, the accident/incident, the railroad shall report such 
alleged use or impairment as provided in the current FRA Guide for 
Preparing Accident/Incident Reports. If the railroad is in possession of 
such information but does not believe that alcohol or drug impairment 
was the primary or contributing cause of the accident/incident, then the 
railroad shall include in the narrative statement of such report a brief 
explanation of the basis of such determination.
    (2) For any train accident within the requirement for post-accident 
testing under Sec. 219.201 of this title, the railroad shall append to 
the Rail Equipment Accident/Incident Report any report required by 
Sec. 219.209(b) (pertaining to failure to obtain samples for post-
accident toxicological testing).
    (3) For any train or non-train incident, the railroad shall provide 
any available information concerning the possible involvement of alcohol 
or drug use or impairment in such accident or incident.
    (4) In providing information required by this paragraph, a railroad 
shall not disclose any information concerning use of controlled 
substances determined by the railroad's Medical Review Officer to have 
been consistent with 49 CFR 219.103.

[39 FR 43224, Dec. 11, 1974, as amended at 50 FR 31579, Aug. 2, 1985; 54 
FR 53279, Dec. 27, 1989]



Sec. 225.19  Primary groups of accidents/incidents.

    (a) For reporting purposes reportable railroad accidents/incidents 
are divided into three groups:


[[Page 282]]


    Group I--Highway-Rail Grade Crossing;
    Group II--Rail Equipment;
    Group III--Death, Injury and Occupational Illness.

    (b) Group I--Highway-rail grade crossing. Each highway-rail grade 
crossing accident/incident must be reported to the FRA on Form FRA F 
6180.57, regardless of the extent of damages or whether a casualty 
occurred. In addition, whenever a highway-rail grade crossing accident/
incident results in damages greater than the current reporting threshold 
to railroad on-track equipment, signals, track, track structures, or 
roadbed, that accident/incident shall be reported to the FRA on Form FRA 
F 6180.54. For reporting purposes, damages include labor costs and all 
other costs to repair or replace in kind damaged on-track equipment, 
signals, track, track structures, or roadbed, but do not include the 
cost of clearing a wreck.
    (c) Group II--Rail Equipment. Rail equipment accidents/incidents are 
collisions, derailments, fires, explosions, acts of God, or other events 
involving the operation of railroad on-track equipment, signals, track, 
track equipment (standing or moving) that result in damages greater than 
the current reporting threshold (i.e. $6,300 for calendar years 1991 
through 1996, $6,500 for calendar year 1997, and $6,600 for calendar 
years 1998 through 1999) to railroad on-track equipment, signals, 
tracks, track structures, or roadbed, including labor costs and the 
costs for acquiring new equipment and material. Each rail equipment 
accident/incident must be reported to the FRA on Form FRA F 6180.54. If 
the property of more than one railroad is involved in an accident/
incident, the reporting threshold is calculated by including the damages 
suffered by all of the railroads involved. See Sec. 225.23, Joint 
Operations. The reporting threshold will be reviewed periodically and 
will be adjusted every year.
    (d) Group III--Death, injury, or occupational illness. Each event 
arising from the operation of a railroad shall be reported on Form FRA F 
6180.55a if it results in:
    (1) Death to any person;
    (2) Injury to any person that requires medical treatment;
    (3) Injury to a railroad employee that results in:
    (i) A day away from work;
    (ii) Restricted work activity or job transfer; or
    (iii) Loss of consciousness; or
    (4) Occupational illness of a railroad employee.
    (e) The reporting threshold is $6,300 for calendar years 1991 
through 1996. The reporting threshold is $6,500 for calendar year 1997 
and $6,500 for calendar years 1998 through 1999. The procedure for 
determining the reporting threshold for calendar year 1997 and later 
appears as appendix B to part 225.

(Secs. 11144 and 11145, Subtitle IV of Title 49 (49 U.S.C. 11144 and 
11145); secs. 1 and 6, Accident Reports Act (45 U.S.C. 431 and 437); 
sec. 6(e) and (f), Department of Transportation Act (49 U.S.C. 1655(e) 
and (f)); sec. 1.49(g) and (m), regulations of the Office of the 
Secretary of Transportation (49 CFR 1.49(g) and (m))

[39 FR 43224, Dec. 11, 1974, as amended at 41 FR 50691, Nov. 17, 1976; 
42 FR 1221, Jan. 6, 1977; 47 FR 56358, Dec. 16, 1982; 51 FR 47019, Dec. 
30, 1986; 53 FR 48548, Dec. 1, 1988; 55 FR 52847, Dec. 21, 1990; 61 FR 
30969, 30973, June 18, 1996; 61 FR 60634, Nov. 29, 1996; 61 FR 67490, 
Dec. 23, 1996; 63 FR 63676, Dec. 2, 1997; 63 FR 71791, Dec. 30, 1998]



Sec. 225.21  Forms.

    The following forms and copies of the FRA Guide for Preparing 
Accident/Incident Reports may be obtained from the Office of Safety, 
FRA, 400 Seventh Street, SW., Washington, DC 20590.
    (a) Form FRA F 6180.54--Rail Equipment Accident/Incident Report. 
Form FRA F 6180.54 shall be used to report each reportable rail 
equipment accident/incident which occurred during the preceding month.
    (b) Form FRA F 6180.55--Railroad Injury and Illness Summary. Form 
FRA F 6180.55 must be filed each month, even though no reportable 
accident/incident occurred during the month covered. Each report must 
include an oath or verification, made by the proper officer of the 
reporting railroad, as provided for attestation on the form. If no 
reportable accident/incident occurred during the month, that fact must 
be stated on this form. All railroads subject to this part, shall show 
on this form the total number of freight train miles, passenger train 
miles, yard

[[Page 283]]

switching train miles, and other train miles run during the month.
    (c) Form FRA 6180.55a--Railroad Injury and Illness (Continuation 
Sheet). Form FRA 6180.55a shall be used to report all reportable 
fatalities, injuries and occupational illnesses that occurred during the 
preceding month.
    (d) Form FRA 6180.56--Annual Railroad Report of Manhours by State. 
Form FRA 6180.56 shall be submitted as part of the monthly Railroad 
Injury and Illness Summary (Form FRA F 6180.55) for the month of 
December of each year.
    (e) Form FRA F 6180.57--Highway-Rail Grade Crossing Accident/
Incident Report. Form FRA F 6180.57 shall be used to report each 
highway-rail grade crossing accident/incident which occurred during the 
preceding month.
    (f) Form FRA F 6180.81--Employee Human Factor Attachment. Form FRA F 
6180.81 shall be used by railroads, as a supplement to the Rail 
Equipment Accident/Incident Report (Form FRA F 6180.54), in reporting 
rail equipment accidents/incidents that they attribute to an employee 
human factor. This form shall be completed in accordance with 
instructions printed on the form and in the current ``FRA Guide for 
Preparing Accident/Incident Reports.'' The form shall be attached to the 
Rail Equipment Accident/Incident Report and shall be submitted within 30 
days after expiration of the month in which the accident/incident 
occurred.
    (g) Form FRA F 6180.78--Notice to Railroad Employee Involved in Rail 
Equipment Accident/Incident Attributed to Employee Human Factor; 
Employee Statement Supplementing Railroad Accident Report. When a 
railroad alleges, in the Employee Human Factor Attachment to a Rail 
Equipment Accident/Incident Report, that the act, omission, or physical 
condition of a specific employee was a primary or contributing cause of 
the rail equipment accident/incident, the railroad shall complete part I 
of Form FRA F 6180.78 to notify each such employee identified that the 
railroad has made such allegation and that the employee has the right to 
submit a statement to FRA. The railroad shall then submit the entire 
form, parts I and II, to the employee. The Employee Statement 
Supplementing Railroad Accident Report (Employee Supplement) is 
completely at the option of the employee; however, if the employee 
desires to make a statement about the accident that will become part of 
the railroad's Rail Equipment Accident/Incident Report, the employee 
shall complete the Employee Supplement form (part II of Form FRA F 
6180.78) and shall then submit the original of the entire form, parts I 
and II, and any attachments, to FRA and submit a copy of the same to the 
railroad that issued the Notice in part I.
    (h) Form FRA F 6180.98--Railroad Employee Injury and/or Illness 
Record. Form FRA F 6180.98 or an alternative railroad-designed record 
shall be used by the railroads to record all reportable and accountable 
injuries and illnesses to railroad employees for each establishment. 
This record shall be completed and maintained in accordance with the 
requirements set forth in Sec. 225.25.
    (i) Form FRA F 6180.97--Initial Rail Equipment Accident/Incident 
Record. Form FRA F 6180.97 or an alternative railroad-designed record 
shall be used by the railroads to record all reportable and accountable 
rail equipment accidents/incidents for each establishment. This record 
shall be completed and maintained in accordance with the requirements 
set forth in Sec. 225.25.

[39 FR 43224, Dec. 11, 1974, as amended at 42 FR 1221, Jan. 6, 1977; 49 
FR 48939, Dec. 17, 1984; 55 FR 37828, Sept. 13, 1990; 61 FR 30969, 
30973, June 18, 1996]



Sec. 225.23  Joint operations.

    (a) Any reportable death or injury to an employee arising from an 
accident/incident involving joint operations must be reported on Form 
FRA F 6180.55a by the employing railroad.
    (b) In all cases involving joint operations, each railroad must 
report on Form FRA F 6180.55a the casualties to all persons on its train 
or other on-track equipment. Casualties to railroad employees must be 
reported by the employing railroad regardless of whether the employees 
were on or off duty. Casualties to all other persons not on trains or 
on-track equipment must be reported on Form FRA F 6180.55a by the 
railroad whose train or equipment is involved. Any person found 
unconscious or dead, if such condition arose

[[Page 284]]

from the operation of a railroad, on or adjacent to the premises or 
right-of-way of the railroad having track maintenance responsibility 
must be reported by that railroad on Form FRA F 6180.55a.
    (c) In rail equipment accident/incident cases involving joint 
operations, the railroad responsible for carrying out repairs to, and 
maintenance of, the track on which the accident/incident occurred, and 
any other railroad directly involved in the accident/incident, each must 
report the accident/incident on Form FRA F 6180.54.

[39 FR 43224, Dec. 11, 1974, as amended at 42 FR 1221, Jan. 6, 1977]



Sec. 225.25  Recordkeeping.

    (a) Each railroad shall maintain either the Railroad Employee Injury 
and/or Illness Record (Form FRA F 6180.98) or an alternative railroad-
designed record as described in paragraph (b) of this section of all 
reportable and accountable injuries and illnesses of its employees that 
arise from the operation of the railroad for each railroad establishment 
where such employees report to work, including, but not limited to, an 
operating division, general office, and major installation such as a 
locomotive or car repair or construction facility.
    (b) The alternative railroad-designed record may be used in lieu of 
the Railroad Employee Injury and/or Illness Record (Form FRA F 6180.98) 
described in paragraph (a) of this section. Any such alternative record 
shall contain all of the information required on the Railroad Employee 
Injury and/or Illness Record. Although this information may be displayed 
in a different order from that on the Railroad Employee Injury and/or 
Illness Record, the order of the information shall be consistent from 
one such record to another such record. The order chosen by the railroad 
shall be consistent for each of the railroad''s reporting 
establishments. Railroads may list additional information on the 
alternative record beyond the information required on the Railroad 
Employee Injury and/or Illness Record. The alternative record shall 
contain, at a minimum, the following information:
    (1) Name of railroad;
    (2) Case/incident number;
    (3) Full name of railroad employee;
    (4) Date of birth of railroad employee;
    (5) Gender of railroad employee;
    (6) Social security number of railroad employee;
    (7) Date the railroad employee was hired;
    (8) Home address of railroad employee; include the street address, 
city, State, ZIP code, and home telephone number with area code;
    (9) Name of facility where railroad employee normally reports to 
work;
    (10) Address of facility where railroad employee normally reports to 
work; include the street address, city, State, and ZIP code;
    (11) Job title of railroad employee;
    (12) Department assigned;
    (13) Specific site where accident/incident/exposure occurred; 
include the city, county, State, and ZIP code;
    (14) Date and time of occurrence; military time or AM/PM;
    (15) Time employee's shift began; military time or AM/PM;
    (16) Whether employee was on premises when injury occurred;
    (17) Whether employee was on or off duty;
    (18) Date and time when employee notified company personnel of 
condition; military time or AM/PM;
    (19) Name and title of railroad official notified;
    (20) Description of the general activity this employee was engaged 
in prior to the injury/illness/condition;
    (21) Description of all factors associated with the case that are 
pertinent to an understanding of how it occurred. Include a discussion 
of the sequence of events leading up to it; and the tools, machinery, 
processes, material, environmental conditions, etc., involved;
    (22) Description, in detail, of the injury/illness/condition that 
the employee sustained, including the body parts affected. If a 
recurrence, list the date of the last occurrence;
    (23) Identification of all persons and organizations used to 
evaluate or treat the condition, or both. Include the facility, provider 
and complete address;

[[Page 285]]

    (24) Description of all procedures, medications, therapy, etc., used 
or recommended for the treatment of the condition.
    (25) Extent and outcome of injury or illness to show the following 
as applicable:
    (i) Fatality--enter date of death;
    (ii) Restricted work; number of days; beginning date;
    (iii) Occupational illness; date of initial diagnosis;
    (iv) Instructions to obtain prescription medication, or receipt of 
prescription medication;
    (v) If missed one or more days of work or next shift, provide number 
of work days; and beginning date;
    (vi) Medical treatment beyond ``first aid'';
    (vii) Hospitalization for treatment as an inpatient;
    (viii) Multiple treatments or therapy sessions;
    (ix) Loss of consciousness;
    (x) Transfer to another job or termination of employment;
    (26) Each railroad shall indicate if the Railroad Injury and Illness 
Summary (Continuation Sheet) (FRA Form F 6180.55a) has been filed with 
FRA for the injury or illness. If FRA Form F 6180.55a was not filed with 
FRA, then the railroad shall provide an explanation of the basis for its 
decision.
    (27) The reporting railroad shall indicate if the injured or ill 
railroad employee was provided an opportunity to review his or her file; 
and
    (28) The reporting railroad shall identify the preparer's name; 
title; telephone number with area code; and the date the log entry was 
completed.
    (c) Each railroad shall provide the employee, upon request, a copy 
of either the completed Railroad Employee Injury and/or Illness Record 
(Form FRA F 6180.98) or the alternative railroad-designed record as 
described in paragraphs (a) and (b) of this section as well as a copy of 
forms or reports required to be maintained or filed under this part 
pertaining to that employee's own work-related injury or illness.
    (d) Each railroad shall maintain the Initial Rail Equipment 
Accident/Incident Record (Form FRA F 6180.97) or an alternative 
railroad-designed record as described in paragraph (e) of this section 
of reportable and accountable collisions, derailments, fires, 
explosions, acts of God, or other events involving the operation of 
railroad on-track equipment, signals, track, or track equipment 
(standing or moving) that result in damages to railroad on-track 
equipment, signals, tracks, track structures, or roadbed, including 
labor costs and all other costs for repairs or replacement in kind for 
each railroad establishment where workers report to work, including, but 
not limited to, an operating division, general office, and major 
installation such as a locomotive or car repair or construction 
facility.
    (e) The alternative railroad-designed record may be used in lieu of 
the Initial Rail Equipment Accident/Incident Record (Form FRA F 
6180.97). Any such alternative record shall contain all of the 
information required on the Initial Rail Equipment Accident/Incident 
Record. Although this information may be displayed in a different order 
from that on the Initial Rail Equipment Accident/Incident Record, the 
order of the information shall be consistent from one such record to 
another such record. The order chosen by the railroad shall be 
consistent for each of the railroad's reporting establishments. 
Railroads may list additional information in the alternative record 
beyond the information required on the Initial Rail Equipment Accident/
Incident Record. The alternative record shall contain, at a minimum, the 
following information:
    (1) Date and time of accident;
    (2) Reporting railroad, and accident/incident number;
    (3) Other railroad, if applicable, and other railroad's accident/
incident number;
    (4) Railroad responsible for track maintenance, and that railroad's 
incident number;
    (5) Type of accident/incident (derailment, collision, etc.);
    (6) Number of cars carrying hazardous materials that derailed or 
were damaged; and number of cars carrying hazardous materials that 
released product;
    (7) Division;
    (8) Nearest city or town;
    (9) State;

[[Page 286]]

    (10) Milepost (to the nearest tenth);
    (11) Specific site;
    (12) Speed (indicate if actual or estimate);
    (13) Train number or job number;
    (14) Type of equipment (freight, passenger, yard switching, etc.);
    (15) Type of track (main, yard, siding, industry);
    (16) Total number of locomotives in train;
    (17) Total number of locomotives that derailed;
    (18) Total number of cars in train;
    (19) Total number of cars that derailed;
    (20) Total amount of damage in dollars to equipment based on 
computations as described in the ``FRA Guide for Preparing Accidents/
Incidents Reports'';
    (21) Total amount of damage in dollars to track, signal, way and 
structures based on computations as described in the ``FRA Guide for 
Preparing Accidents/Incidents Reports'';
    (22) Primary cause;
    (23) Contributing cause;
    (24) Persons injured and persons killed, broken down into the 
following classifications: worker on duty--employee; employee not on 
duty; passenger on train; nontrespasser--on railroad property; 
trespasser; worker on duty--contractor; contractor--other; worker on 
duty--volunteer; volunteer--other; and nontrespasser--off railroad 
property;
    (25) Narrative description of the accident;
    (26) Whether the accident/incident was reported to FRA;
    (27) Preparer's name, title, telephone number with area code, and 
signature; and
    (28) Date the report was completed.
    (f) Each railroad shall enter each reportable and accountable injury 
and illness and each reportable and accountable rail equipment accident/
incident on the appropriate record, as required by paragraphs (a) 
through (e) of this section, as early as practicable but no later than 
seven working days after receiving information or acquiring knowledge 
that an injury or illness or rail equipment accident/incident has 
occurred.
    (g) The records required under paragraphs (a) through (e) of this 
section may be maintained at the local establishment or, alternatively, 
at a centralized location. If the records are maintained at a 
centralized location, but not through electronic means, then a paper 
copy of the records that is current within 35 days of the month to which 
it applies shall be available for that establishment. If the records are 
maintained at a centralized location through electronic means, then the 
records for that establishment shall be available for review in a hard 
copy format within four business hours of FRA's request. FRA recognizes 
that circumstances outside the railroad's control may preclude it from 
fulfilling the four-business-hour time limit. In these circumstances, 
FRA will not assess a monetary penalty against the railroad for its 
failure to provide the requested documentation provided the railroad 
made a reasonable effort to correct the problem.
    (h) Except as provided in paragraph(h)(15) of this section, a 
listing of all injuries and occupational illnesses reported to FRA as 
having occurred at an establishment shall be posted in a conspicuous 
location at that establishment, within 30 days after the expiration of 
the month during which the injuries and illnesses occurred, if the 
establishment has been in continual operation for a minimum of 90 
calendar days. If the establishment has not been in continual operation 
for a minimum of 90 calendar days, the listing of all injuries and 
occupational illnesses reported to FRA as having occurred at the 
establishment shall be posted, within 30 days after the expiration of 
the month during which the injuries and illnesses occurred, in a 
conspicuous location at the next higher organizational level 
establishment, such as one of the following: an operating division 
headquarters; a major classification yard or terminal headquarters; a 
major equipment maintenance or repair installation, e.g., a locomotive 
or rail car repair or construction facility; a railroad signal and 
maintenance-of-way division headquarters; or a central location where 
track or signal maintenance employees are assigned as a headquarters or 
receive work assignments.

[[Page 287]]

These examples include facilities that are generally major facilities of 
a permanent nature where the railroad generally posts or disseminates 
company informational notices and policies, e.g., the policy statement 
in the internal control plan required by Sec. 225.33 concerning 
harassment and intimidation. At a minimum, ``establishment'' posting is 
required and shall include locations where a railroad reasonably expects 
its employees to report during a 12-month period and to have the 
opportunity to observe the posted list containing any reportable 
injuries or illnesses they have suffered during the applicable period. 
This listing shall be posted and shall remain continuously displayed for 
the next twelve consecutive months. Incidents reported for employees at 
that establishment shall be displayed in date sequence. The listing 
shall contain, at a minimum, the information specified in paragraphs 
(h)(1) through (14) of this section.
    (1) Name and address of the establishment;
    (2) Calendar year of the cases being displayed;
    (3) Incident number used to report case;
    (4) Date of the injury or illness;
    (5) Location of incident;
    (6) Regular job title of employee injured or ill;
    (7) Description of the injury or condition;
    (8) Number of days employee absent from work at time of posting;
    (9) Number of days of work restriction for employee at time of 
posting;
    (10) If fatality--enter date of death;
    (11) Annual average number of railroad employees reporting to this 
establishment;
    (12) Preparer's name, title, telephone number with area code, and 
signature (or, in lieu of signing each establishment's list of 
reportable injuries and illnesses, the railroad's preparer of this 
monthly list may sign a cover sheet or memorandum which contains a list 
of each railroad establishment for which a monthly list of reportable 
injuries and illnesses has been prepared. This cover memorandum shall be 
signed by the preparer and shall have attached to it a duplicate copy of 
each establishment's list of monthly reportable injuries and illnesses. 
The preparer of the monthly lists of reportable injuries and illnesses 
shall mail or send by facsimile each establishment's list to the 
establishment in the time frame prescribed in paragraph (h) of this 
section.); and
    (13) Date the record was completed.
    (14) When there are no reportable injuries or occupational illnesses 
associated with an establishment for that month, the listing shall make 
reference to this fact.
    (15) The railroad is permitted not to post information on an injury 
or illness only if the employee who incurred the injury or illness makes 
a request in writing to the railroad's reporting officer that his or her 
particular injury or illness not be posted.

[61 FR 30970, June 18, 1996, as amended at 61 FR 59371, Nov. 22, 1996; 
61 FR 67491, Dec. 23, 1996]



Sec. 225.27  Retention of records.

    (a) Each railroad shall retain the Railroad Employee Injury and/or 
Illness Record and the Monthly List of Injuries and Illnesses required 
by Sec. 225.25 for at least five years after the end of the calendar 
year to which they relate. Each railroad shall retain the Initial Rail 
Equipment Accident/Incident Record required by Sec. 225.25 for at least 
two years after the end of the calendar year to which it relates. Each 
railroad must retain the Employee Human Factor Attachments required by 
Sec. 225.12, the written notices to employees required by Sec. 225.12, 
and the Employee Statements Supplementing Railroad Accident Reports 
described in Sec. 225.12(g) that have been received by the railroad for 
at least 2 years after the end of the calendar year to which they 
relate.
    (b) Each railroad must retain a duplicate of each form it submits to 
FRA under Sec. 225.21, for at least 2 years after the calendar year to 
which it relates.

[39 FR 43224, Dec. 11, 1974, as amended at 55 FR 37828, Sept. 13, 1990; 
61 FR 30971, June 18, 1996; 61 FR 67491, Dec. 23, 1996]



Sec. 225.29  Penalties.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or

[[Page 288]]

other employee or agent of a railroad; any owner, manufacturer, lessor, 
or lessee of railroad equipment, track, or facilities; any independent 
contractor providing goods or services to a railroad; and any employee 
of such owner, manufacturer, lessor, lessee, or independent contractor) 
who violates any requirement of this part or causes the violation of any 
such requirement is subject to a civil penalty of at least $500 and not 
more than $11,000 per violation, except that: Penalties may be assessed 
against individuals only for willful violations, and where a grossly 
negligent violation or a pattern of repeated violations has created an 
imminent hazard of death or injury to persons, or has caused death or 
injury, a penalty not to exceed $22,000 per violation may be assessed. 
Each day a violation continues shall constitute a separate offense. See 
appendix A to this part for a statement of agency civil penalty policy. 
A person may also be subject to the criminal penalties provided for in 
49 U.S.C. 21311.

[53 FR 28601, July 28, 1988, as amended at 53 FR 52931, Dec. 29, 1988; 
61 FR 30971, June 18, 1996; 63 FR 11622, Mar. 10, 1998]



Sec. 225.31  Investigations.

    (a) It is the policy of the FRA to investigate rail transportation 
accidents/incidents which result in the death of a railroad employee or 
the injury of five or more persons. Other accidents/incidents are 
investigated when it appears that an investigation would substantially 
serve to promote railroad safety.
    (b) FRA representatives are authorized to investigate accidents/
incidents and have been issued credentials authorizing them to inspect 
railroad records and properties. They are authorized to obtain all 
relevant information concerning accidents/incidents under investigation, 
to make inquiries of persons having knowledge of the facts, conduct 
interviews and inquiries, and attend as an observer, hearings conducted 
by railroads. When necessary to carry out an investigation, the FRA may 
authorize the issuance of subpoenas to require the production of records 
and the giving of testimony.
    (c) Whenever necessary, the FRA will schedule a public hearing 
before an authorized hearing officer, in which event testimony will be 
taken under oath, a record made, and opportunity provided to question 
witnesses.
    (d) When necessary in the conduct of an investigation, the Federal 
Railroad Administrator may require autopsies and other tests of the 
remains of railroad employees who die as a result of an accident/
incident.
    (e) Information obtained through FRA accident investigations may be 
published in public reports or used for other purposes FRA deems to be 
appropriate.
    (f) Section 20903 of title 49 of the United States Code provides 
that no part of a report of an accident investigation under section 
20902 of title 49 of the United States Code may be admitted as evidence 
or used for any purpose in any suit or action for damages growing out of 
any matter mentioned in the accident investigation report.

[39 FR 43224, Dec. 11, 1974, as amended at 61 FR 30971, June 18, 1996]



Sec. 225.33  Internal Control Plans.

    (a) Each railroad shall adopt and comply with a written Internal 
Control Plan that shall be maintained at the office where the railroad's 
reporting officer conducts his or her official business. Each railroad 
shall amend its Internal Control Plan, as necessary, to reflect any 
significant changes to the railroad's internal reporting procedures. The 
Internal Control Plan shall be designed to maintain absolute accuracy 
and shall include, at a minimum, each of the following components:
    (1) A policy statement declaring the railroad's commitment to 
complete and accurate reporting of all accidents, incidents, injuries, 
and occupational illnesses arising from the operation of the railroad, 
to full compliance with the letter and spirit of FRA's accident 
reporting regulations, and to the principle, in absolute terms, that 
harassment or intimidation of any person that is calculated to 
discourage or prevent such person from receiving proper medical 
treatment or from reporting such accident, incident, injury or illness 
will not be permitted or tolerated and will result in some stated 
disciplinary action against any employee, supervisor, manager, or 
officer of the

[[Page 289]]

railroad committing such harassment or intimidation.
    (2) The dissemination of the policy statement; complaint procedures. 
Each railroad shall provide to all employees, supervisory personnel, and 
management the policy statement described in paragraph (a)(1). Each 
railroad shall have procedures to process complaints from any person 
about the policy stated in paragraph (a)(1) being violated, and to 
impose the appropriate prescribed disciplinary actions on each employee, 
supervisor, manager, or officer of the railroad found to have violated 
the policy. These procedures shall be disclosed to railroad employees, 
supervisors, managers, and officers. The railroad shall provide 
``whistle blower'' protection to any person subject to this policy, and 
such policy shall be disclosed to all railroad employees, supervisors 
and management.
    (3) Copies of internal forms and/or a description of the internal 
computer reporting system used for the collection and internal recording 
of accident and incident information.
    (4) A description of the internal procedures used by the railroad 
for the processing of forms and/or computerized data regarding accident 
and incident information.
    (5) A description of the internal review procedures applicable to 
accident and incident information collected, and reports prepared by, 
the railroad's safety, claims, medical and/or other departments engaged 
in collecting and reporting accident and incident information.
    (6) A description of the internal procedures used for collecting 
cost data and compiling costs with respect to accident and incident 
information.
    (7) A description of applicable internal procedures for ensuring 
adequate communication between the railroad department responsible for 
submitting accident and incident reports to FRA and any other department 
within the railroad responsible for collecting, receiving, processing 
and reporting accidents and incidents.
    (8) A statement of applicable procedures providing for the updating 
of accident and incident information prior to reporting to FRA and a 
statement of applicable procedures providing for the amendment of 
accident and incident information as specified in the ``FRA Guide for 
Preparing Accidents/Incidents Reports.''
    (9) A statement that specifies the name and title of the railroad 
officer responsible for auditing the performance of the reporting 
function; a statement of the frequency (not less than once per calendar 
year) with which audits are conducted; and identification of the site 
where the most recent audit report may be found for inspection and 
photocopying.
    (10)(i) A brief description of the railroad organization, including 
identification of:
    (A) All components that regularly come into possession of 
information pertinent to the preparation of reports under this part 
(e.g., medical, claims, and legal departments; operating, mechanical, 
and track and structures departments; payroll, accounting, and personnel 
departments);
    (B) The title of each railroad reporting officer;
    (C) The title of each manager of such components, by component; and
    (D) All officers to whom managers of such components are 
responsible, by component.
    (ii) A current organization chart satisfies paragraphs (a)(10)(i) 
(B), (C), and (D) of this section.
    (b) [Reserved]

[61 FR 30972, June 18, 1996, as amended at 61 FR 59371, Nov. 22, 1996; 
61 FR 67491, Dec. 23, 1996]



Sec. 225.35  Access to records and reports.

    Each railroad subject to this part shall have at least one location, 
and shall identify each location, where any representative of the 
Federal Railroad Administration or of a State agency participating in 
investigative and surveillance activities under part 212 of this chapter 
or any other authorized representative, has centralized access to a copy 
of any record and report required under this part, for examination and 
photocopying in a reasonable manner during normal business hours.
    Each railroad subject to this part shall also provide to any 
representative of the Federal Railroad Administration or of a State 
agency participating in

[[Page 290]]

investigative or and surveillance activities under part 212 of this 
chapter or any other authorized representative access to relevant 
medical and claims records for examination and photocopying in a 
reasonable manner during normal business hours. Such representatives 
shall display proper credentials when requested. Each railroad shall 
identify the locations where a copy of any record and report required 
under this part is accessible for inspection and photocopying by 
maintaining a list of such establishment locations at the office where 
the railroad's reporting officer conducts his or her official business. 
A copy of any record and report required under this part shall be 
accessible within four business hours after the request. FRA will not 
assess a monetary penalty against the railroad for its failure to 
provide the requested documentation when circumstances outside the 
railroad's control preclude it from fulfilling the four-business-hour 
time limit and the railroad has made a reasonable effort to correct the 
problem. Should a railroad assert a legal privilege with respect to 
certain claims and medical records, failure to provide FRA access to 
such records would not constitute a violation of this section. FRA 
retains the right to issue a subpoena to obtain such records under 49 
U.S.C. Secs. 20107 and 20902 and Secs. 209.7(a) and 225.31(b) of this 
title, and the railroad may contest that subpoena.

[61 FR 30972, June 18, 1996, as amended at 61 FR 59371, Nov. 22, 1996]



Sec. 225.37  Magnetic media transfer and electronic submission.

    (a) A railroad has the option of submitting the following reports, 
updates, and amendments by way of magnetic media (computer diskette or 
magnetic tape), or by means of electronic submission over telephone 
lines or other means:
    (1) The Rail Equipment Accident/Incident Report (Form FRA F 
6180.54);
    (2) the Railroad Injury and Illness Summary (Form FRA F 6180.55);
    (3) the Railroad Injury and Illness Summary (Continuation Sheet) 
(Form FRA F 6180.55a);
    (4) the Highway-Rail Grade Crossing Accident/Incident Report (Form 
FRA F 6180.57); and
    (5) the Batch Control Form (Form FRA F 6180.99).
    (b) Each railroad utilizing the magnetic media option shall submit 
to FRA the following:
    (1) the computer diskette or magnetic tape;
    (2) the Batch Control Form (Form FRA F 6180.99); and
    (3) a notarized hard copy of the Railroad Injury and Illness Summary 
(Form FRA F 6180.55), signed by the railroad's reporting officer.
    (c) Each railroad utilizing the electronic submission option shall 
submit to FRA the following:
    (1) the Batch Control Form (Form FRA F 6180.99) which is submitted 
to an FRA-designated computer; and
    (2) a notarized hard copy of the Railroad Injury and Illness Summary 
(Form FRA F 6180.55), signed by the railroad's reporting officer.
    (d) Each railroad employing either the magnetic media or electronic 
submission option, shall submit its monthly reporting data for the 
reports identified in paragraph (a) of this section in a year-to-date 
file format as described in the ``FRA Guide for Preparing Accidents/
Incidents Reports.''
    (e) In addition to fulfilling the requirements stated in paragraph 
(b) through (d) of this section, each railroad initially utilizing 
either the magnetic media or electronic submission option, shall submit 
the hard copy report(s) for each accident/incident it reports by such 
means. FRA will continually review the railroad``s submitted hard copy 
reports against the data it has submitted electronically, or by means of 
magnetic media. Once the magnetic media or electronic submission is in 
total agreement with the submitted hard copies of the reports for three 
consecutive reporting months, FRA will notify the railroad, in writing, 
that submission of the hard copy reports, except for the notarized 
Railroad Injury and Illness Summary, is no longer required.

[61 FR 30972, June 18, 1996]

[[Page 291]]



         Appendix A to Part 225--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
     Section (including computer code, if                      Willful
                  applicable)                    Violation    violation
------------------------------------------------------------------------
225.9  Telephonic reports of certain accidents/      $1,000       $2,000
 incidents....................................
225.11  Reports of accidents/ incidents.......        2,500        5,000
225.12(a):
    Failure to file Railroad Employee Human
     Factor Attachment properly...............
        (1) Employee identified...............        2,500        5,000
        (2) No employee identified............        1,000        2,000
225.12(b):
    (1) Failure to notify employee properly...        2,500        5,000
    (2) Notification of employee not involved         2,500        5,000
     in accident..............................
225.12(c):
    Failure of employing railroad to provide          1,000        2,000
     requested information properly...........
225.12(d):
    (1) Failure to revise report when identity        2,500        5,000
     becomes known............................
    (2) Failure to notify after late                  2,500        5,000
     identification...........................
225.12(f)(1):
    Submission of notice if employee dies as          2,500        5,000
     result of the reported accident..........
225.12(g):
    Willfully false accident statement by       ...........        5,000
     employee.................................
    225.13  Late reports......................        2,500        5,000
    225.17(d)  Alcohol or drug involvement....        2,500        5,000
    225.23  Joint operations..................        (\1\)        (\1\)
    225.25  Recordkeeping.....................        2,500        5,000
    225.27  Retention of records..............        1,000        2,000
    225.33:
        (1) Failure to adopt the Internal             2,500        5,000
         Control Plan.........................
        (2) Inaccurate reporting due to               2,500        5,000
         failure to comply with the Internal
         Control Plan.........................
        (3) Failure to comply with the                2,500        5,000
         intimidation/harassment policy in the
         Internal Control Plan................
    225.35  Access to records and reports.....        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 $22,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A. A failure to comply with Sec.  225.23
  constitutes a violation of Sec.  225.11. For purposes of Secs.  225.25
  and 225.27 of this part, each of the following constitutes a single
  act of noncompliance: (1) a missing or incomplete log entry for a
  particular employee's injury or illness; or (2) a missing or
  incomplete log record for a particular rail equipment accident or
  incident. Each day a violation continues is a separate offense.

[61 FR 30973, June 18, 1996, as amended at 63 FR 11622, Mar. 10, 1998]

  Appendix B to Part 225--Procedure for Determining Reporting Threshold

    1. Data from the U.S. Department of Labor, Bureau of Labor 
Statistics (BLS), LABSTAT Series Reports are used in the calculation. 
The equation used to adjust the reporting threshold uses the average 
hourly earnings reported for Class I railroads and Amtrak and an overall 
railroad equipment cost index determined by the BLS. The two factors are 
weighted equally.
    2. For the wage component, LABSTAT Series Report, Standard 
Industrial Classification (SIC) code 4011 for Class I Railroad Average 
Hourly Earnings is used.
    3. For the equipment component, LABSTAT Series Report, Producer 
Price Index (PPI) Series WPU 144 for Railroad Equipment is used.
    4. In the month of October, final data covering the 12-month period 
ending with the month of June are obtained from BLS. The 12 monthly 
figures are totaled and divided by 12 to produce monthly averages to be 
used in computing the projected annual (12-month) average for the next 
calendar year.
    5. The wage data are reported in terms of dollars earned per hour, 
while the equipment cost data are indexed to a base year of 1982.
    6. The procedure for adjusting the reporting threshold is shown in 
the formula below. The wage component appears as a fractional change 
relative to the prior year, while the equipment component is a 
difference of two percentages which must be divided by 100 to present it 
in a consistent fractional form. After performing the calculation, the 
result is rounded to the nearest $100.
    7. The current weightings represent the general assumption that 
damage repair costs, at levels at or near the threshold, are split 
approximately evenly between labor and materials.
    8. Formula:

[[Page 292]]

[GRAPHIC] [TIFF OMITTED] TR02DE97.000

Where:
Prior Threshold = $6,600 (for rail equipment accidents/incidents that 
          occur during calendar year 1998)
Wn = New average hourly wage rate ($) = 18.085000
Wp = Prior average hourly wage rate ($) = 17.990833
En = New equipment average PPI value = 134.49166
Ep = Prior equipment average PPI value = 135.91666
    9. The result of these calculations is $6,570.2472. Since the result 
is rounded to the nearest $100, the new reporting threshold for rail 
equipment accidents/incidents that occur during calendar year 1999 
remains at $6,600.

[62 FR 63676, Dec. 2, 1997, as amended at 63 FR 71791, Dec. 30, 1998]



PART 228--HOURS OF SERVICE OF RAILROAD EMPLOYEES--Table of Contents




                           Subpart A--General

Sec.
228.1  Scope.
228.3  Application.
228.5  Definitions.

                    Subpart B--Records and Reporting

228.7  Hours of duty.
228.9  Railroad records; general.
228.11  Hours of duty records.
228.17  Dispatcher's record of train movements.
228.19  Monthly reports of excess service.
228.21  Civil penalty.
228.23  Criminal penalty.

          Subpart C--Construction of Employee Sleeping Quarters

228.101  Distance requirement; definitions.
228.103  Approval procedure: construction within one-half mile (2,640 
          feet) (804 meters).
228.105  Additional requirements; construction within one-third mile 
          (1,760 feet) (536 meters) of certain switching.
228.107  Action on petition.

Appendix A to Part 228--Requirements of the Hours of Service Act: 
          Statement of Agency Policy and Interpretation
Appendix B to Part 228--Schedule of Civil Penalties
Appendix C to Part 228--Guidelines for Clean, Safe, and Sanitary 
          Railroad Provided Camp Cars

    Authority: 49 U.S.C. 20103, 20107, 21101-21108, and 49 CFR 1.49.

    Source: 37 FR 12234, June 21, 1972, unless otherwise noted.



                           Subpart A--General



Sec. 228.1  Scope.

    This part--
    (a) Prescribes reporting and record keeping requirements with 
respect to the hours of service of certain railroad employees; and
    (b) Establishes standards and procedures concerning the construction 
or reconstruction of employee sleeping quarters.

[43 FR 31012, July 19, 1978]



Sec. 228.3  Application.

    (a) Except as provided in paragraph (b), this part applies to all 
railroads.
    (b) This part does not apply to:
    (1) A railroad that operates only on track inside an installation 
which is not part of the general railroad system of transportation; or
    (2) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation.

[54 FR 33229, Aug. 14, 1989]



Sec. 228.5  Definitions.

    As used in this part:
    (a) Administrator means the Administrator of the Federal Railroad 
Administrator or any person to whom he delegated authority in the matter 
concerned.
    (b) Carrier, common carrier, and common carrier engaged in 
interstate or foreign commerce by railroad mean railroad as that term is 
defined below.
    (c) Employee means an individual employed by the common carrier who 
(1) is actually engaged in or connected

[[Page 293]]

with the movement of any train, including a person who performs the 
duties of a hostler, (2) dispatches, reports, transmits, receives, or 
delivers orders pertaining to train movements by the use of telegraph, 
telephone, radio, or any other electrical or mechanical device, or (3) 
is engaged in installing, repairing or maintaining signal systems.
    (d) Railroad means all forms of non-highway ground transportation 
that run on rails or electromagnetic guideways, including (1) commuter 
or other short-haul rail passenger service in a metropolitan or suburban 
area, and (2) high speed ground transportation systems that connect 
metropolitan areas, without regard to whether they use new technologies 
not associated with traditional railroads. Such term does not include 
rapid transit operations within an urban area that are not connected to 
the general railroad system of transportation.

[54 FR 33229, Aug. 14, 1989]



                    Subpart B--Records and Reporting



Sec. 228.7  Hours of duty.

    (a) For purposes of this part, time on duty of an employee actually 
engaged in or connected with the movement of any train, including a 
hostler, begins when he reports for duty and ends when he is finally 
released from duty, and includes--
    (1) Time engaged in or connected with the movement of any train;
    (2) Any interim period available for rest at a location that is not 
a designated terminal;
    (3) Any interim period of less than 4 hours available for rest at a 
designated terminal;
    (4) Time spent in deadhead transportation en route to a duty 
assignment; and
    (5) Time engaged in any other service for the carrier.

Time spent in deadhead transportation by an employee returning from duty 
to his point of final release may not be counted in computing time off 
duty or time on duty.
    (b) For purposes of this part, time on duty of an employee who 
dispatches, reports, transmits, receives, or delivers orders pertaining 
to train movements by use of telegraph, telephone, radio, or any other 
electrical or mechanical device includes all time on duty in other 
service performed for the common carrier during the 24-hour period 
involved.
    (c) For purposes of this part, time on duty of an employee who is 
engaged in installing, repairing or maintaining signal systems includes 
all time on duty in other service performed for a common carrier during 
the 24-hour period involved.

[37 FR 12234, June 21, 1972, as amended at 43 FR 3124, Jan. 23, 1978]



Sec. 228.9  Railroad records; general.

    (a) Records maintained under this part shall be--
    (1) Signed by the employee whose time on duty is being recorded or, 
in the case of train and engine crews, signed by the ranking crew 
member;
    (2) Retained for 2 years; and
    (3) Available for inspection and copying by the Administrator during 
regular business hours.
    (b) [Reserved]



Sec. 228.11  Hours of duty records.

    (a) Each carrier shall keep a record of the following information 
concerning the hours of duty of each employee:
    (1) Identification of employee.
    (2) Place, date, and beginning and ending times for hours of duty in 
each occupation.
    (3) Total time on duty in all occupations.
    (4) Number of consecutive hours off duty prior to going on duty.
    (5) Beginning and ending times of periods spent in transportation, 
other than personal commuting, to or from a duty assignment and mode of 
transportation (train, track car, carrier motor vehicle, personal 
automobile, etc.).
    (b) [Reserved]

[37 FR 12234, June 21, 1972, as amended at 43 FR 3124, Jan. 23, 1978]



Sec. 228.17  Dispatcher's record of train movements.

    (a) Each carrier shall keep, for each dispatching district, a record 
of train movements made under the direction and control of a dispatcher 
who uses telegraph, telephone, radio, or any

[[Page 294]]

other electrical or mechanical device to dispatch, report, transmit, 
receive, or deliver orders pertaining to train movements. The following 
information shall be included in the record:
    (1) Identification of timetable in effect.
    (2) Location and date.
    (3) Identification of dispatchers and their times on duty.
    (4) Weather conditions at 6-hour intervals.
    (5) Identification of enginemen and conductors and their times on 
duty.
    (6) Identification of trains and engines.
    (7) Station names and office designations.
    (8) Distances between stations.
    (9) Direction of movement and the time each train passes all 
reporting stations.
    (10) Arrival and departure times of trains at all reporting 
stations.
    (11) Unusual events affecting movement of trains and identification 
of trains affected.
    (b) [Reserved]



Sec. 228.19  Monthly reports of excess service.

    (a) Each carrier shall report to the Associate Administrator for 
Safety, (RRS-1), Federal Railroad Administration, Washington, DC 20590, 
each of the following instances within 30 days after the calendar month 
in which the instance occurs:
    (1) A member of a train or engine crew or other employee engaged in 
or connected with the movement of any train, including a hostler, is on 
duty for more than 12 consecutive hours.
    (2) A member of a train or engine crew or other employee engaged in 
or connected with the movement of any train, including a hostler, 
returns to duty after 12 hours of continuous service without at least 10 
consecutive hours off duty.
    (3) A member of a train or engine crew or other employee engaged in 
or connected with the movement of any train, including a hostler, 
continues on duty without at least 8 consecutive hours off duty during 
the preceding 24 hours.1
---------------------------------------------------------------------------

    1  Instances involving tours of duty that are broken by four 
or more consecutive hours off duty time at a designated terminal which 
do not constitute more than a total of 12 hours time on duty are not 
required to be reported, provided such tours of duty are immediately 
preceded by 8 or more consecutive hours off-duty time. Instances 
involving tours of duty that are broken by less than 8 consecutive hours 
off duty which constitute more than a total of 12 hours time on duty 
must be reported.
---------------------------------------------------------------------------

    (4) A member of a train or engine crew or other employee engaged in 
or connected with the movement of any train, including a hostler, 
returns to duty without at least 8 consecutive hours off duty during the 
preceding 24 hours. 1
    (5) An employee who transmits, receives, or delivers orders 
affecting train movements is on duty for more than 9 hours in any 24-
hour period at an office where two or more shifts are employed.
    (6) An employee who transmits, receives, or delivers orders 
affecting train movements is on duty for more than 12 hours in any 24-
hour period at any office where one shift is employed.
    (7) An employee engaged in installing, repairing or maintaining 
signal systems is on duty for more than 12 hours in a twenty-four hour 
period.
    (8) An employee engaged in installing, repairing or maintaining 
signal systems returns to duty after 12 hours of continuous service 
without at least 10 consecutive hours off duty.
    (9) An employee engaged in installing, repairing or maintaining 
signal systems continues on duty without at least 8 consecutive hours 
off duty during the preceding 24 hours.
    (10) An employee engaged in installing, repairing or maintaining 
signal systems returns to duty without at least 8 consecutive hours off 
duty during the preceding 24 hours.
    (b) Reports required by paragraph (a) of this section shall be filed 
in writing on FRA Form F-6180-3 2 with the Office

[[Page 295]]

of Safety, Federal Railroad Administration, Washington, DC 20590. A 
separate form shall be used for each instance reported.
---------------------------------------------------------------------------

    2  Form may be obtained from the Office of Safety, 
Federal Railroad Administration, Washington, DC 20590. Reproduction is 
authorized.

[37 FR 12234, June 21, 1972, as amended at 43 FR 3124, Jan. 23, 1978]



Sec. 228.21  Civil penalty.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix B to this part for a 
statement of agency civil penalty policy. Violations of the Hours of 
Service Act itself (e.g., requiring an employee to work excessive hours 
or beginning construction of a sleeping quarters subject to approval 
under subpart C of this part without prior approval) are subject to 
penalty under that Act's penalty provision, 45 U.S.C. 64a.

[53 FR 52931, Dec. 29, 1988, as amended at 63 FR 11622, Mar. 10, 1998]



Sec. 228.23  Criminal penalty.

    Any person who knowingly and willfully falsifies a report or record 
required to be kept under this part or otherwise knowingly and willfully 
violates any requirement of this part may be liable for criminal 
penalties of a fine up to $5,000, imprisonment for up to two years, or 
both, in accordance with 45 U.S.C. 438(e).

[53 FR 52931, Dec. 29, 1988]



          Subpart C--Construction of Employee Sleeping Quarters

    Source: 43 FR 31012, July 19, 1978, unless otherwise noted.



Sec. 228.101  Distance requirement; definitions.

    (a) The Hours of Service Act, as amended (45 U.S.C. 61-64b), makes 
it unlawful for any common carrier engaged in interstate or foreign 
commerce by railroad to begin, on or after July 8, 1976, the 
construction or reconstruction of sleeping quarters for employees who 
perform duties covered by the act ``within or in the immediate vicinity 
(as determined in accordance with rules prescribed by the Secretary of 
Transportation) of any area where railroad switching or humping 
operations are performed.'' 45 U.S.C. 62(a)(4). This subpart sets forth 
(1) a general definition of ``immediate vicinity'' (Sec. 228.101(b)), 
(2) procedures under which a carrier may request a determination by the 
Federal Railroad Administration that a particular proposed site is not 
within the ``immediate vicinity'' of railroad switching or humping 
operations (Secs. 228.103 and 228.105), and (3) the basic criteria 
utilized in evaluating proposed sites (Sec. 228.107).
    (b) Except as determined in accordance with the provisions of this 
subpart. ``The immediate vicinity'' shall mean the area within one-half 
mile (2,640 feet) (804 meters) of switching or humping operations as 
measured from the nearest rail of the nearest trackage where switching 
or humping operations are performed to the point on the site where the 
carrier proposes to construct or reconstruct the exterior wall of the 
structure, or portion of such wall, which is closest to such operations.
    (c) As used in this subpart--
    (1) Construction shall refer to the--
    (i) Creation of a new facility;
    (ii) Expansion of an existing facility;
    (iii) Placement of a mobile or modular facility; or
    (iv) Acquisition and use of an existing building.

[[Page 296]]

    (2) Reconstruction shall refer to the--
    (i) Replacement of an existing facility with a new facility on the 
same site; or
    (ii) Rehabilitation or improvement of an existing facility (normal 
periodic maintenance excepted) involving the expenditure of an amount 
representing more than 50 percent of the cost of replacing such facility 
on the same site at the time the work of rehabilitation or improvement 
began, the replacement cost to be estimated on the basis of contemporary 
construction methods and materials.
    (3) Switching or humping operations includes the classification of 
placarded railroad cars according to commodity or destination, 
assembling of placarded cars for train movements, changing the position 
of placarded cars for purposes of loading, unloading, or weighing, and 
the placing of placarded cars for repair. However, the term does not 
include the moving of rail equipment in connection with work service, 
the moving of a train or part of a train within yard limits by a road 
locomotive or placing locomotives or cars in a train or removing them 
from a train by a road locomotive while en route to the train's 
destination. The term does include operations within this definition 
which are conducted by any railroad; it is not limited to the operations 
of the carrier contemplating construction or reconstruction of railroad 
employee sleeping quarters.
    (4) Placarded car shall mean a railroad car required to be placarded 
by the Department of Transportation hazardous materials regulations (49 
CFR 172.504).
    (5) The term Leq (8) shall mean the equivalent steady 
state sound level which in 8 hours would contain the same acoustic 
energy as the time-varying sound level during the same time period.



Sec. 228.103  Approval procedure: construction within one-half mile (2,640 feet) (804 meters).

    (a) A common carrier that has developed plans for the construction 
or reconstruction of sleeping quarters subject to this subpart and which 
is considering a site less than one-half mile (2,640 feet) (804 meters) 
from any area where switching or humping operations are performed, 
measured from the nearest rail of the nearest trackage utilized on a 
regular or intermittent basis for switching or humping operations to the 
point on the site where the carrier proposes to construct or reconstruct 
the exterior wall of the structure, or portion of such wall, which is 
closest to such operations, must obtain the approval of the Federal 
Railroad Administration before commencing construction or reconstruction 
on that site. Approval may be requested by filing a petition conforming 
to the requirements of this subpart.
    (b) A carrier is deemed to have conducted switching or humping 
operations on particular trackage within the meaning of this subpart if 
placarded cars are subjected to the operations described in 
Sec. 228.101(c)(3) within the 365-day period immediately preceding the 
date construction or reconstruction is commenced or if such operations 
are to be permitted on such trackage after such date. If the carrier 
does not have reliable records concerning the traffic handled on the 
trackage within the specified period, it shall be presumed that 
switching of placarded cars is conducted at the location and 
construction or reconstruction of sleeping quarters within one-half mile 
shall be subject to the approval procedures of this subpart.
    (c) A petition shall be filed in triplicate with the Secretary, 
Railroad Safety Board, Federal Railroad Administration, Washington, DC 
20590 and shall contain the following:
    (1) A brief description of the type of construction planned, 
including materials to be employed, means of egress from the quarters, 
and actual and projected exterior noise levels and projected interior 
noise levels;
    (2) The number of employees expected to utilize the quarters at full 
capacity;
    (3) A brief description of the site, including:
    (i) Distance from trackage where switching or humping operations are 
performed, specifying distances from particular functions such as 
classification, repair, assembling of trains from large groups of cars, 
etc. cetera;

[[Page 297]]

    (ii) Topography within a general area consisting of the site and all 
of the rail facilities close to the site;
    (iii) Location of other physical improvements situated between the 
site and areas where railroad operations are conducted;
    (4) A blueprint or other drawing showing the relationship of the 
site to trackage and other planned and existing facilities;
    (5) The proposed or estimated date for commencement of construction;
    (6) A description of the average number and variety of rail 
operations in the areas within one-half mile (2,640 feet) (804 meters) 
of the site (e.g., number of cars classified in 24-hour period; number 
of train movements);
    (7) An estimate of the average daily number of placarded rail cars 
transporting hazardous materials through the railroad facility (where 
practicable, based on a 365-day period sample, that period not having 
ended more than 120 days prior to the date of filing the petition), 
specifying the--
    (i) Number of such cars transporting class A explosives and poison 
gases; and
    (ii) Number of DOT Specification 112A and 114A tank cars 
transporting flammable gas subject to FRA emergency order No. 5;
    (8) A statement certified by a corporate officer of the carrier 
possessing authority over the subject matter explaining any plans of 
that carrier for utilization of existing trackage, or for the 
construction of new trackage, which may impact on the location of 
switching or humping operations within one-half mile of the proposed 
site (if there are no plans, the carrier official must so certify); and
    (9) Any further information which is necessary for evaluation of the 
site.
    (d) A petition filed under this section must contain a statement 
that the petition has been served on the recognized representatives of 
the railroad employees who will be utilizing the proposed sleeping 
quarters, together with a list of the employee representatives served.



Sec. 228.105  Additional requirements; construction within one-third mile (1,760 feet) (536 meters) of certain switching.

    (a) In addition to providing the information specified by 
Sec. 228.103, a carrier seeking approval of a site located within one-
third mile (1,760 feet) (536 meters) of any area where railroad 
switching or humping operations are performed involving any cars 
required to be placarded ``EXPLOSIVES A'' or ``POISON GAS'' or any DOT 
Specification 112A or 114A tank cars transporting flammable gas subject 
to FRA emergency order No. 5 shall establish by a supplementary 
statement certified by a corporate officer possessing authority over the 
subject matter that--
    (1) No feasible alternate site located at or beyond one-third mile 
from switching or humping operations is either presently available to 
the railroad or is obtainable within 3 miles (15,840 feet) (4,827 
meters) of the reporting point for the employees who are to be housed in 
the sleeping quarters;
    (2) Natural or other barriers exist or will be created prior to 
occupancy of the proposed facility between the proposed site and any 
areas in which switching or humping operations are performed which will 
be adequate to shield the facility from the direct and severe effects of 
a hazardous materials accident/incident arising in an area of switching 
or humping operations;
    (3) The topography of the property is such as most likely to cause 
any hazardous materials unintentionally released during switching or 
humping to flow away from the proposed site; and
    (4) Precautions for ensuring employee safety from toxic gases or 
explosions such as employee training and evacuation plans, availability 
of appropriate respiratory protection, and measures for fire protection, 
have been considered.
    (b) In the absence of reliable records concerning traffic handled on 
trackage within the one-third mile area, it shall be presumed that the 
types of cars enumerated in paragraph (a) of this section are switched 
on that trackage; and the additional requirements of this section shall 
be met by the petitioning carrier, unless the carrier establishes

[[Page 298]]

that the switching of the enumerated cars will be effectively barred 
from the trackage if the petition is approved.



Sec. 228.107  Action on petition.

    (a) Each petition for approval filed under Sec. 228.103 is referred 
to the Railroad Safety Board for action in accordance with the 
provisions of part 211, title 49, CFR, concerning the processing of 
requests for special approvals.
    (b) In considering a petition for approval filed under this subpart, 
the Railroad Safety Board evaluates the material factors bearing on--
    (1) The safety of employees utilizing the proposed facility in the 
event of a hazardous materials accident/incident and in light of other 
relevant safety factors; and
    (2) Interior noise levels in the facility.
    (c) The Railroad Safety Board will not approve an application 
submitted under this subpart if it appears from the available 
information that the proposed sleeping quarters will be so situated and 
constructed as to permit interior noise levels due to noise under the 
control of the railroad to exceed an Leq(8) value of 55dB(A). 
If individual air conditioning and heating systems are to be utilized, 
projections may relate to noise levels with such units turned off.
    (d) Approval of a petition filed under this subpart may be withdrawn 
or modified at any time if it is ascertained, after opportunity for a 
hearing, that any representation of fact or intent made by a carrier in 
materials submitted in support of a petition was not accurate or 
truthful at the time such representation was made.

   Appendix A to Part 228--Requirements of the Hours of Service Act: 
              Statement of Agency Policy and Interpretation

    First enacted in 1907, the Hours of Service Act was substantially 
revised in 1969 by Public Law 91-169. Further amendments were enacted as 
part of the Federal Railroad Safety Authorization Act of 1976, Public 
Law 94-348 and by the Rail Safety Improvement Act of 1988, Public Law 
100-342. The purpose of the law is ``to promote the safety of employees 
and travelers upon railroads by limiting the hours of service of 
employees * * *.'' This appendix is designed to explain the effect of 
the law in commonly-encountered situations.
    The Act governs the maximum work hours of employees engaged in one 
or more of the basic categories of covered service treated below. If an 
individual performs more than one kind of covered service during a tour 
of duty, then the most restrictive of the applicable limitations 
control.
    The act applies to any railroad, as that term is defined in 45 
U.S.C. 431(e). It governs the carrier's operations over its own railroad 
and all lines of road which it uses.

                        train and engine service

    Covered Service. Train or engine service refers to the actual 
assembling or operation of trains. Employees who perform this type of 
service commonly include locomotive engineers, firemen, conductors, 
trainmen, switchmen, switchtenders (unless their duties come under the 
provisions of section 3) and hostlers. With the passage of the 1976 
amendments, both inside and outside hostlers are considered to be 
connected with the movement of trains. Previously, only outside hostlers 
were covered. Any other employee who is actually engaged in or connected 
with the movement of any train is also covered, regardless of his job 
title.
    Limitations on Hours. The Act establishes two limitations on hours 
of service. First, no employee engaged in train or engine service may be 
required or permitted to work in excess of twelve consecutive hours. 
After working a full twelve consecutive hours, an employee must be given 
at least ten consecutive hours off duty before being permitted to return 
to work.
    Second, no employee engaged in train or engine service may be 
required or permitted to continue on duty or go on duty unless he has 
had at least eight consecutive hours off duty within the preceding 
twenty-four hours. This latter limitation, when read in conjunction with 
the requirements with respect to computation of duty time (discussed 
below) results in several conclusions:
    (1) When an employee's work tour is broken or interrupted by a valid 
period of interim release (4 hours or more at a designated terminal), he 
may return to duty for the balance of the total 12-hour work tour during 
a 24-hour period.
    (2) After completing the 12 hours of broken duty, or at the end of 
the 24-hour period, whichever occurs first, the employee may not be 
required or permitted to continue on duty or to go on duty until he has 
had at least 8 consecutive hours off duty.
    (3) The 24-hour period referred to in paragraphs 1 and 2 above shall 
begin upon the commencement of a work tour by the employee immediately 
after his having received a statutory off-duty period of 8 or 10 hours 
as appropriate.

[[Page 299]]

    Duty time and effective periods of release. On-duty time commences 
when an employee reports at the time and place specified by the railroad 
and terminates when the employee is finally released of all 
responsibilities. (Time spent in deadhead transportation to a duty 
assignment is also counted as time on duty. See discussion below.) Any 
period available for rest that is of four or more hours and is at a 
designated terminal is off-duty time. All other periods available for 
rest must be counted as time on duty under the law, regardless of their 
duration.
    The term ``designated terminal'' means a terminal (1) which is 
designated in or under a collective bargaining agreement as the ``home'' 
or ``away-from-home'' terminal for a particular crew assignment and (2) 
which has suitable facilities for food and lodging. Carrier and union 
representatives may agree to establish additional designated terminals 
having such facilities as points of effective release under the Act. 
Agreements to designate additional terminals for purposes of release 
under the Act should be reduced to writing and should make reference to 
the particular assignments affected and to the Hours of Service Act. The 
following are common situations illustrating the designated terminal 
concept:
    (1) A freight or passenger road crew operates a train from home 
terminal ``A'' to away-from-home terminal ``B'' (or the reverse). 
Terminals ``A'' and ``B'' would normally be the designated terminals for 
this specific crew assignment. However, carrier and employee 
representatives may agree to designate additional terminals having 
suitable facilities for food and lodging as appropriate points of 
release under the Hours of Service Act.
    (2) A road crew operates a train in turn-around service from home 
terminal ``A'' to turn-around point ``B'' and back to ``A''. Terminal 
``A'' is the only designated terminal for this specific crew assignment, 
unless carrier and employee representatives have agreed to designate 
additional terminals having suitable facilities for food and lodging.
    (3) A crew is assigned to operate a maintenance-of-way work train 
from home terminal ``A'', work on line of road and tie up for rest along 
the line of road at point ``B''. Home terminal ``A'' and tie-up point 
``B'' both qualify as designated terminals for this specific work train 
crew assignment. Of course, suitable facilities for food and lodging 
must be available at tie-up point ``B''.
    Deadheading. Under the Act time spent in deadhead transportation 
receives special treatment. Time spent in deadhead transportation to a 
duty assignment by a train or engine service employee is considered on-
duty time. Time spent in deadhead transportation from the final duty 
assignment of the work tour to the point of final release is not 
computed as either time on duty or time off duty. Thus, the period of 
deadhead transportation to point of final release may not be included in 
the required 8- or 10-hour off-duty period. Time spent in deadhead 
transportation to a duty assignment is calculated from the time the 
employee reports for deadhead until he reaches his duty assignment.
    All time spent awaiting the arrival of a deadhead vehicle for 
transportation from the final duty assignment of the work tour to the 
point of final release is considered limbo time, i.e., neither time on 
duty nor time off duty, provided that the employee is given no specific 
responsibilities to perform during this time. However, if an employee is 
required to perform service of any kind during that period (e.g., 
protecting the train against vandalism, observing passing trains for any 
defects or unsafe conditions, flagging, shutting down locomotives, 
checking fluid levels, or communicating train consist information via 
radio), he or she will be considered as on duty until all such service 
is completed. Of course, where a railroad carrier's operating rules 
clearly relieve the employee of all duties during the waiting period and 
no duties are specifically assigned, the waiting time is not computed as 
either time on duty or time off duty.
    Transit time from the employee's residence to his regular reporting 
point is not considered deadhead time.
    If an employee utilizes personal automobile transportation to a 
point of duty assignment other than the regular reporting point in lieu 
of deadhead transportation provided by the carrier, such actual travel 
time is considered as deadheading time. However, if the actual travel 
time from his home to the point of duty assignment exceeds a reasonable 
travel time from the regular reporting point to the point of duty 
assignment, then only the latter period is counted. Of course, actual 
travel time must be reasonable and must not include diversions for 
personal reasons.
    Example: Employee A receives an assignment from an ``extra board'' 
located at his home terminal to protect a job one hour's drive from the 
home terminal. In lieu of transporting the employee by carrier 
conveyance, the railroad pays the employee a fixed amount to provide his 
own transportation to and from the outlying point. The employee is 
permitted to go directly from his home to the outlying point, a drive 
which takes 40 minutes. The normal driving time between his regular 
reporting point at his home terminal and the outlying point is 60 
minutes. The actual driving time, 40 minutes is considered deadhead time 
and is counted as time on duty under the Act.
    Employee A performs local switching service at the outlying point. 
When the employee returns from the outlying point that

[[Page 300]]

evening, and receives an ``arbitrary'' payment for his making the return 
trip by private automobile, 40 minutes of his time in transportation 
home is considered deadheading to point of final release and is not 
counted as either time on duty or time off duty.
    Wreck and relief trains. Prior to the 1976 amendments, crews of 
wreck and relief trains were exempted entirely from the limitations on 
hours of service. Under present law that is no longer the case. The crew 
of a wreck or relief train may be permitted to be on duty for not to 
exceed 4 additional hours in any period of 24 consecutive hours whenever 
an actual emergency exists and the work of the crew is related to that 
emergency. Thus, a crew could work up to 16 hours, rather than 12. The 
Act specifies that an emergency ceases to exist for purposes of this 
provision when the track is cleared and the line is open for traffic. An 
``emergency'' for purposes of wreck or relief service may be a less 
extraordinary or catastrophic event than an ``unavoidable accident or 
Act of God'' under section 5(d) of the Act.
    Example: The crew of a wreck train is dispatched to clear the site 
of a derailment which has just occurred on a main line. The wreck crew 
re-rails or clears the last car and the maintenance of way department 
releases the track to the operating department 14 hours and 30 minutes 
into the duty tour. Since the line is not clear until the wreck train is 
itself out of the way, the crew may operate the wreck train to its 
terminal, provided this can be accomplished within the total of 16 hours 
on duty.
    Emergencies. The Act contains no general exception using the term 
``emergency'' with respect to train or engine service or related work. 
See ``casualties,'' etc., under ``General Provisions''.

                      communication of train orders

    Covered Service. The handling of orders governing the movement of 
trains is the second type of covered service. This provision of the Act 
applies to any operator, train dispatcher or other employee who by the 
use of the telegraph, telephone, radio, or any other electical or 
mechanical device dispatches, reports, transmits, receives, or delivers 
orders pertaining to or affecting train movements.
    The approach of the law is functional. Thus, though a yardmaster 
normally is not covered by this provision, a yardmaster or other 
employee who performs any of the specified service during a duty tour is 
subject to the limitations on service for that entire tour.
    Limitations on hours. No employee who performs covered service 
involving communication of train orders may be required or permitted to 
remain on duty for more than nine hours, whether consecutive or in the 
aggregate, in any 24-hour period in any office, tower, station or place 
where two or more shifts are employed. Where only one shift is employed, 
the employee is restricted to 12 hours consecutively or in the aggregate 
during any 24-hour period.
    The provision on emergencies, discussed below, may extend the 
permissible hours of employees performing this type of service.
    Shifts. The term ``shift'' is not defined by the Act, but the 
legislative history of the 1969 amendments indicates that it means a 
tour of duty constituting a day's work for one or more employee 
performing the same class of work at the same station who are scheduled 
to begin and end work at the same time. The following are examples of 
this principle:

------------------------------------------------------------------------
              Scheduled Hours                      Classification
------------------------------------------------------------------------
7 a.m. to 3 p.m...........................  1 shift.
7 a.m. to 12:30 p.m. 1:30 p.m. to 8 p.m.        Do.
 (Schedule for one employee including one
 hour lunch period).
7 a.m. to 3 p.m. 7 a.m. to 3 p.m. (Two          Do.
 employees scheduled).
7 a.m. to 3 p.m. 8 a.m. to 4 p.m. (Two      2 shifts.
 employees scheduled).
------------------------------------------------------------------------

    Duty time and effective periods of release. If, after reporting to 
his place of duty, an employee is required to perform duties at other 
places during this same tour of duty, the time spent traveling between 
such places is considered as time on duty. Under the traditional 
administrative interpretation of section 3, other periods of 
transportation are viewed as personal commuting and, thus, off-duty 
time.
    A release period is considered off-duty time if it provides a 
meaningful period of relaxation and if the employee is free of all 
responsibilities to the carrier. One hour is the minimum acceptable 
release period for this type of covered service.
    Emergencies. The section of the Act dealing with dispatchers, 
operators, and others who transmit or receive train orders contains its 
own emergency provision. In case of emergency, an employee subject to 
the 9 or 12-hour limitation is permitted to work an additional four 
hours in any 24-hour period, but only for a maximum of three days in any 
period of seven consecutive days. However, even in an emergency 
situation the carrier must make reasonable efforts to relieve the 
employee.

                           General Provisions

                   (applicable to all covered service)

    Commingled Service. All duty time for a railroad even though not 
otherwise subject to the Act must be included when computing

[[Page 301]]

total on-duty time of an individual who performs one or more of the type 
of service covered by the Act. This is known as the principle of 
``commingled service''.
    For example, if an employee performs duty for 8 hours as a trainman 
and then is used as a trackman (not covered by the law) in the same 24-
hour period, total on-duty time is determined by adding the duty time as 
trackman to that as trainman. The law does not distinguish treatment of 
situations in which non-covered service follows, rather than precedes, 
covered service. The limitations on total hours apply on both cases. It 
should be remembered that attendance at required rules classes is duty 
time subject to the provisions on ``commingling''. Similarly, where a 
carrier compels attendance at a disciplinary proceeding, time spent in 
attendance is subject to the provisions on commingling.
    When an employee performs service covered by more than one 
restrictive provision, the most restrictive provision determines the 
total lawful on-duty time. Thus, when an employee performs duty in train 
or engine service and also as an operator, the provisions of the law 
applicable to operators apply to all on-duty and off-duty periods during 
such aggregate time. However, an employee subject to the 12 hour 
provision of section 2 of the law does not become subject to the 9 or 
12-hour provisions of section 3 merely because he receives, transmits or 
delivers orders pertaining to or affecting the movement of his train in 
the course of his duties as a trainman.
    Casualties, Unavoidable Accidents, Acts of God. Section 5(d) of the 
Act states the following: ``The provisions of this Act shall not apply 
in any case of casualty or unavoidable accident or the Act of God; nor 
where the delay was the result of a cause not known to the carrier or 
its officer or agent in charge of the employee at the time said employee 
left a terminal, and which could not have been foreseen.'' This passage 
is commonly referred to as the ``emergency provision''. Judicial 
construction of this sentence has limited the relief which it grants to 
situations which are truly unusual and exceptional. The courts have 
recognized that delays and operational difficulties are common in the 
industry and must be regarded as entirely foreseeable; otherwise, the 
Act will provide no protection whatsoever. Common operational 
difficulties which do not provide relief from the Act include, but are 
not limited to, broken draw bars, locomotive malfunctions, equipment 
failures, brake system failures, hot boxes, unexpected switching, 
doubling hills and meeting trains. Nor does the need to clear a main 
line or cut a crossing justify disregard of the limitations of the Act. 
Such contingencies must normally be anticipated and met within the 12 
hours. Even where an extraordinary event or combination of events occurs 
which, by itself, would be sufficient to permit excess service, the 
carrier must still employ due diligence to avoid or limit such excess 
service. The burden of proof rests with the carrier to establish that 
excess service could not have been avoided.
    Sleeping Quarters. Under the 1976 amendments to the Act it is 
unlawful for any common carrier to provide sleeping quarters for persons 
covered by the Hours of Service Act which do not afford such persons an 
opportunity for rest, free from interruptions caused by noise under the 
control of the railroad, in clean, safe, and sanitary quarters. Such 
sleeping quarters include crew quarters, camp or bunk cars, and 
trailers.
    Sleeping quarters are not considered to be ``free from interruptions 
caused by noise under the control of the railroad'' if noise levels 
attributable to noise sources under the control of the railroad exceed 
an Leq(8) value of 55dB(A).
    FRA recognizes that camp cars, either because of express limitations 
of local codes or by virtue of their physical mobility, cannot, for 
practical purposes, be subject to state or local housing, sanitation, 
health, electrical, or fire codes. Therefore, FRA is unable to rely upon 
state or local authorities to ensure that persons covered by the Act who 
reside in railroad-provided camp cars are afforded an opportunity for 
rest in ``clean, safe, and sanitary'' conditions. Accordingly, the 
guidelines in appendix C to this part 228 will be considered by FRA as 
factors to be used in applying the concepts of ``clean,'' ``safe,'' and 
``sanitary'' to camp cars provided by railroads for the use of employees 
covered by section 2(a)(3) of the Act. Failure to adhere to these 
guidelines might interfere with the ordinary person's ability to rest.
    Collective Bargaining. The Hours of Service Act prescribes the 
maximum permissible hours of service consistent with safety. However, 
the Act does not prohibit collective bargaining for shorter hours of 
service and time on duty.
    Penalty. As amended by the Rail Safety Improvement Act of 1988 and 
the Rail Safety Enforcement and Review Act of 1992, the penalty 
provisions of the law apply to any person (an entity of any type covered 
under 1 U.S.C. 1, including but not limited to the following: a 
railroad; a manager, supervisor, official, or other employee or agent of 
a railroad; any owner, manufacturer, lessor, or lessee of railroad 
equipment, track, or facilities; any independent contractor providing 
goods or services to a railroad; and any employee of such owner, 
manufacturer, lessor, lessee, or independent contractor), except that a 
penalty may be assessed against an individual only for a willful 
violation. See appendix A to 49 CFR part 209. For violations that 
occurred on September 3, 1992, a person

[[Page 302]]

who violates the Act is liable for a civil penalty, as the Secretary of 
Transportation deems reasonable, in an amount not less than $500 nor 
more than $11,000, except that where a grossly negligent violation or a 
pattern of repeated violations has created an imminent hazard of death 
or injury to persons, or has caused death or injury, a penalty not to 
exceed $22,000 may be assessed. The Federal Civil Penalties Inflation 
Adjustment Act of 1990 as amended by the Debt Collection Improvement Act 
of 1996 required agencies to increase the maximum civil monetary penalty 
for inflation. The amounts increased from $10,000 to $11,000 and from 
$20,000 to $22,000 respectively.
    Each employee who is required or permitted to be on duty for a 
longer period than prescribed by law or who does not receive a required 
period of rest represents a separate and distinct violation and subjects 
the railroad to a separate civil penalty. In the case of a violation of 
section 2(a)(3) or (a)(4) of the Act, each day a facility is in 
noncompliance constitutes a separate offense and subjects the railroad 
to a separate civil penalty.
    In compromising a civil penalty assessed under the Act, FRA takes 
into account the nature, circumstances, extent, and gravity of the 
violation committed, and, with respect to the person found to have 
committed such violation, the degree of culpability, any history of 
prior or subsequent offenses, ability to pay, effect on ability to 
continue to do business and such other matters as justice may require.
    Statute of limitations. No suit may be brought after the expiration 
of two years from the date of violation unless administrative 
notification of the violation has been provided to the person to be 
charged within that two year period. In no event may a suit be brought 
after expiration of the period specified in 28 U.S.C. 2462.
    Exemptions. A railroad which employs not more than 15 persons 
covered by the Hours of Service Act (including signalmen and hostlers) 
may be exempted from the law's requirements by the FRA after hearing and 
for good cause shown. The exemption must be supported by a finding that 
it is in the public interest and will not adversely affect safety. The 
exemption need not relate to all carrier employees. In no event may any 
employee of an exempt railroad be required or permitted to work beyond 
16 hours continuously or in the aggregate within any 24-hour period. Any 
exemption is subject to review at least annually.

[42 FR 27596, May 31, 1977, as amended at 43 FR 30804, July 18, 1978; 53 
FR 28601, July 28, 1988; 55 FR 30893, July 27, 1990; 58 FR 18165, Apr. 
8, 1993; 61 FR 20495, May 7, 1996; 63 FR 11622, Mar. 10, 1998]

         Appendix B to Part 228--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
Subpart B--Records and Reporting:
    228.9 Railroad records....................         $500       $1,000
    228.11 Hours of duty records..............          500        1,000
    228.17 Dispatcher's record................          500        1,000
    228.19 Monthly reports of excess service..        1,000        2,000
------------------------------------------------------------------------
\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 $20,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.


[53 FR 52931, Dec. 29, 1988]

    Appendix C to Part 228--Guidelines for Clean, Safe, and Sanitary 
                       Railroad Provided Camp Cars

    1. Definitions applicable to these Guidelines.
    (a) Camp Cars mean trailers and on-track vehicles, including outfit, 
camp, or bunk cars or modular homes mounted on flat cars, used to house 
or accommodate railroad employees. Wreck trains are not included.
    (b) Employee means any worker whose service is covered by the Hours 
of Service Act or who is defined as an employee for purposes of section 
2(a)(3) of that Act.
    (c) Lavatory means a basin or similar vessel used primarily for 
washing of the hands, arms, face, and head.
    (d) Nonwater carriage toilet facility means a toilet facility not 
connected to a sewer.
    (e) Number of employees means the number of employees assigned to 
occupy the camp cars.
    (f) Personal service room means a room used for activities not 
directly connected with the production or service function performed by 
the carrier establishment. Such activities include, but are not limited 
to, first-aid, medical services, dressing, showering, toilet use, 
washing, and eating.
    (g) Potable water means water that meets the quality standards 
prescribed in the U.S. Public Health Service Drinking Water Standards, 
published at 42 CFR part 72, or is approved for drinking purposes by the 
State or local authority having jurisdiction.
    (h) Toilet facility means a fixture maintained within a toilet room 
for the purpose of defecation or urination, or both.
    (i) Toilet room means a room maintained within or on the premises 
containing toilet facilities for use by employees.
    (j) Toxic material means a material in concentration or amount of 
such toxicity as to constitute a recognized hazard that is causing or is 
likely to cause death or serious physical harm.

[[Page 303]]

    (k) Urinal means a toilet facility maintained within a toilet room 
for the sole purpose of urination.
    (l) Water closet means a toilet facility maintained within a toilet 
room for the purpose of both defecation and urination and which is 
flushed with water.
    (m) Leq (8) means the equivalent steady sound level which in 8 hours 
would contain the same acoustic energy as the time-varying sound level 
during the same time period.
    2. Housekeeping.
    (a) All camp cars should be kept clean to the extent that the nature 
of the work allows.
    (b) To facilitate cleaning, every floor, working place, and 
passageway should be kept free from protruding nails, splinters, loose 
boards, and unnecessary holes and openings.
    3. Waste Disposal.
    (a) Any exterior receptacle used for putrescible solid or liquid 
waste or refuse should be so constructed that it does not leak and may 
be thoroughly cleaned and maintained in a sanitary condition. Such a 
receptacle should be equipped with a solid tight-fitting cover, unless 
it can be maintained in a sanitary condition without a cover. This 
requirement does not prohibit the use of receptacles designed to permit 
the maintenance of a sanitary condition without regard to the 
aforementioned requirements.
    (b) All sweepings, solid or liquid wastes, refuse, and garbage 
should be removed in such a manner as to avoid creating a menace to 
health and as often as necessary or appropriate to maintain a sanitary 
condition.
    4. Vermin Control.
    (a) Camp cars should be so constructed, equipped, and maintained, so 
far as reasonably practicable, as to prevent the entrance or harborage 
of rodents, insects, or other vermin. A continuing and effective 
extermination program should be instituted where their presence is 
detected.
    5. Water Supply.
    (a) Potable water. (1) Potable water should be adequately and 
conveniently provided to all employees in camp cars for drinking, 
washing of the person, cooking, washing of foods, washing of cooking or 
eating utensils, washing of food preparation or processing premises, and 
personal service rooms where such facilities are provided.
    (2) Potable drinking water dispensers should be designed, 
constructed, and serviced so that sanitary conditions are maintained, 
should be capable of being closed, and should be equipped with a tap.
    (3) Open containers such as barrels, pails, or tanks for drinking 
water from which the water must be dipped or poured, whether or not they 
are fitted with a cover, should not be used.
    (4) A common drinking cup and other common utensils should not be 
used.
    (b) The distribution lines should be capable of supplying water at 
sufficient operating pressures to all taps for normal simultaneous 
operation.
    6. Toilet facilities.
    (a) Toilet facilities. (1) Toilet facilities adequate for the number 
of employees housed in the camp car should be provided in convenient and 
safe location(s), and separate toilet rooms for each sex should be 
provided in accordance with table l of this paragraph. The number of 
facilities to be provided for each sex should be based on the number of 
employees of that sex for whom the facilities are furnished. Where 
toilet rooms will be occupied by no more than one person at a time, can 
be locked from the inside, and contain at least one water closet or 
nonwater carriage toilet facility, separate toilet rooms for each sex 
need not be provided. Where such single-occupancy rooms have more than 
one toilet facility, only one such facility in each toilet room should 
be counted for the purpose of table 1.

                                 Table 1
------------------------------------------------------------------------
                                                          Minimum No. of
                    No. of employees                          toilet
                                                          facilities \1\
------------------------------------------------------------------------
1 to 10.................................................             1
11 to 25................................................             2
26 to 49................................................             3
50 to 100...............................................             5
Over 100................................................           \2\
------------------------------------------------------------------------
\1\ Where toilet facilities will not be used by women, urinals may be
  provided instead of water closets or nonwater carriage toilet
  facilities, except that the number of water closets or facilities in
  such cases should not be reduced to less than \2/3\ of the minimum
  specified.
\2\ One additional fixture for each additional 25 employees.

    (2) When toilet facilities are provided in separate cars, toilet 
rooms should have a window space of not less than 6 square feet in area 
opening directly to the outside area or otherwise be satisfactorily 
ventilated. All outside openings should be screened with material that 
is equivalent to or better than 16-mesh. No fixture, water closet, 
nonwater carriage toilet facility or urinal should be located in a 
compartment used for other than toilet purposes.
    (3) The sewage disposal method should not endanger the health of 
employees.
    (b) Construction of toilet rooms. (1) Each water closet should 
occupy a separate compartment with a door and walls or partitions 
between fixtures sufficiently high to assure privacy.
    (2) Nonwater carriage toilet facilities should be located within 50 
feet, but as far as practical on the same side of the track on which 
camp cars are sited.
    (3) Each toilet facility should be lighted naturally, or 
artificially by a safe type of lighting available at all hours of the 
day and night. Flashlights can be substituted by the

[[Page 304]]

railroad when nonwater carriage toilet facilities are used.
    (4) An adequate supply of toilet paper should be provided in each 
water closet, or nonwater carriage toilet facility, unless provided to 
the employees individually.
    (5) Toilet facilities should be kept in a clean and sanitary 
condition. They should be cleaned regularly when occupied. In the case 
of nonwater carriage toilet facilities, they should be cleaned and 
changed regularly.
    7. Lavatories.
    (a) Lavatories should be made available to all rail employees housed 
in camp cars.
    (b) Each lavatory should be provided with either hot and cold 
running water or tepid running water.
    (c) Unless otherwise provided by agreement, hand soap or similar 
cleansing agents should be provided.
    (d) Unless otherwise provided by agreement, individual hand towels 
or sections thereof, of cloth or paper, warm air blowers or clean 
individual sections of continuous cloth toweling, convenient to the 
lavatories, should be provided.
    (e) One lavatory basin per six employees should be provided in 
shared facilities.
    8. Showering facilities.
    (a) Showering facilities should be provided in the following ratio: 
one shower should be provided for each 10 employees of each sex, or 
numerical fraction thereof, who are required to shower during the same 
shift.
    (b) Shower floors should be constructed of non-slippery materials. 
Floor drains should be provided in all shower baths and shower rooms to 
remove waste water and facilitate cleaning. All junctions of the curbing 
and the floor should be sealed. The walls and partitions of shower rooms 
should be smooth and impervious to the height of splash.
    (c) An adequate supply of hot and cold running water should be 
provided for showering purposes. Facilities for heating water should be 
provided.
    (d) Showers. 1. Unless otherwise provided by agreement, body soap or 
other appropriate cleansing agent convenient to the showers should be 
provided.
    2. Showers should be provided with hot and cold water feeding a 
common discharge line.
    3. Unless otherwise provided by agreement, employees who use showers 
should be provided with individual clean towels.
    9. Kitchens, dining hall and feeding facilities.
    (a) In all camp cars where central dining operations are provided, 
the food handling facilities should be clean and sanitary.
    (b) When separate kitchen and dining hall cars are provided, there 
should be a closable door between the living or sleeping quarters into a 
kitchen or dining hall car.
    10. Consumption of food and beverages on the premises.
    (a) Application. This paragraph should apply only where employees 
are permitted to consume food or beverages, or both, on the premises.
    (b) Eating and drinking areas. No employee should be allowed to 
consume food or beverages in a toilet room or in any area exposed to a 
toxic material.
    (c) Sewage disposal facilities. All sewer lines and floor drains 
from camp cars should be connected to public sewers where available and 
practical, unless the cars are equipped with holding tanks that are 
emptied in a sanitary manner.
    (d) Waste disposal containers provided for the interior of camp 
cars. An adequate number of receptacles constructed of smooth, corrosion 
resistant, easily cleanable, or disposable materials, should be provided 
and used for the disposal of waste food. Receptacles should be provided 
with a solid tightfitting cover unless sanitary conditions can be 
maintained without use of a cover. The number, size and location of such 
receptacles should encourage their use and not result in overfilling. 
They should be emptied regularly and maintained in a clean and sanitary 
condition.
    (e) Sanitary storage. No food or beverages should be stored in 
toilet rooms or in an area exposed to a toxic material.
    (f) Food handling. (1) All employee food service facilities and 
operations should be carried out in accordance with sound hygienic 
principles. In all places of employment where all or part of the food 
service is provided, the food dispensed should be wholesome, free from 
spoilage, and should be processed, prepared, handled, and stored in such 
a manner as to be protected against contamination.
    (2) No person with any disease communicable through contact with 
food or food preparation items should be employed or permitted to work 
in the preparation, cooking, serving, or other handling of food, 
foodstuffs, or materials used therein, in a kitchen or dining facility 
operated in or in connection with camp cars.
    11. Lighting. Each habitable room in a camp car should be provided 
with adequate lighting.
    12. First Aid. Adequate first aid kits should be maintained and made 
available for railway employees housed in camp cars for the emergency 
treatment of injured persons.
    13. Shelter.
    (a) Every camp car should be constructed in a manner that will 
provide protection against the elements.
    (b) All steps, entry ways, passageways and corridors providing 
normal entry to or between camp cars should be constructed of durable 
weather resistant material and properly maintained. Any broken or unsafe 
fixtures or components in need of repair should be repaired or replaced 
promptly.
    (c) Each camp car used for sleeping purposes should contain at least 
48 square feet of floor space for each occupant. At least a 7-

[[Page 305]]

foot ceiling measured at the entrance to the car should be provided.
    (d) Beds, cots, or bunks and suitable storage facilities such as 
wall lockers or space for foot lockers for clothing and personal 
articles should be provided in every room used for sleeping purposes. 
Except where partitions are provided, such beds or similar facilities 
should be spaced not closer than 36 inches laterally (except in modular 
units which cannot be spaced closer than 30 inches) and 30 inches end to 
end, and should be elevated at least 12 inches from the floor. If 
double-deck bunks are used, they should be spaced not less than 48 
inches both laterally and end to end. The minimum clear space between 
the lower and upper bunk should be not less than 27 inches. Triple-deck 
bunks should not be used.
    (e) Floors should be of smooth and tight construction and should be 
kept in good repair.
    (f) All living quarters should be provided with windows the total of 
which should be not less than 10 percent of the floor area. At least 
one-half of each window designed to be opened should be so constructed 
that it can be opened for purposes of ventilation. Durable opaque window 
coverings should be provided to reduce the entrance of light during 
sleeping hours.
    (g) All exterior openings should be effectively screened with 16-
mesh material. All screen doors should be equipped with self-closing 
devices.
    (h) In a facility where workers cook, live, and sleep, a minimum of 
90 square feet per person should be provided. Sanitary facilities should 
be provided for storing and preparing food.
    (i) In camp cars where meals are provided, adequate facilities to 
feed employees within a 60-minute period should be provided.
    (j) All heating, cooking, ventilation, air conditioning and water 
heating equipment should be installed in accordance with applicable 
local regulations governing such installations.
    (k) Every camp car should be provided with equipment capable of 
maintaining a temperature of at least 68 degrees F. during normal cold 
weather and no greater than 78 degrees F., or 20 degrees below ambient, 
whichever is warmer, during normal hot weather.
    (l) Existing camp cars may be grandfathered so as to only be subject 
to subparagraphs (c), (d), (f), (h), and (k), in accordance with the 
following as recommended maximums:

13 (c), (d), and (h)--by January 1, 1994.
13(f)--Indefinitely insofar as the ten percent (10%) requirement for 
window spacing is concerned.
13(k)--by January 1, 1992.

    14. Location. Camp cars occupied exclusively by individuals employed 
for the purpose of maintaining the right-of-way of a railroad should be 
located as far as practical from where ``switching or humping 
operations'' of ``placarded cars'' occur, as defined in 49 CFR 228.101 
(c)(3) and (c)(4), respectively. Every reasonable effort should be made 
to locate these camp cars at least one-half mile (2,640 feet) from where 
such switching or humping occurs. In the event employees housed in camp 
cars located closer than one-half mile (2,640 feet) from where such 
switching or humping of cars takes place are exposed to an unusual 
hazard at such location, the employees involved should be housed in 
other suitable accommodations. An unusual hazard means an unsafe 
condition created by an occurrence other than normal switching or 
humping.
    15. General provisions. (a) Sleeping quarters are not considered to 
be ``free of interruptions caused by noise under the control of the 
railroad'' if noise levels attributable to noise sources under the 
control of the railroad exceed an Leq (8) value of 55 dB(A), with 
windows closed and exclusive of cooling, heating, and ventilating 
equipment.
    (b) A railroad should, within 48 hours after notice of noncompliance 
with these recommendations, fix the deficient condition(s). Where 
holidays or weekends intervene, the railroad should fix the condition 
within 8 hours after the employees return to work. In the event such 
condition(s) affects the safety or health of the employees, such as 
water, cooling, heating or eating facilities, the railroad should 
provide alternative arrangements for housing and eating until the 
noncomplying condition is fixed.

[55 FR 30893, July 27, 1990]



PART 229--RAILROAD LOCOMOTIVE SAFETY STANDARDS--Table of Contents




                           Subpart A--General

Sec.
229.1  Scope.
229.3  Applicability.
229.4  Information collection.
229.5  Definitions.
229.7  Prohibited acts.
229.9  Movement of non-complying locomotives.
229.11  Locomotive identification.
229.13  Control of locomotives.
229.14  Non-MU control cab locomotives.
229.17  Accident reports.
229.19  Prior waivers.

                    Subpart B--Inspections and Tests

229.21  Daily inspection.
229.23  Periodic inspection: General.
229.25  Tests: Every periodic inspection.
229.27  Annual tests.
229.29  Biennial tests.

[[Page 306]]

229.31  Main reservoir tests.
229.33  Out-of-use credit.

                     Subpart C--Safety Requirements

                          General Requirements

229.41  Protection against personal injury.
229.43  Exhaust and battery gases.
229.45  General condition.

                              Brake System

229.46  Brakes: General.
229.47  Emergency brake valve.
229.49  Main reservoir system.
229.51  Aluminum main reservoirs.
229.53  Brake gauges.
229.55  Piston travel.
229.57  Foundation brake gear.
229.59  Leakage.

                              Draft System

229.61  Draft system.

                            Suspension System

229.63  Lateral motion.
229.64  Plain bearings.
229.65  Spring rigging.
229.67  Trucks.
229.69  Side bearings.
229.71  Clearance above top of rail.
229.73  Wheel sets.
229.75  Wheel and tire defects.

                            Electrical System

229.77  Current collectors.
229.79  Third rail shoes.
229.81  Emergency pole; shoe insulation.
229.83  Insulation or grounding of metal parts.
229.85  Doors and cover plates marked ``Danger''.
229.87  Hand-operated switches.
229.89  Jumpers; cable connections.
229.91  Motors and generators.

                      Internal Combustion Equipment

229.93  Safety cut-off device.
229.95  Venting.
229.97  Grounding fuel tanks.
229.99  Safety hangers.
229.101  Engines.

                            Steam Generators

229.103  Safe working pressure; factor of safety.
229.105  Steam generator number.
229.107  Pressure gauge.
229.109  Safety valves.
229.111  Water-flow indicator.
229.113  Warning notice.

                         Cabs and Cab Equipment

229.115  Slip/slide alarms.
229.117  Speed indicators.
229.119  Cabs, floors, and passageways.
229.121  Locomotive cab noise.
229.123  Pilots, snowplows, end plates.
229.125  Headlights and auxiliary lights.
229.127  Cab lights.
229.129  Audible warning device.
229.131  Sanders.
229.133  Interim locomotive conspicuity measures--auxiliary external 
          lights.
229.135  Event recorders.

                     Subpart D--Design Requirements

229.141  Body structure, MU locomotives.

Appendix A to Part 229--Form FRA 6180-49A [Note]
Appendix B to Part 229--Schedule of Civil Penalties
Appendix C to Part 229--FRA Locomotive Standards--Code of Defects [Note]

    Authority: 49 U.S.C. 20102-03, 20133, 20137-38, 20143, 20701-03, 
21301-02, 21304; 49 CFR 1.49(c), (m).

    Source: 45 FR 21109, Mar. 31, 1980, unless otherwise noted.



                           Subpart A--General



Sec. 229.1  Scope.

    This part prescribes minimum Federal safety standards for all 
locomotives except those propelled by steam power.



Sec. 229.3  Applicability.

    (a) Except as provided in paragraphs (b) through (e) of this 
section, this part applies to all standard gage railroads.
    (b) This part does not apply to:
    (1) A railroad that operates only on track inside an installation 
which is not part of the general railroad system of transportation; or
    (2) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation.
    (c) Paragraphs (a) and (b) of Sec. 229.125 do not apply to Tier II 
passenger equipment as defined in Sec. 238.5 of this chapter (i.e., 
passenger equipment operating at speeds exceeding 125 mph but not 
exceeding 150 mph).
    (d) On or after November 8, 1999, paragraphs (a)(1) and (b)(1) of 
Sec. 229.141 do not apply to ``passenger equipment'' as defined in 
Sec. 238.5 of this chapter, unless such equipment is excluded from the 
requirements of Secs. 238.203 through 238.219, and Sec. 238.223 of this 
chapter by operation of Sec. 238.201(a)(2) of this chapter.

[[Page 307]]

    (e) Paragraphs (a)(2) through (a)(4), and (b)(2) through (b)(4) of 
Sec. 229.141 do not apply to ``passenger equipment'' as defined in 
Sec. 238.5 of this chapter that is placed in service for the first time 
on or after September 8, 2000, unless such equipment is excluded from 
the requirements of Secs. 238.203 through 238.219, and Sec. 238.223 of 
this chapter by operation of Sec. 238.201(a)(2) of this chapter.

[54 FR 33229, Aug. 14, 1989, as amended at 64 FR 25659, May 12, 1999]



Sec. 229.4  Information collection.

    (a) The information collection requirements in this part have been 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1980, Public Law 96-511, and have been 
assigned OMB control number 2130-0004.
    (b) The information collection requirements are found in the 
following sections:
    (1) Section 229.9.
    (2) Section 229.17.
    (3) Section 229.21.
    (4) Section 229.23.
    (5) Section 229.25.
    (6) Section 229.27.
    (7) Section 229.29.
    (8) Section 229.31.
    (9) Section 229.33.
    (10) Section 229.55.
    (11) Section 229.103.
    (12) Section 229.105.
    (13) Section 229.113.
    (14) Section 229.135.

[50 FR 6953, Feb. 19, 1985, as amended at 58 FR 36613, July 8, 1993]



Sec. 229.5  Definitions.

    As used in this part--
    (a) Break means a fracture resulting in complete separation into 
parts.
    (b) Cab means that portion of the superstructure designed to be 
occupied by the crew operating the locomotive.
    (c) Carrier means railroad, as that term is defined below.
    (d) Control cab locomotive means a locomotive without propelling 
motors but with one or more control stands.
    (e) Crack means a fracture without complete separation into parts, 
except that castings with shrinkage cracks or hot tears that do not 
significantly diminish the strength of the member are not considered to 
be cracked.
    (f) Dead locomotive means--
    (1) A locomotive other than a control cab locomotive that does not 
have any traction device supplying tractive power; or
    (2) A control cab locomotive that has a locked and unoccupied cab.
    (g) Event recorder means a device, designed to resist tampering, 
that monitors and records data on train speed, direction of motion, 
time, distance, throttle position, brake applications and operations 
(including train brake, independent brake, and, if so equipped, dynamic 
brake applications and operations) and, where the locomotive is so 
equipped, cab signal aspect(s), over the most recent 48 hours of 
operation of the electrical system of the locomotive on which it is 
installed. A device, designed to resist tampering, that monitors and 
records the specified data only when the locomotive is in motion shall 
be deemed to meet this definition provided the device was installed 
prior to [insert the effective date of the rule] and records the 
specified data for the last eight hours the locomotive was in motion.
    (h) High voltage means an electrical potential of more than 150 
volts.
    (i) In-service event recorder means an event recorder that was 
successfully tested as prescribed in Sec. 229.25(e) and whose subsequent 
failure to operate as intended, if any, is not actually known by the 
railroad operating the locomotive on which it is installed.
    (j) Lite locomotive means a locomotive or a consist of locomotives 
not attached to any piece of equipment or attached only to a caboose.
    (k) Locomotive means a piece of on-track equipment other than hi-
rail, specialized maintenance, or other similar equipment--
    (1) With one or more propelling motors designed for moving other 
equipment;
    (2) With one or more propelling motors designed to carry freight or 
passenger traffic or both; or
    (3) Without propelling motors but with one or more control stands.
    (l) MU locomotive means a multiple operated electric locomotive 
described in paragraph (i)(2) or (3) of this section.
    (m) Powered axle is an axle equipped with a traction device.

[[Page 308]]

    (n) Railroad means all forms of non-highway ground transportation 
that run on rails or electromagnetic guideways, including (1) commuter 
or other short-haul rail passenger service in a metropolitan or suburban 
area, and (2) high speed ground transportation systems that connect 
metropolitan areas, without regard to whether they use new technologies 
not associated with traditional railroads. Such term does not include 
rapid transit operations within an urban area that are not connected to 
the general railroad system of transportation.
    (o) Serious injury means an injury that results in the amputation of 
any appendage, the loss of sight in an eye, the fracture of a bone, or 
the confinement in a hospital for a period of more than 24 consecutive 
hours.

[45 FR 21109, Mar. 31, 1980, as amended at 54 FR 33229, Aug. 14, 1989; 
58 FR 36613, July 8, 1993; 60 FR 27905, May 26, 1995]



Sec. 229.7  Prohibited acts.

    (a) The Locomotive Inspection Act (45 U.S.C. 22-34) makes it 
unlawful for any carrier to use or permit to be used on its line any 
locomotive unless the entire locomotive and its appurtenances--
    (1) Are in proper condition and safe to operate in the service to 
which they are put, without unnecessary peril to life or limb; and
    (2) Have been inspected and tested as required by this part.
    (b) Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
of the Locomotive Inspection Act or causes the violation of any such 
requirement is subject to a civil penalty of at least $500 and not more 
than $11,000 per violation, except that: Penalties may be assessed 
against individuals only for willful violations, and, where a grossly 
negligent violation or a pattern of repeated violations has created an 
imminent hazard of death or injury to persons, or has caused death or 
injury, a penalty not to exceed $22,000 per violation may be assessed. 
Each day a violation continues shall constitute a separate offense. See 
appendix B to this part for a statement of agency civil penalty policy.

[45 FR 21109, Mar. 31, 1980, as amended at 53 FR 28601, July 28, 1988; 
53 FR 52931, Dec. 29, 1988; 63 FR 11622, Mar. 10, 1998]



Sec. 229.9  Movement of non-complying locomotives.

    (a) Except as provided in paragraphs (b), (c) and Sec. 229.125(h), a 
locomotive with one or more conditions not in compliance with this part 
may be moved only as a lite locomotive or a dead locomotive after the 
carrier has complied with the following:
    (1) A qualified person shall determine--
    (i) That it is safe to move the locomotive; and
    (ii) The maximum speed and other restrictions necessary for safely 
conducting the movement;
    (2)(i) The engineer in charge of the movement of the locomotive 
shall be notified in writing and inform all other crew members in the 
cab of the presence of the non-complying locomotive and the maximum 
speed and other restrictions determined under paragraph (a)(1)(ii) of 
this section.
    (ii) A copy of the tag described in paragraph (a)(3) of this section 
may be used to provide the notification required by paragraph (a)(2)(i) 
of this section.
    (3) A tag bearing the words ``non-complying locomotive'' and 
containing the following information, shall be securely attached to the 
control stand on each MU or control cab locomotive and to the isolation 
switch or near the engine start switch on every other type of 
locomotive--
    (i) The locomotive number;
    (ii) The name of the inspecting carrier;
    (iii) The inspection location and date;
    (iv) The nature of each defect;
    (v) Movement restrictions, if any;
    (vi) The destination; and

[[Page 309]]

    (vii) The signature of the person making the determinations required 
by this paragraph.
    (b) A locomotive that develops a non-complying condition enroute may 
continue to utilize its propelling motors, if the requirements of 
paragraph (a) are otherwise fully met, until the earlier of--
    (1) The next calendar day inspection, or
    (2) The nearest forward point where the repairs necessary to bring 
it into compliance can be made.
    (c) A non-complying locomotive may be moved lite or dead within a 
yard, at speeds not in excess of 10 miles per hour, without meeting the 
requirements of paragraph (a) of this section if the movement is solely 
for the purpose of repair. The carrier is responsible to insure that the 
movement may be safely made.
    (d) A dead locomotive may not continue in use following a calendar 
day inspection as a controlling locomotive or at the head of a train or 
locomotive consist.
    (e) A locomotive does not cease to be a locomotive because its 
propelling motor or motors are inoperative or because its control jumper 
cables are not connected.
    (f) Nothing in this section authorizes the movement of a locomotive 
subject to a Special Notice for Repair unless the movement is made in 
accordance with the restrictions contained in the Special Notice.

[45 FR 21109, Mar. 31, 1980, as amended at 61 FR 8887, Mar. 6, 1996]



Sec. 229.11  Locomotive identification.

    (a) The letter ``F'' shall be legibly shown on each side of every 
locomotive near the end which for identification purposes will be known 
as the front end.
    (b) The locomotive number shall be displayed in clearly legible 
numbers on each side of each locomotive.



Sec. 229.13  Control of locomotives.

    Except when a locomotive is moved in accordance with Sec. 229.9, 
whenever two or more locomotives are coupled in remote or multiple 
control, the propulsion system, the sanders, and the power brake system 
of each locomotive shall respond to control from the cab of the 
controlling locomotive. If a dynamic brake or regenerative brake system 
is in use, that portion of the system in use shall respond to control 
from the cab of the controlling locomotive.



Sec. 229.14  Non-MU control cab locomotives.

    On each non-MU control cab locomotive, only those components added 
to the passenger car that enable it to serve as a lead locomotive, 
control the locomotive actually providing tractive power, and otherwise 
control the movement of the train, are subject to this part.



Sec. 229.17  Accident reports.

    (a) In the case of an accident due to a failure from any cause of a 
locomotive or any part or appurtenance of a locomotive, or a person 
coming in contact with an electrically energized part or appurtenance, 
that results in serious injury or death of one or more persons, the 
carrier operating the locomotive shall immediately report the accident 
by toll free telephone, Area Code 800-424-0201. The report shall state 
the nature of the accident, number of persons killed or seriously 
injured, the place at which it occurred, the location at which the 
locomotive or the affected parts may be inspected by the FRA, and the 
name, title and phone number of the person making the call. The 
locomotive or the part or parts affected by the accident shall be 
preserved intact by the carrier until after the FRA inspection.
    (b) Written confirmation of the oral report required by paragraph 
(a) of this section shall be immediately mailed to the Federal Railroad 
Administration, RRS-25, Washington, DC 20590, and contain a detailed 
description of the accident, including to the extent known, the causes 
and the number of persons killed and injured. The written report 
required by this paragraph is in addition to the reporting requirements 
of 49 CFR part 225.



Sec. 229.19  Prior waivers.

    All waivers of every form and type from any requirement of any order 
or

[[Page 310]]

regulation implementing the Locomotive Inspection Act, applicable to one 
or more locomotives except those propelled by steam power, shall lapse 
on August 31, 1980, unless a copy of the grant of waiver is filed prior 
to that date with the Office of Safety (RRS-23), Federal Railroad 
Administration, Washington, DC 20590.



                    Subpart B--Inspections and Tests



Sec. 229.21  Daily inspection.

    (a) Except for MU locomotives, each locomotive in use shall be 
inspected at least once during each calendar day. A written report of 
the inspection shall be made. This report shall contain the name of the 
carrier; the initials and number of the locomotive; the place, date and 
time of the inspection; a description of the non-complying conditions 
disclosed by the inspection; and the signature of the employee making 
the inspection. Except as provided in Sec. 229.9, any conditions that 
constitute non-compliance with any requirement of this part shall be 
repaired before the locomotive is used. A notation shall be made on the 
report indicating the nature of the repairs that have been made. The 
person making the repairs shall sign the report. The report shall be 
filed and retained for at least 92 days in the office of the carrier at 
the terminal at which the locomotive is cared for. A record shall be 
maintained on each locomotive showing the place, date and time of the 
previous inspection.
    (b) Each MU locomotive in use shall be inspected at least once 
during each calendar day and a written report of the inspection shall be 
made. This report may be part of a single master report covering an 
entire group of MU's. If any non-complying conditions are found, a 
separate, individual report shall be made containing the name of the 
carrier; the initials and number of the locomotive; the place, date, and 
time of the inspection; the non-complying conditions found; and the 
signature of the inspector. Except as provided in Sec. 229.9, any 
conditions that constitute non-compliance with any requirement of this 
part shall be repaired before the locomotive is used. A notation shall 
be made on the report indicating the nature of the repairs that have 
been made. The person making the repairs shall sign the report. The 
report shall be filed in the office of the carrier at the place where 
the inspection is made or at one central location and retained for at 
least 92 days.
    (c) Each carrier shall designate qualified persons to make the 
inspections required by this section.

[45 FR 21109, Mar. 31, 1980, as amended at 50 FR 6953, Feb. 19, 1985]



Sec. 229.23  Periodic inspection: General.

    (a) Each locomotive and steam generator shall be inspected at each 
periodic inspection to determine whether it complies with this part. 
Except as provided in Sec. 229.9, all non-complying conditions shall be 
repaired before the locomotive or the steam generator is used. Except as 
provided in Sec. 229.33, the interval between any two periodic 
inspections may not exceed 92 days. Periodic inspections shall only be 
made where adequate facilities are available. At each periodic 
inspection, a locomotive shall be positioned so that a person may safely 
inspect the entire underneath portion of the locomotive.
    (b) The periodic inspection of the steam generator may be postponed 
indefinitely if the water suction pipe to the water pump and the leads 
to the main switch (steam generator switch) are disconnected, and the 
train line shut-off-valve is wired closed or a blind gasket applied. 
However, the steam generator shall be so inspected before it is returned 
to use.
    (c) After April 30, 1980, each new locomotive shall receive an 
initial periodic inspection before it is used. Except as provided in 
Sec. 229.33, each locomotive in use on or before April 30, 1980, shall 
receive an initial periodic inspection within 92 days of the last 30-day 
inspection performed under the prior rules (49 CFR 230.331 and 230.451). 
At the initial periodic inspection, the date and place of the last tests 
performed that are the equivalent of the tests required by Secs. 229.27, 
229.29, and 229.31 shall be entered on Form FRA F 6180-49A. These dates 
shall determine when the tests first become due under Secs. 229.27, 
229.29, and 229.31. Out of use credit may be carried over from Form FRA 
F 6180-49 and entered on Form FRA F 6180-49A.

[[Page 311]]

    (d) Each periodic inspection shall be recorded on Form FRA F 6180-
49A. The form shall be signed by the person conducting the inspection 
and certified by that person's supervisor that the work was done. The 
form shall be displayed under a transparent cover in a conspicuous place 
in the cab of each locomotive.
    (e) At the first periodic inspection in each calendar year the 
carrier shall remove from each locomotive Form FRA F 6180-49A covering 
the previous calendar year. If a locomotive does not receive its first 
periodic inspection in a calendar year before April 2 because it is out 
of use, the form shall be promptly replaced. The Form FRA F 6180-49A 
covering the preceding year for each locomotive, in or out of use, shall 
be signed by the railroad official responsible for the locomotive and 
filed as required in Sec. 229.23(f). The date and place of the last 
periodic inspection and the date and place of the last test performed 
under Secs. 229.27, 229.29, and 229.31 shall be transferred to the 
replacement Form FRA F 6180-49A.
    (f) The mechanical officer of each railroad who is in charge of a 
locomotive shall maintain in his office a secondary record of the 
information reported on Form FRA F 6180-49A under this part. The 
secondary record shall be retained until Form FRA F 6180-49A has been 
removed from the locomotive and filed in the railroad office of the 
mechanical officer in charge of the locomotive. If the Form FRA F 6180-
49A removed from the locomotive is not clearly legible, the secondary 
record shall be retained until the Form FRA F 6180-49A for the 
succeeding year is filed. The Form F 6180-49A removed from a locomotive 
shall be retained until the Form FRA F 6180-49A for the succeeding year 
is filed.

[45 FR 21109, Mar. 31, 1980, as amended at 45 FR 39852, June 12, 1980; 
50 FR 6953, Feb. 19, 1985]



Sec. 229.25  Tests: Every periodic inspection.

    Each periodic inspection shall include the following:
    (a) All gauges used by the engineer for braking the train or 
locomotive, except load meters used in conjunction with an auxiliary 
brake system, shall be tested by comparison with a dead-weight tester or 
a test gauge designed for this purpose.
    (b) All electrical devices and visible insulation shall be 
inspected.
    (c) All cable connections between locomotives and jumpers that are 
designed to carry 600 volts or more shall be thoroughly cleaned, 
inspected, and tested for continuity.
    (d) Each steam generator that is not isolated as prescribed in 
Sec. 229.23(b) shall be inspected and tested as follows:
    (1) All automatic controls, alarms and protective devices shall be 
inspected and tested.
    (2) Steam pressure gauges shall be tested by comparison with a dead-
weight tester or a test gauge designed for this purpose. The siphons to 
the steam gauges shall be removed and their connections examined to 
determine that they are open.
    (3) Safety valves shall be set and tested under steam after the 
steam pressure gauge is tested.
    (e) The event recorder, if installed, shall be inspected, 
maintained, and tested in accordance with the instructions of the 
manufacturer, supplier, or owner thereof and in accordance with the 
following criteria:
    (1) A written copy of the instructions in use shall be kept at the 
point where the work is performed.
    (2) The event recorder shall be tested prior to performing any 
maintenance work on it. At a minimum, the event recorder test shall 
include cycling all required recording parameters and determining the 
full range of each parameter by reading out recorded data. A micro-
processor based event recorder, equipped to perform self-tests, has 
passed the pre-maintenance inspection requirement if it has not 
indicated a failure.
    (3) If this test does not reveal that the device is recording all 
the specified data and that all recordings are within the designed 
recording parameters, this fact shall be noted on the data verification 
result required to be maintained by this section and maintenance and 
testing shall be performed as necessary until a subsequent test is 
successful.
    (4) When a successful test is accomplished, a copy of those data

[[Page 312]]

verification results shall be maintained with the locomotive's 
maintenance records until the next one is filed.
    (5) A railroad's event recorder periodic maintenance shall be 
considered effective if ninety percent (90%) of the recorders inbound in 
any given month for periodic inspection are still fully functional; 
maintenance practices and test intervals shall be adjusted as necessary 
to yield effective periodic maintenance.

[45 FR 21109, Mar. 31, 1980, as amended at 58 FR 36614, July 8, 1993; 60 
FR 27905, May 26, 1995]



Sec. 229.27  Annual tests.

    Each locomotive shall be subjected to the tests and inspections 
included in paragraphs (b) and (c) of this section, and each non-MU 
locomotive shall also be subjected to the tests and inspections included 
in paragraph (a) of this section, at intervals that do not exceed 368 
calendar days:
    (a)(1) The filtering devices or dirt collectors located in the main 
reservoir supply line to the air brake system shall be cleaned, 
repaired, or replaced.
    (2) Brake cylinder relay valve portions, main reservoir safety 
valves, brake pipe vent valve portions, feed and reducing valve portions 
in the air brake system (including related dirt collectors and filters) 
shall be cleaned, repaired, and tested.
    (3) The date and place of the cleaning, repairing, and testing shall 
be recorded on Form FRA F 6180-49A and the person performing the work 
and that person's supervisor shall sign the form. A record of the parts 
of the air brake system that are cleaned, repaired, and tested shall be 
kept in the carrier's files or in the cab of the locomotive.
    (4) At its option, a carrier may fragment the work required by this 
paragraph. In that event, a separate air record shall be maintained 
under a transparent cover in the cab. The air record shall include the 
locomotive number, a list of the air brake components, and the date and 
place of the last inspection and test of each component. The signature 
of the person performing the work and the signature of that person's 
supervisor shall be included for each component. A duplicate record 
shall be maintained in the carrier's files.
    (b) Load meters shall be tested. Errors of less than five percent do 
not have to be corrected. The date and place of the test shall be 
recorded on Form FRA F 6180-49A and the person conducting the test and 
that person's supervisor shall sign the form.
    (c) Each steam generator that is not isolated as prescribed in 
Sec. 229.23(b), shall be subjected to a hydrostatic pressure at least 25 
percent above the working pressure and the visual return water-flow 
indicator shall be removed and inspected.



Sec. 229.29  Biennial tests.

    (a) Except for the valves and valve portions on non-MU locomotives 
that are cleaned, repaired, and tested as prescribed in Sec. 229.27(a), 
all valves, valve portions, MU locomotive brake cylinders and electric-
pneumatic master controllers in the air brake system (including related 
dirt collectors and filters) shall be cleaned, repaired, and tested at 
intervals that do not exceed 736 calendar days. The date and place of 
the cleaning, repairing, and testing shall be recorded on Form FRA F 
6180-49A, and the person performing the work and that person's 
supervisor shall sign the form. A record of the parts of the air brake 
system that are cleaned, repaired, and tested shall be kept in the 
carrier's files or in the cab of the locomotive.
    (b) At its option, a carrier may fragment the work required by this 
section. In that event, a separate air record shall be maintained under 
a transparent cover in the cab. The air record shall include the 
locomotive number, a list of the air brake components, and the date and 
place of the inspection and test of each component. The signature of the 
person performing the work and the signature of that person's supervisor 
shall be included for each component. A duplicate record shall be 
maintained in the carrier's files.



Sec. 229.31  Main reservoir tests.

    (a) Except as provided in paragraph (c) of this section, before it 
is put in

[[Page 313]]

service and at intervals that do not exceed 736 calendar days, each main 
reservoir other than an aluminum reservoir shall be subjected to a 
hydrostatic pressure of at least 25 percent more than the maximum 
working pressure fixed by the chief mechanical officer. The test date, 
place, and pressure shall be recorded on Form FRA F 6180-49A, and the 
person performing the test and that person's supervisor shall sign the 
form.
    (b) Except as provided in paragraph (c) of this section, each main 
reservoir other than an aluminum reservoir shall be hammer tested over 
its entire surface while the reservoir is empty at intervals that do not 
exceed 736 calendar days. The test date and place shall be recorded on 
Form FRA F 6180-49A, and the person performing the test and that 
person's supervisor shall sign the form.
    (c) Each welded main reservoir originally constructed to withstand 
at least five times the maximum working pressure fixed by the chief 
mechanical officer may be drilled over its entire surface with telltale 
holes that are three-sixteenths of an inch in diameter. The holes shall 
be spaced not more than 12 inches apart, measured both longitudinally 
and circumferentially, and drilled from the outer surface to an extreme 
depth determined by the formula--

                            D=(.6PR/(S-0.6P))

where:
D=extreme depth of telltale holes in inches but in no case less than 
          one-sixteenth inch;
P=certified working pressure in pounds per square inch;
S=one-fifth of the minimum specified tensile strength of the material in 
          pounds per square inch; and
R=inside radius of the reservoir in inches.


One row of holes shall be drilled lengthwise of the reservoir on a line 
intersecting the drain opening. A reservoir so drilled does not have to 
meet the requirements of paragraphs (a) and (b) of this section, except 
the requirement for a hydrostatic test before it is placed in use. 
Whenever any such telltale hole shall have penetrated the interior of 
any reservoir, the reservoir shall be permanently withdrawn from 
service. A reservoir now in use may be drilled in lieu of the tests 
provided for by paragraphs (a) and (b) of this section, but it shall 
receive a hydrostatic test before it is returned to use.
    (d) Each aluminum main reservoir before being placed in use and at 
intervals that do not exceed 736 calendar days thereafter, shall be--
    (1) Cleaned and given a thorough visual inspection of all internal 
and external surfaces for evidence of defects or deterioration; and
    (2) Subjected to a hydrostatic pressure at least twice the maximum 
working pressure fixed by the chief mechanical officer, but not less 
than 250 p.s.i. The test date, place, and pressure shall be recorded on 
Form FRA F 6180-49A, and the person conducting the test and that 
person's supervisor shall sign the form.



Sec. 229.33  Out-of-use credit.

    When a locomotive is out of use for 30 or more consecutive days or 
is out of use when it is due for any test or inspection required by 
Sec. 229.23, 229.25, 229.27, 229.29, or 229.31, an out-of-use notation 
showing the number of out-of-use days shall be made on an inspection 
line on Form FRA F 6180-49A. A supervisory employee of the carrier who 
is responsible for the locomotive shall attest to the notation. If the 
locomotive is out of use for one or more periods of at least 30 
consecutive days each, the interval prescribed for any test or 
inspection under this part may be extended by the number of days in each 
period the locomotive is out of use since the last test or inspection in 
question. A movement made in accordance with Sec. 229.9 is not a use for 
purposes of determining the period of the out-of-use credit.



                     Subpart C--Safety Requirements

                          General Requirements



Sec. 229.41  Protection against personal injury.

    Fan openings, exposed gears and pinions, exposed moving parts of 
mechanisms, pipes carrying hot gases and high-voltage equipment, 
switches, circuit breakers, contactors, relays, grid

[[Page 314]]

resistors, and fuses shall be in non-hazardous locations or equipped 
with guards to prevent personal injury.



Sec. 229.43  Exhaust and battery gases.

    (a) Products of combustion shall be released entirely outside the 
cab and other compartments. Exhaust stacks shall be of sufficient height 
or other means provided to prevent entry of products of combustion into 
the cab or other compartments under usual operating conditions.
    (b) Battery containers shall be vented and batteries kept from 
gassing excessively.



Sec. 229.45  General condition.

    All systems and components on a locomotive shall be free of 
conditions that endanger the safety of the crew, locomotive or train. 
These conditions include: insecure attachment of components, including 
third rail shoes or beams, traction motors and motor gear cases, and 
fuel tanks; fuel, oil, water, steam, and other leaks and accumulations 
of oil on electrical equipment that create a personal injury hazard; 
improper functioning of components, including slack adjusters, 
pantograph operating cylinders, circuit breakers, contactors, relays, 
switches, and fuses; and cracks, breaks, excessive wear and other 
structural infirmities of components, including quill drives, axles, 
gears, pinions, pantograph shoes and horns, third rail beams, traction 
motor gear cases, and fuel tanks.

                              Brake System



Sec. 229.46  Brakes: General.

    The carrier shall know before each trip that the locomotive brakes 
and devices for regulating all pressures, including but not limited to 
the automatic and independent brake valves, operate as intended and that 
the water and oil have been drained from the air brake system.



Sec. 229.47  Emergency brake valve.

    (a) Except for locomotives with cabs designed for occupancy by only 
one person, each road locomotive shall be equipped with a brake pipe 
valve that is accessible to a member of the crew, other than the 
engineer, from that crew member's position in the cab. On car body type 
locomotives, a brake pipe valve shall be attached to the wall adjacent 
to each end exit door. The words ``Emergency Brake Valve'' shall be 
legibly stenciled or marked near each brake pipe valve or shall be shown 
on an adjacent badge plate.
    (b) MU and control cab locomotives operated in road service shall be 
equipped with an emergency brake valve that is accessible to another 
crew member in the passenger compartment or vestibule. The words 
``Emergency Brake Valve'' shall be legibly stenciled or marked near each 
valve or shall be shown on an adjacent badge plate.



Sec. 229.49  Main reservoir system.

    (a)(1) The main reservoir system of each locomotive shall be 
equipped with at least one safety valve that shall prevent an 
accumulation of pressure of more than 15 pounds per square inch above 
the maximum working air pressure fixed by the chief mechanical officer 
of the carrier operating the locomotive.
    (2) Except for non-equipped MU locomotives built prior to January 1, 
1981, each locomotive that has a pneumatically actuated system of power 
controls shall be equipped with a separate reservoir of air under 
pressure to be used for operating those power controls. The reservoir 
shall be provided with means to automatically prevent the loss of 
pressure in the event of a failure of main air pressure, have storage 
capacity for not less than three complete operating cycles of control 
equipment and be located where it is not exposed to damage.
    (b) A governor shall be provided that stops and starts or unloads 
and loads the air compressor within 5 pounds per square inch above or 
below the maximum working air pressure fixed by the carrier.
    (c) Each compressor governor used in connection with the automatic 
air brake system shall be adjusted so that the compressor will start 
when the main reservoir pressure is not less than 15 pounds per square 
inch above the maximum brake pipe pressure fixed by the carrier and will 
not stop the compressor until the reservoir pressure has increased at 
least 10 pounds.

[[Page 315]]



Sec. 229.51  Aluminum main reservoirs.

    (a) Aluminum main reservoirs used on locomotives shall be designed 
and fabricated as follows:
    (1) The heads and shell shall be made of Aluminum Association Alloy 
No. 5083-0, produced in accordance with American Society of Mechnical 
Engineers (ASME) Specification SB-209, as defined in the ``ASME Boiler 
and Pressure Vessel Code'' (1971 edition), section II, Part B, page 123, 
with a minimum tensile strength of 40,000 p.s.i. (40 k.s.i.).
    (2) Each aluminum main reservoir shall be designed and fabricated in 
accordance with the ``ASME Boiler and Pressure Vessel Code,'' section 
VIII, Division I (1971 edition), except as otherwise provided in this 
part.
    (3) An aluminum main reservoir shall be constructed to withstand at 
least five times its maximum working pressure or 800 p.s.i., whichever 
is greater.
    (4) Each aluminum main reservoir shall have at least two inspection 
openings to permit complete circumferential visual observation of the 
interior surface. On reservoirs less than 18 inches in diameter, the 
size of each inspection opening shall be at least that of 1\1/2\-inch 
threaded iron pipe, and on reservoirs 18 or more inches in diameter, the 
size of each opening shall be at least that of 2-inch threaded iron 
pipe.
    (b) The following publications, which contain the industry standards 
incorporated by reference in paragraph (a) of this section, may be 
obtained from the publishers and are also on file in the Office of 
Safety of the Federal Railroad Administration, Washington, DC 20590. 
Sections II and VIII of the ``ASME Boiler and Pressure Vessel Code'' 
(1971 edition) are published by the American Society of Mechanical 
Engineers, United Engineering Center, 345 East 47th Street, New York, 
New York 10017.



Sec. 229.53  Brake gauges.

    All gauges used by the engineer for braking the train or locomotive 
shall be located so that they may be conveniently read from the 
engineer's usual position in the cab. An air gauge may not be more than 
three pounds per square inch in error.



Sec. 229.55  Piston travel.

    (a) Brake cylinder piston travel shall be sufficient to provide 
brake shoe clearance when the brakes are released.
    (b) When the brakes are applied on a standing locomotive, the brake 
cylinder piston travel may not exceed 1\1/2\ inches less than the total 
possible piston travel. The total possible piston travel for each 
locomotive shall be entered on Form FRA F 6180-49A.
    (c) The minimum brake cylinder pressure shall be 30 pounds per 
square inch.



Sec. 229.57  Foundation brake gear.

    A lever, rod, brake beam, hanger, or pin may not be worn through 
more than 30 percent of its cross-sectional area, cracked, broken, or 
missing. All pins shall be secured in place with cotters, split keys, or 
nuts. Brake shoes shall be fastened with a brake shoe key and aligned in 
relation to the wheel to prevent localized thermal stress in the edge of 
the rim or the flange.



Sec. 229.59  Leakage.

    (a) Leakage from the main air reservoir and related piping may not 
exceed an average of 3 pounds per square inch per minute for 3 minutes 
after the pressure has been reduced to 60 percent of the maximum 
pressure.
    (b) Brake pipe leakage may not exceed 5 pounds per square inch per 
minute.
    (c) With a full service application at maximum brake pipe pressure 
and with communication to the brake cylinders closed, the brakes shall 
remain applied at least 5 minutes.
    (d) Leakage from control air reservoir, related piping, and 
pneumatically operated controls may not exceed an average of 3 pounds 
per square inch per minute for 3 minutes.

                              Draft System



Sec. 229.61  Draft system.

    (a) A coupler may not have any of the following conditions:
    (1) A distance between the guard arm and the knuckle nose of more 
than 5\1/8\ inches on standard type couplers (MCB contour 1904) or more 
than 5\5/16\ inches on D&E couplers.

[[Page 316]]

    (2) A crack or break in the side wall or pin bearing bosses outside 
of the shaded areas shown in Figure 1 or in the pulling face of the 
knuckle.
[GRAPHIC] [TIFF OMITTED] TC01AP91.004

    (3) A coupler assembly without anti-creep protection.
    (4) Free slack in the coupler or drawbar not absorbed by friction 
devices or draft gears that exceeds one-half inches.
    (5) A broken or cracked coupler carrier.
    (6) A broken or cracked yoke.
    (7) A broken draft gear.
    (b) A device shall be provided under the lower end of all drawbar 
pins and articulated connection pins to prevent the pin from falling out 
of place in case of breakage.

                            Suspension System



Sec. 229.63  Lateral motion.

    (a) Except as provided in paragraph (b), the total uncontrolled 
lateral motion between the hubs of the wheels and boxes, between boxes 
and pedestals or both, on any pair of wheels may not exceed 1 inch on 
non-powered axles and friction bearing powered axles, or \3/4\ inch on 
all other powered axles.
    (b) The total uncontrolled lateral motion may not exceed 1\1/4\ 
inches on the center axle of three-axle trucks.



Sec. 229.64  Plain bearings.

    A plain bearing box shall contain visible free oil and may not be 
cracked to the extent that it will leak oil.



Sec. 229.65  Spring rigging.

    (a) Protective construction or safety hangers shall be provided to 
prevent spring planks, spring seats or bolsters from dropping to track 
structure in event of a hanger or spring failure.
    (b) An elliptical spring may not have its top (long) leaf broken or 
any other three leaves broken, except when that spring is part of a nest 
of three or more springs and none of the other springs in the nest has 
its top leaf or any other three leaves broken. An outer coil spring or 
saddle may not be broken. An equalizer, hanger, bolt, gib, or pin may 
not be cracked or broken. A coil spring may not be fully compressed when 
the locomotive is at rest.
    (c) A shock absorber may not be broken or leaking clearly formed 
droplets of oil or other fluid.



Sec. 229.67  Trucks.

    (a) The male center plate shall extend into the female center plate 
at least \3/4\ inch. On trucks constructed to transmit tractive effort 
through the center plate or center pin, the male center plate shall 
extend into the female center plate at least 1\1/2\ inches. Maximum lost 
motion in a center plate assemblage may not exceed \1/2\ inch.
    (b) Each locomotive shall have a device or securing arrangement to 
prevent the truck and locomotive body from separating in case of 
derailment.

[[Page 317]]

    (c) A truck may not have a loose tie bar or a cracked or broken 
center casting, motor suspension lug, equalizer, hanger, gib or pin. A 
truck frame may not be broken or have a crack in a stress area that may 
affect its structural integrity.



Sec. 229.69  Side bearings.

    (a) Friction side bearings with springs designed to carry weight may 
not have more than 25 percent of the springs in any one nest broken.
    (b) Friction side bearings may not be run in contact unless designed 
to carry weight. Maximum clearance of side bearings may not exceed one-
fourth inch on each side or a total of one-half inch on both sides, 
except where more than two side bearings are used under the same rigid 
superstructure. The clearance on one pair of side bearings under the 
same rigid superstructure shall not exceed one-fourth inch on each side 
or a total of one-half inch on both sides; the other side bearings under 
the same rigid superstructure may have one-half inch clearance on each 
side or a total of 1 inch on both sides. These clearances apply where 
the spread of the side bearings is 50 inches or less; where the spread 
is greater, the side bearing clearance may only be increased 
proportionately.



Sec. 229.71  Clearance above top of rail.

    No part or appliance of a locomotive except the wheels, flexible 
nonmetallic sand pipe extension tips, and trip cock arms may be less 
than 2\1/2\ inches above the top of rail.



Sec. 229.73  Wheel sets.

    (a) The variation in the circumference of wheels on the same axle 
may not exceed \1/4\ inch (two tape sizes) when applied or turned.
    (b) The maximum variation in the diameter between any two wheel sets 
in a three-powered-axle truck may not exceed \3/4\ inch, except that 
when shims are used at the journal box springs to compensate for wheel 
diameter variation, the maximum variation may not exceed 1\1/4\ inch. 
The maximum variation in the diameter between any two wheel sets on 
different trucks on a locomotive that has three-powered-axle trucks may 
not exceed 1\1/4\ inch. The diameter of a wheel set is the average 
diameter of the two wheels on an axle.
    (c) On standard gauge locomotives, the distance between the inside 
gauge of the flanges on non-wide flange wheels may not be less than 53 
inches or more than 53\1/2\ inches. The distance between the inside 
gauge of the flanges on wide flange wheels may not be less than 53 
inches or more than 53\1/4\ inches.
    (d) The distance back to back of flanges of wheels mounted on the 
same axle shall not vary more than \1/4\ inch.



Sec. 229.75  Wheels and tire defects.

    Wheels and tires may not have any of the following conditions:
    (a) A single flat spot that is 2\1/2\ inches or more in length, or 
two adjoining spots that are each two or more inches in length.
    (b) A gouge or chip in the flange that is more than 1\1/2\ inches in 
length and \1/2\ inch in width.
    (c) A broken rim, if the tread, measured from the flange at a point 
five-eighths inch above the tread, is less than 3\3/4\ inches in width.
    (d) A shelled-out spot 2\1/2\ inches or more in length, or two 
adjoining spots that are each two or more inches in length.
    (e) A seam running lengthwise that is within 3\3/4\ inches of the 
flange.
    (f) A flange worn to a \7/8\ inch thickness or less, gauged at a 
point \3/8\ inch above the tread.
    (g) A tread worn hollow \5/16\ inch or more on a locomotive in road 
service or \3/8\ inch or more on a locomotive in switching service.
    (h) A flange height of 1\1/2\ inches or more measured from tread to 
the top of the flange.
    (i) Tires less than 1\1/2\ inches thick.
    (j) Rims less than 1 inch thick on a locomotive in road service or 
less than \3/4\ inch on a locomotive in yard service.
    (k) A crack or break in the flange, tread, rim, plate, or hub.
    (l) A loose wheel or tire.
    (m) Fusion welding may not be used on tires or steel wheels of 
locomotives, except for the repair of flat spots and worn flanges on 
locomotives used exclusively in yard service. A wheel that has been 
welded is a welded wheel for the life of the wheel.

[[Page 318]]

                            Electrical System



Sec. 229.77  Current collectors.

    (a) Pantographs shall be so arranged that they can be operated from 
the engineer's normal position in the cab. Pantographs that 
automatically rise when released shall have an automatic locking device 
to secure them in the down position.
    (b) Each pantograph operating on an overhead trolley wire shall have 
a device for locking and grounding it in the lowest position, that can 
be applied and released only from a position where the operator has a 
clear view of the pantograph and roof without mounting the roof.



Sec. 229.79  Third rail shoes.

    When locomotives are equipped with both third rail and overhead 
collectors, third-rail shoes shall be deenergized while in yards and at 
stations when current collection is exclusively from the overhead 
conductor.



Sec. 229.81  Emergency pole; shoe insulation.

    (a) Each locomotive equipped with a pantograph operating on an 
overhead trolley wire shall have an emergency pole suitable for 
operating the pantograph. Unless the entire pole can be safely handled, 
the part of the pole which can be safely handled shall be marked to so 
indicate. This pole shall be protected from moisture when not in use.
    (b) Each locomotive equipped with third-rail shoes shall have a 
device for insulating the current collecting apparatus from the third 
rail.



Sec. 229.83  Insulation or grounding of metal parts.

    All unguarded noncurrent-carrying metal parts subject to becoming 
charged shall be grounded or thoroughly insulated.



Sec. 229.85  Doors and cover plates marked ``Danger''.

    All doors and cover plates guarding high voltage equipment shall be 
marked ``Danger--High Voltage'' or with the word ``Danger'' and the 
normal voltage carried by the parts so protected.



Sec. 229.87  Hand-operated switches.

    All hand-operated switches carrying currents with a potential of 
more than 150 volts that may be operated while under load shall be 
covered and shall be operative from the outside of the cover. Means 
shall be provided to show whether the switches are open or closed. 
Switches that should not be operated while under load shall be legibly 
marked with the words ``must not be operated under load'' and the 
voltage carried.



Sec. 229.89  Jumpers; cable connections.

    (a) Jumpers and cable connections between locomotives shall be so 
located and guarded to provide sufficient vertical clearance. They may 
not hang with one end free.
    (b) Cable and jumper connections between locomotive may not have any 
of the following conditions:
    (1) Broken or badly chafed insulation.
    (2) Broken plugs, receptacles or terminals.
    (3) Broken or protruding strands of wire.



Sec. 229.91  Motors and generators.

    A motor or a generator may not have any of the following conditions:
    (a) Be shorted or grounded.
    (b) Throw solder excessively.
    (c) Show evidence of coming apart.
    (d) Have an overheated support bearing.
    (e) Have an excessive accumulation of oil.

                      Internal Combustion Equipment



Sec. 229.93  Safety cut-off device.

    The fuel line shall have a safety cut-off device that--
    (a) Is located adjacent to the fuel supply tank or in another safe 
location;
    (b) Closes automatically when tripped and can be reset without 
hazard; and
    (c) Can be hand operated from clearly marked locations, one inside 
the cab and one on each exterior side of the locomotive.

[[Page 319]]



Sec. 229.95  Venting.

    Fuel tank vent pipes may not discharge on the roof nor on or between 
the rails.



Sec. 229.97  Grounding fuel tanks.

    Fuel tanks and related piping shall be electrically grounded.



Sec. 229.99  Safety hangers.

    Drive shafts shall have safety hangers.



Sec. 229.101  Engines.

    (a) The temperature and pressure alarms, controls and related 
switches of internal combustion engines shall function properly.
    (b) Whenever an engine has been shut down due to mechanical or other 
problems, a distinctive warning notice giving reason for the shut-down 
shall be conspicuously attached near the engine starting control until 
repairs have been made.
    (c) Wheel slip/slide protection shall be provided on a locomotive 
with an engine displaying a warning notice whenever required by 
Sec. 229.115(b).

                            Steam Generators



Sec. 229.103  Safe working pressure; factor of safety.

    The safe working pressure for each steam generator shall be fixed by 
the chief mechanical officer of the carrier. The minimum factor of 
safety shall be four. The fixed safe working pressure shall be indicated 
on FRA Form F 6180-49A.



Sec. 229.105  Steam generator number.

    An identification number shall be marked on the steam generator's 
separator and that number entered on FRA Form F 6180-49A.



Sec. 229.107  Pressure gauge.

    (a) Each steam generator shall have an illuminated steam gauge that 
correctly indicates the pressure. The steam pressure gauge shall be 
graduated to not less than one and one-half times the allowed working 
pressure of the steam generator.
    (b) Each steam pressure gauge on a steam generator shall have a 
siphon that prevents steam from entering the gauge. The pipe connection 
shall directly enter the separator and shall be steam tight between the 
separator and the gauge.



Sec. 229.109  Safety valves.

    Every steam generator shall be equipped with at least two safety 
valves that have a combined capacity to prevent an accumulation of 
pressure of more than five pounds per square inch above the allowed 
working pressure. The safety valves shall be independently connected to 
the separator and located as closely to the separator as possible 
without discharging inside of the generator compartment. The ends of the 
safety valve discharge lines shall be located or protected so that 
discharged steam does not create a hazard.



Sec. 229.111  Water-flow indicator.

    (a) Steam generators shall be equipped with an illuminated visual 
return water-flow indicator.
    (b) Steam generators shall be equipped with an operable test valve 
or other means of determining whether the steam generator is filled with 
water. The fill test valve may not discharge steam or hot water into the 
steam generator compartment.



Sec. 229.113  Warning notice.

    Whenever any steam generator has been shut down because of defects, 
a distinctive warning notice giving reasons for the shut-down shall be 
conspicuously attached near the steam generator starting controls until 
the necessary repairs have been made. The locomotive in which the steam 
generator displaying a warning notice is located may continue in service 
until the next periodic inspection.

                         Cabs and Cab Equipment



Sec. 229.115  Slip/slide alarms.

    (a) Except for MU locomotives, each locomotive used in road service 
shall be equipped with a device that provides an audible or visual alarm 
in the cab of either slipping or sliding wheels on powered axles under 
power. When two or more locomotives are coupled in multiple or remote 
control, the wheel

[[Page 320]]

slip/slide alarm of each locomotive shall be shown in the cab of the 
controlling locomotive.
    (b) Except as provided in Sec. 229.9, an equipped locomotive may not 
be dispatched in road service, or continue in road service following a 
daily inspection, unless the wheel slip/slide protective device of 
whatever type--
    (1) Is functioning for each powered axle under power; and
    (2) Would function on each powered axle if it were under power.
    (c) Effective January 1, 1981, all new locomotives capable of being 
used in road service shall be equipped with a device that detects wheel 
slip/slide for each powered axle when it is under power. The device 
shall produce an audible or visual alarm in the cab.



Sec. 229.117  Speed indicators.

    (a) After December 31, 1980, each locomotive used as a controlling 
locomotive at speeds in excess of 20 miles per hour shall be equipped 
with a speed indicator which is--
    (1) Accurate within plus-minus3 miles per hour of actual 
speed at speeds of 10 to 30 miles per hour and accurate within 
plus-minus5 miles per hour at speeds above 30 miles per hour; 
and
    (2) Clearly readable from the engineer's normal position under all 
light conditions.
    (b) Each speed indicator required shall be tested as soon as 
possible after departure by means of speed test sections or equivalent 
procedures.



Sec. 229.119  Cabs, floors, and passageways.

    (a) Cab seats shall be securely mounted and braced. Cab doors shall 
be equipped with a secure and operable latching device.
    (b) Cab windows of the lead locomotive shall provide an undistorted 
view of the right-of-way for the crew from their normal position in the 
cab. (See also, Safety Glazing Standards, 49 CFR part 223, 44 FR 77348, 
Dec. 31, 1979.)
    (c) Floors of cabs, passageways, and compartments shall be kept free 
from oil, water, waste or any obstruction that creates a slipping, 
tripping or fire hazard. Floors shall be properly treated to provide 
secure footing.
    (d) The cab shall be provided with proper ventilation and with a 
heating arrangement that maintains a temperature of at least 50 degrees 
Fahrenheit 6 inches above the center of each seat in the cab.
    (e) Similar locomotives with open end platforms coupled in multiple 
control and used in road service shall have a means of safe passage 
between them; no passageway is required through the nose of car body 
locomotives. There shall be a continuous barrier across the full width 
of the end of a locomotive or a continuous barrier between locomotives.
    (f) Containers shall be provided for carrying fusees and torpedoes. 
A single container may be used if it has a partition to separate fusees 
from torpedoes. Torpedoes shall be kept in a closed metal container.



Sec. 229.121  Locomotive cab noise.

    (a) After August 31, 1980, the permissible exposure to a continuous 
noise in a locomotive cab shall not exceed an eight-hour time-weighted 
average of 90dB(A), with a doubling rate of 5dB(A) as indicated in the 
table. Continuous noise is any sound with a rise time of more than 35 
milliseconds to peak intensity and a duration of more than 500 
milliseconds to the time when the level is 20dB below the peak.

------------------------------------------------------------------------
                                                                 Sound
                 Duration permitted (hours)                      level
                                                                (dB(A))
------------------------------------------------------------------------
12..........................................................          87
8...........................................................          90
6...........................................................          92
4...........................................................          95
2...........................................................         100
1\1/2\......................................................         102
1...........................................................         105
\1/2\.......................................................         110
\1/4\ or less...............................................         115
------------------------------------------------------------------------

    (b) When the continuous noise exposure is composed of two or more 
periods of noise exposure of different levels, their combined effect 
shall be considered. Exposure to different levels for various periods of 
time shall be computed according to the following formula:

   D=T1/L1+ T2/L2+. . . . 
                          Tn/Ln

where:
D = noise dose.

[[Page 321]]

T = the duration of exposure (in hours) at a given continuous noise 
          level.
L = the limit (in hours) for the level present during the time T (from 
          the table).
If the value of D exceeds 1, the exposure exceeds permissible levels.

    (c) Exposure to continuous noise shall not exceed 115dB(A).
    (d) Noise measurements shall be made under typical operating 
conditions using a sound level meter conforming, at a minimum, to the 
requirements of ANSI S1.4-1971, Type 2, and set to an A-weighted slow 
response or with an audiodosimeter of equivalent accuracy and precision.
    (e) In conducting sound level measurements with a sound level meter, 
the microphone shall be oriented vertically and positioned approximately 
15 centimeters from and on axis with the crew member's ear. Measurements 
with an audiodosimeter shall be conducted in accordance with 
manufacturer's procedures as to microphone placement and orientation.



Sec. 229.123  Pilots, snowplows, end plates.

    After January 1, 1981, each lead locomotive shall be equipped with 
an end plate that extends across both rails, a pilot, or a snowplow. The 
minimum clearance above the rail of the pilot, snowplow or end plate 
shall be 3 inches, and the maximum clearance 6 inches.



Sec. 229.125  Headlights and auxiliary lights.

    (a) Each lead locomotive used in road service shall have a headlight 
that produces at least 200,000 candela. If a locomotive or locomotive 
consist in road service is regularly required to run backward for any 
portion of its trip other than to pick up a detached portion of its 
train or to make terminal movements, it shall also have on its rear a 
headlight that produces at least 200,000 candela. Each headlight shall 
be arranged to illuminate a person at least 800 feet ahead and in front 
of the headlight.
    (b) Each locomotive or locomotive consist used in yard service shall 
have two headlights, one located on the front of the locomotive or 
locomotive consist and one on its rear. Each headlight shall produce at 
least 60,000 candela and shall be arranged to illuminate a person at 
least 300 feet ahead and in front of the headlight.
    (c) Headlights shall be provided with a device to dim the light.
    (d) Effective December 31, 1997, each lead locomotive operated at a 
speed greater than 20 miles per hour over one or more public highway-
rail crossings shall be equipped with operative auxiliary lights, in 
addition to the headlight required by paragraph (a) or (b) of this 
section. A locomotive equipped on March 6, 1996 with auxiliary lights in 
conformance with Sec. 229.133 shall be deemed to conform to this section 
until March 6, 2000. All locomotives in compliance with Sec. 229.133(c) 
shall be deemed to conform to this section. Auxiliary lights shall be 
composed as follows:
    (1) Two white auxiliary lights shall be placed at the front of the 
locomotive to form a triangle with the headlight.
    (i) The auxiliary lights shall be at least 36 inches above the top 
of the rail, except on MU locomotives and control cab locomotives where 
such placement would compromise the integrity of the car body or be 
otherwise impractical. Auxiliary lights on such MU locomotives and 
control cab locomotives shall be at least 24 inches above the top of the 
rail.
    (ii) The auxiliary lights shall be spaced at least 36 inches apart 
if the vertical distance from the headlight to the horizontal axis of 
the auxiliary lights is 60 inches or more.
    (iii) The auxiliary lights shall be spaced at least 60 inches apart 
if the vertical distance from the headlight to the horizontal axis of 
the auxiliary lights is less than 60 inches.
    (2) Each auxiliary light shall produce at least 200,000 candela.
    (3) The auxiliary lights shall be focused horizontally within 15 
degrees of the longitudinal centerline of the locomotive.
    (e) Auxiliary lights required by paragraph (d) of this section may 
be arranged
    (1) to burn steadily or
    (2) flash on approach to a crossing.
    If the auxiliary lights are arranged to flash;
    (i) they shall flash alternately at a rate of at least 40 flashes 
per minute and at most 180 flashes per minute,

[[Page 322]]

    (ii) the railroad's operating rules shall set a standard procedure 
for use of flashing lights at public highway-rail grade crossings, and
    (iii) the flashing feature may be activated automatically, but shall 
be capable of manual activation and deactivation by the locomotive 
engineer.
    (f) Auxiliary lights required by paragraph (d) of this section shall 
be continuously illuminated immediately prior to and during movement of 
the locomotive, except as provided by railroad operating rules, 
timetable or special instructions, unless such exception is disapproved 
by FRA. A railroad may except use of auxiliary lights at a specific 
public highway-rail grade crossing by designating that exception in the 
railroad's operating rules, timetable, or a special order. Any exception 
from use of auxiliary lights at a specific public grade crossing can be 
disapproved for a stated cause by FRA's Associate Administrator for 
Safety or any one of FRA's Regional Administrators, after investigation 
by FRA and opportunity for response from the railroad.
    (g) Movement of locomotives with defective auxiliary lights.
    (1) A lead locomotive with only one failed auxiliary light must be 
repaired or switched to a trailing position before departure from the 
place where an initial terminal inspection is required for that train.
    (2) A locomotive with only one auxiliary light that has failed after 
departure from an initial terminal, must be repaired not later than the 
next calendar inspection required by Sec. 229.21.
    (3) A lead locomotive with two failed auxiliary lights may only 
proceed to the next place where repairs can be made. This movement must 
be consistent with Sec. 229.9.
    (h) Any locomotive subject to Part 229, that was built before 
December 31, 1948, and that is not used regularly in commuter or 
intercity passenger service, shall be considered historic equipment and 
excepted from the requirements of paragraphs (d) through (h) of this 
section.

[45 FR 21109, Mar. 31, 1980, as amended at 61 FR 8887, Mar. 6, 1996]



Sec. 229.127  Cab lights.

    (a) Each locomotive shall have cab lights which will provide 
sufficient illumination for the control instruments, meters, and gauges 
to enable the engine crew to make accurate readings from their normal 
positions in the cab. These lights shall be located, constructed, and 
maintained so that light shines only on those parts requiring 
illumination and does not interfere with the crew's vision of the track 
and signals. Each controlling locomotive shall also have a conveniently 
located light that can be readily turned on and off by the persons 
operating the locomotive and that provides sufficient illumination for 
them to read train orders and timetables.
    (b) Cab passageways and compartments shall have adequate 
illumination.



Sec. 229.129  Audible warning device.

    (a) After August 31, 1980, each lead locomotive shall be provided 
with an audible warning device that produces a minimum sound level of 
96db(A) at 100 feet forward of the locomotive in its direction of 
travel. The device shall be arranged so that it can be conveniently 
operated from the engineer's normal position in the cab.
    (b) Measurement of the sound level shall be made using a sound level 
meter conforming, at a minimum, to the requirements of ANSI S1.4-1971, 
Type 2, and set to an A-weighted slow response. While the locomotive is 
on level tangent track, the microphone shall be positioned 4 feet above 
the ground at the center line of the track, and shall be oriented with 
respect to the sound source in accordance with the manufacturer's 
recommendations.
    (c) A 4dB(A) measurement tolerance is allowable for a given 
measurement.



Sec. 229.131  Sanders.

    Except for MU locomotives, each locomotive shall be equipped with 
operable sanders that deposit sand on each rail in front of the first 
power operated wheel set in the direction of movement.

[[Page 323]]



Sec. 229.133  Interim locomotive conspicuity measures--auxiliary external lights.

    (a) A locomotive at the head of a train or other movement is 
authorized to be equipped with auxiliary external lights, additional to 
the headlight required by Sec. 229.125, for the purpose of improved 
conspicuity. A locomotive that is equipped with auxiliary external 
lights in conformance with the specifications or performance standards 
set forth in paragraph (b) of this section on the date of issuance of a 
final rule that requires additional or other external lights on 
locomotives for improved conspicuity, as required by section 202(u) of 
the Federal Railroad Safety Act of 1970, shall be deemed to conform to 
the requirements of the final rule for four years following the date of 
issuance of that final rule.
    (b) Each qualifying arrangement of auxiliary external lights shall 
conform to one of the following descriptions:
    (1) Ditch lights. (i) Ditch lights shall consist of two white 
lights, each producing a steady beam of at least 200,000 candela, placed 
at the front of the locomotive, at least 36 inches above the top of the 
rail.
    (ii) Ditch lights shall be spaced at least 36 inches apart if the 
vertical distance from the headlight to the horizontal axis of the ditch 
lights is 60 inches or more.
    (iii) Ditch lights shall be spaced at least 60 inches apart if the 
vertical distance from the headlight to the horizontal axis of the ditch 
lights is less than 60 inches.
    (iv) Ditch lights shall be focused horizontally within 45 degrees of 
the longitudinal centerline of the locomotive.
    (2) Strobe lights. (i) Strobe lights shall consist of two white 
stroboscopic lights, each with ``effective intensity,'' as defined by 
the Illuminating Engineering Society's Guide for Calculating the 
Effective Intensity of Flashing Signal Lights (November 1964), of at 
least 500 candela.
    (ii) The flash rate of strobe lights shall be at least 40 flashes 
per minute and at most 180 flashes per minute.
    (iii) Strobe lights shall be placed at the front of the locomotive, 
at least 48 inches apart, and at least 36 inches above the top of the 
rail.
    (3) Crossing lights. (i) Crossing lights shall consist of two white 
lights, placed at the front of the locomotive, at least 36 inches above 
the top of the rail.
    (ii) Crossing lights shall be spaced at least 36 inches apart if the 
vertical distance from the headlight to the horizontal axis of the ditch 
lights is 60 inches or more.
    (iii) Crossing lights shall be spaced at least 60 inches apart if 
the vertical distance from the headlight to the horizontal axis of the 
ditch lights is less than 60 inches.
    (iv) Each crossing light shall produce at least 200,000 candela, 
either steadily burning or alternately flashing.
    (v) The flash rate of crossing lights shall be at least 40 flashes 
per minute and at most 180 flashes per minute.
    (vi) Crossing lights shall be focused horizontally within 15 degrees 
of the longitudinal centerline of the locomotive.
    (4) Oscillating light. (i) An oscillating light shall consist of:
    (A) One steadily burning white light producing at least 200,000 
candela in a moving beam that depicts a circle or a horizontal figure 
``8'' to the front, about the longitudinal centerline of the locomotive; 
or
    (B) Two or more white lights producing at least 200,000 candela 
each, at one location on the front of the locomotive, that flash 
alternately with beams within five degrees horizontally to either side 
of the longitudinal centerline of the locomotive.
    (ii) An oscillating light may incorporate a device that 
automatically extinguishes the white light if display of a light of 
another color is required to protect the safety of railroad operations.
    (c)(1) Any lead locomotive equipped with oscillating lights as 
described in paragraph (b)(4) that were ordered for installation on that 
locomotive prior to January 1, 1996, is considered in compliance with 
Sec. 229.125(d) (1) through (3).
    (2) Any lead locomotive equipped with strobe lights as described in 
paragraph (b)(2) and operated at speeds no greater than 40 miles per 
hour, is considered in compliance with Sec. 229.125(d)

[[Page 324]]

(1) through (3) until the locomotive is retired or rebuilt, whichever 
comes first.
    (3) Any lead locomotive equipped with two white auxiliary lights 
spaced at least 44 inches apart on at least one axis which was equipped 
with these auxiliary lights before May 30, 1994, will be considered in 
compliance with Sec. 229.125(d) (1) through (3) until the locomotive is 
retired or rebuilt, whichever comes first.

[58 FR 6902, Feb. 3, 1993, as amended at 59 FR 24963, May 13, 1994; 59 
FR 39705, Aug. 4, 1994; 61 FR 8887, Mar. 6, 1996]



Sec. 229.135  Event recorders.

    (a) Duty to equip. Effective May 5, 1995, and except as provided in 
paragraph (b) of this section, any train operated faster than 30 miles 
per hour shall have an in-service event recorder in the lead locomotive. 
The presence of the event recorder shall be noted on Form FRA F6180-49A, 
under the REMARKS section, except that an event recorder designed to 
allow the locomotive to assume the lead position only if the recorder is 
properly functioning is not required to have its presence noted on Form 
FRA F6180-49A. For the purpose of this section, ``train'' includes a 
locomotive or group of locomotives with or without cars, and ``lead 
locomotive'' means the locomotive from whose cab the crew is operating 
the train and, when cab control locomotives and/or MU locomotives are 
coupled together, is the first locomotive proceeding in the direction of 
movement. The duty to equip the lead locomotive may be met with an event 
recorder located elsewhere than the lead locomotive provided that such 
event recorder monitors and records the required data as though it were 
located in the lead locomotive.
    (b) Response to defective equipment. A locomotive on which the event 
recorder has been taken out of service as provided in paragraph (c) of 
this section may remain as the lead locomotive only until the next 
calendar-day inspection. A locomotive with an inoperative event recorder 
is not deemed to be in improper condition, unsafe to operate, or a non-
complying locomotive under Secs. 229.7 and 229.9, and notwithstanding 
any other requirements in this chapter, inspection, maintenance, and 
testing of event recorders is limited to the requirements set forth in 
Sec. 229.25(e).
    (c) Removal from service. A railroad may remove an event recorder 
from service and, if a railroad knows that an event recorder is not 
monitoring or recording the data specified in Sec. 229.5(g), shall 
remove the event recorder from service. When a railroad removes an event 
recorder from service, a qualified person shall cause to be recorded the 
date the device was removed from service on Form FRA F6180-49A, under 
the REMARKS section. An event recorder designed to allow the locomotive 
to assume the lead position only if the recorder is properly functioning 
is not required to have its removal from service noted on Form FRA 
F6180-49A.
    (d) Preserving accident data. For the purposes of this section, the 
term ``event recorder'' includes all locomotive-mounted recording 
devices designed to record information concerning the functioning of a 
locomotive or train regardless of whether the device meets the 
definition of ``event recorder'' in Sec. 229.5.
    (1) Accidents required to be reported to the Federal Railroad 
Administration. If any locomotive equipped with an event recorder is 
involved in an accident that is required to be reported to FRA, the 
railroad using the locomotive shall, to the extent possible, and to the 
extent consistent with the safety of life and property, preserve the 
data recorded by the device for analysis by FRA. This preservation 
requirement permits the railroad to extract and analyze such data; 
provided the original or a first-order accurate copy of the data shall 
be retained in secure custody and shall not be utilized for analysis or 
any other purpose except by direction of FRA or the National 
Transportation Safety Board. This preservation requirement shall expire 
30 days after the date of the accident unless FRA or the Board notifies 
the railroad in writing that the data are desired for analysis.
    (2) Relationship to other laws. Nothing in this section is intended 
to alter the legal authority of law enforcement officials investigating 
potential violation(s) of State criminal law(s) and nothing in this 
chapter is intended to

[[Page 325]]

alter in any way the priority of National Transportation Safety Board 
investigations under 49 U.S.C. 1131 and 1134, nor the authority of the 
Secretary of Transportation to investigate railroad accidents under 49 
U.S.C. 5121, 5122, 20107, 20111, 20112, 20505, 20702, 20703, and 20902.
    (e) Disabling event recorders. Except as provided in paragraph (c) 
of this section, any individual who willfully disables an event recorder 
is subject to civil penalty and to disqualification from performing 
safety-sensitive functions on a railroad as provided in Sec. 218.55 of 
this chapter and any individual who tampers with or alters the data 
recorded by such a device is subject to a civil penalty as provided in 
appendix B of this part and to disqualification from performing safety-
sensitive functions on a railroad if found unfit for such duties under 
the procedures in 49 CFR part 209.

[58 FR 36614, July 8, 1993, as amended at 60 FR 27905, May 26, 1995]



                     Subpart D--Design Requirements



Sec. 229.141  Body structure, MU locomotives.

    (a) MU locomotives built new after April 1, 1956 that are operated 
in trains having a total empty weight of 600,000 pounds or more shall 
have a body structure designed to meet or exceed the following minimum 
specifications:
    (1) The body structure shall resist a minimum static end load of 
800,000 pounds at the rear draft stops ahead of the bolster on the 
center line of draft, without developing any permanent deformation in 
any member of the body structure.
    (2) An anti-climbing arrangement shall be applied at each end that 
is designed so that coupled MU locomotives under full compression shall 
mate in a manner that will resist one locomotive from climbing the 
other. This arrangement shall resist a vertical load of 100,000 pounds 
without exceeding the yield point of its various parts or its 
attachments to the body structure.
    (3) The coupler carrier and its connections to the body structure 
shall be designed to resist a vertical downward thrust from the coupler 
shank of 100,000 pounds for any horizontal position of the coupler, 
without exceeding the yield points of the materials used. When yielding 
type of coupler carrier is used, an auxiliary arrangement shall be 
provided that complies with these requirements.
    (4) The outside end of each locomotive shall be provided with two 
main vertical members, one at each side of the diaphragm opening; each 
main member shall have an ultimate shear value of not less than 300,000 
pounds at a point even with the top of the underframe member to which it 
is attached. The attachment of these members at bottom shall be 
sufficient to develop their full shear value. If reinforcement is used 
to provide the shear value, the reinforcement shall have full value for 
a distance of 18 inches up from the underframe connection and then taper 
to a point approximately 30 inches above the underframe connection.
    (5) The strength of the means of locking the truck to the body shall 
be at least the equivalent of an ultimate shear value of 250,000 pounds.
    (b) MU locomotives built new after April 1, 1956 that are operated 
in trains having a total empty weight of less than 600,000 pounds shall 
have a body structure designed to meet or exceed the following minimum 
specifications:
    (1) The body structure shall resist a minimum static end load of 
400,000 pounds at the rear draft stops ahead of the bolster on the 
center line of draft, without developing any permanent deformation in 
any member of the body structure.
    (2) An anti-climbing arrangement shall be applied at each end that 
is designed so that coupled locomotives under full compression shall 
mate in a manner that will resist one locomotive from climbing the 
other. This arrangement shall resist a vertical load of 75,000 pounds 
without exceeding the yield point of its various parts or its 
attachments to the body structure.
    (3) The coupler carrier and its connections to the body structure 
shall be designed to resist a vertical downward thrust from the coupled 
shank of 75,000 pounds for any horizontal position of the coupler, 
without exceeding the yield points of the materials used. When a 
yielding type of coupler carrier

[[Page 326]]

is used, an auxiliary arrangement shall be provided that complies with 
these requirements.
    (4) The outside end of each MU locomotive shall be provided with two 
main vertical members, one at each side of the diaphragm opening; each 
main member shall have an ultimate shear value of not less than 200,000 
pounds at a point even with the top of the underframe member to which it 
is attached. The attachment of these members at bottom shall be 
sufficient to develop their full shear value, the reinforcement shall 
have full value for a distance of 18 inches up from the underframe 
connection and then taper to a point approximately 30 inches above the 
underframe connection.
    (5) The strength of the means of locking the truck to the body shall 
be at least the equivalent of an ultimate shear value of 250,000 pounds.

                Appendix A to Part 229--Form FRA 6180-49A

    Editorial Note: Appendix A, published at 45 FR 21118, Mar. 31, 1980, 
as part of the original document, is not carried in the CFR. Copies of 
Form FRA F6180-49A are available by contacting the Federal Railroad 
Administration, Office of Standards and Procedures, 400 7th St., SW., 
Washington, DC 20590.

         Appendix B To Part 229--Schedule of Civil Penalties\1\
------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
                           Subpart A--General
------------------------------------------------------------------------
229.7  Prohibited acts: Safety deficiencies     $1,000-5,00  $2,000-7,50
 not governed by specific regulations: To be              0            0
 assessed on relevant facts...................
229.9  Movement of noncomplying locomotives...        (\1\)        (\1\)
229.11  Locomotive identification.............        1,000        2,000
229.13  Control of locomotives................        2,500        5,000
229.17  Accident reports......................        2,500        5,000
229.19  Prior Waivers.........................        (\1\)        (\1\)
 
------------------------------------------------------------------------
                     Subpart B--Inspection and tests
 
------------------------------------------------------------------------
229.21  Daily inspection:
    (a)(b):
        (1) Inspection overdue................        2,000        4,000
        (2) Inspection report not made,               1,000        2,000
         improperly executed, or not retained.
    (c) Inspection not performed by a                 1,000        2,000
     qualified person.........................
229.23  Periodic inspection General
    (a)(b):
        (1) Inspection overdue................        2,500        5,000
        (2) Inspection performed improperly or        2,500        5,000
         at a location where the underneath
         portion cannot be safely inspected...
    (c)(d):
        (1) Form missing......................        1,000        2,000
        (2) Form not properly displayed.......        1,000        2,000
        (3) Form improperly executed..........        1,000        2,000
    (e) Replace Form FRA F 6180-49A by April 2        1,000        2,000
    (f) Secondary record of the information           1,000        2,000
     reported on Form FRA F 6180.49A..........
229.25
  (a) through (e)(4) Tests: Every periodic            2,500        5,000
   inspection.................................
  (e)(5) Ineffective maintenance..............        8,000       16,000
229.27  Annual tests..........................        2,500        5,000
229.29  Biennial tests........................        2,500        5,000
229.31:
    (a) Biennial hydrostatic tests of main            2,500        5,000
     reservoirs...............................
    (b) Biennial hammer tests of main                 2,500        5,000
     reservoirs...............................
    (c) Drilled telltale holes in welded main         2,500        5,000
     reservoirs...............................
    (d) Biennial tests of aluminum main               2,500        5,000
     reservoirs...............................
229.33  Out-of-use credit.....................        1,000        2,000
 
------------------------------------------------------------------------
                     Subpart C--Safety Requirements
 
------------------------------------------------------------------------
229.41  Protection against personal injury....        2,500        5,000
229.43  Exhaust and battery gases.............        2,500        5,000
229.45  General condition: To be assessed       1,000-5,000  2,000-7,500
 based on relevant facts......................
229.46  Brakes: General.......................        2,500        5,000
229.47  Emergency brake valve.................        2,500        5,000
229.49  Main reservoir system:
    (a)(1) Main reservoir safety valve........        2,500        5,000
    (2) Pneumatically actuated control                2,500        5,000
     reservoir................................
    (b)(c) Main reservoir governors...........        2,500        5,000
229.51  Aluminum main reservoirs..............        2,500        5,000
229.53  Brake gauges..........................        2,500        5,000
229.55  Piston travel.........................        2,500        5,000
229.57  Foundation brake gear.................        2,500        5,000
229.59  Leakage...............................        2,500        5,000
229.61  Draft system..........................        2,500        5,000
229.63  Lateral motion........................        2,500        5,000
229.64  Plain bearing.........................        2,500        5,000

[[Page 327]]

 
229.65  Spring rigging........................        2,500        5,000
229.67  Trucks................................        2,500        5,000
229.69  Side bearings.........................        2,500        5,000
229.71  Clearance above top of rail...........        2,500        5,000
229.73  Wheel sets............................        2,500        5,000
229.75  Wheel and tire defects:
    (a),(d) Slid flat or shelled spot(s):
        (1) One spot 2\1/2\'' or more but less        2,500        5,000
         than 3'' in length...................
        (2) One spot 3'' or more in length....        5,000        7,500
        (3) Two adjoining spots each of which         2,500        5,000
         is 2'' or more in length but less
         than 2\1/2\'' in length..............
        (4) Two adjoining spots each of which         5,000        7,500
         are at least 2'' in length, if either
         spot is 2\1/2\'' or more in length...
    (b) Gouge or chip in flange of:
        (1) more than 1\1/2\'' but less than          2,500        5,000
         1\5/8\'' in length; and more than \1/
         2\'' but less than \5/8\'' in width..
        (2) 1\5/8\'' or more in length and \5/        5,000        7,500
         8\'' or more in width................
    (c) Broken rim............................        5,000        7,500
    (e) Seam in tread.........................        2,500        5,000
    (f) Flange thickness of:
        (1) \7/8\'' or less but more than \13/        2,500        5,000
         16\''................................
        (2) \13/16\'' or less.................        5,000        7,500
    (g) Tread worn hollow.....................        2,500        5,000
    (h) Flange height of:
        (1) 1\1/2\" or greater but less than          2,500        5,000
         1\5/8\"..............................
        (2) 1\5/8\" or more...................        5,000        7,000
    (i) Tire thickness........................        2,500        5,000
    (j) Rim thickness:
        (1) Less than 1" in road service and          2,500        5,000
         \3/4\" in yard service...............
        (2) \15/16\" or less in road service          5,000        7,500
         and \11/16\" in yard service.........
    (k) Crack of less than 1".................        5,000        7,500
        (1) Crack of less than 1".............        2,500        5,000
        (2) Crack of 1" or more...............        5,000        7,500
        (3) Break.............................        5,000        7,500
    (l) Loose wheel or tire...................        5,000        7,500
    (m) Welded wheel or tire..................        5,000        7,500
229.77  Current collectors....................        2,500        5,000
229.79  Third rail shoes and beams............        2,000        4,000
229.81  Emergency pole; shoe insulation.......        2,500        5,000
229.83  Insulation or grounding...............        5,000        7,500
229.85  Door and cover plates marked                  2,500        5,000
 ``Danger''...................................
229.87  Hand operated switches................        2,500        5,000
229.89  Jumpers; cable connections:
    (a) Jumpers and cable connections; located        2,500        5,000
     and guarded..............................
    (b) Condition of jumpers and cable                2,500        5,000
     connections..............................
229.91  Motors and generators.................        2,500        5,000
229.93  Safety cut-off device.................        2,500        5,000
229.95  Venting...............................        2,500        5,000
229.97  Grounding fuel tanks..................        2,500        5,000
229.99  Safety hangers........................        2,500        5,000
229.101  Engines:
    (a) Temperature and pressure alarms,              2,500        5,000
     controls, and switches...................
    (b) Warning notice........................        2,500        5,000
    (c) Wheel slip/slide protection...........        2,500        5,000
229.103  Safe working pressure; factor of             2,500        5,000
 safety.......................................
229.105  Steam generator number...............          500        1,000
229.107  Pressure gauge.......................        2,500        5,000
229.109  Safety valves........................        2,500        5,000
229.111  Water-flow indicator.................        2,500        5,000
229.113  Warning notice.......................        2,500        5,000
229.115  Slip/slide alarms....................        2,500        5,000
229.117  Speed indicators.....................        2,500        5,000
229.119  Cabs, floors, and passageways:
    (a)(1) Cab set not securely mounted or            2,500        5,000
     braced...................................
        (2) Insecure or improper latching             2,500        5,000
         device...............................
    (b) Cab windows of lead locomotive........        2,500        5,000
    (c) Floors, passageways, and compartments.        2,500        5,000
    (d) Ventilation and heating arrangement...        2,500        5,000
    (e) Continuous barrier....................        2,500        5,000
    (f) Containers for fuses and torpedoes....        2,500        5,000
229.121  Locomotive cab noise.................        2,500        5,000
229.123  Pilots, snowplows, end plates........        2,500        5,000
229.125
  (a) Headlights..............................        2,500        5,000
  (d) Auxiliary lights........................        2,500        5,000
229.127  Cab lights...........................        2,500        5,000
229.129  Audible warning device...............        2,500        5,000
229.131  Sanders..............................        1,000        2,000
229.135
  (a) Lead locomotive without in-service event        2,500        5,000
   recorder...................................
  (b) Improper response to out of service             2,500        5,000
   event recorder.............................
  (c) Unauthorized removal from service.......        2,500        5,000
  Failure to remove from service a recorder           2,500        5,000
   known to have failed.......................
  (d) Failure to preserve data or unauthorized        2,500        5,000
   extraction of data.........................

[[Page 328]]

 
  (e) Tampering with device or data...........        2,500        7,500
 
------------------------------------------------------------------------
                     Subpart D--Design Requirements
 
------------------------------------------------------------------------
229.141  Body structure, MU locomotives.......        2,500        5,000
------------------------------------------------------------------------
\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 locomotive that is used by a
  railroad, the appropriate penalties set forth above are aggregated up
  to a maximum of $10,000 per day. However, a failure to perform, with
  respect to a particular locomotive, any of the inspections and tests
  required under subpart B of this part will be treated as a violation
  separate and distinct from, and in addition to, any substantive
  violative conditions found on that locomotive. Moreover, the
  Administrator reserves the right to assess a penalty of up to $22,000
  for any violation where circumstances warrant. See 49 CFR part 209,
  appendix A.
Failure to observe any condition for movement set forth in Sec.  229.9
  will deprive the railroad of the benefit of the movement-for-repair
  provision and make the railroad and any responsible individuals liable
  for penalty under the particular regulatory section(s) concerning the
  substantive defect(s) present on the locomotive at the time of
  movement. Failure to comply with Sec.  229.19 will result in the lapse
  of any affected waiver.


[53 FR 52931, Dec. 29, 1988, as amended at 58 FR 36615, July 8, 1993; 61 
FR 8888, Mar. 6, 1996; 63 FR 11622, Mar. 10, 1998]

    Appendix C to Part 229--FRA Locomotive Standards--Code of Defects

    Editorial Note: Appendix C, published at 45 FR 21121, Mar. 31, 1980, 
as part of the original document, is not carried in the CFR.



PART 230--LOCOMOTIVE INSPECTION--Table of Contents




    Authority: 49 U.S.C. 20103, 20107 and 49 CFR 1.49.



Sec. 230.0  Steam powered locomotives.

    (a) Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of 49 CFR part 
230, subpart A (Secs. 230.1 to 230.55) or subpart B (Secs. 230.101 to 
230.162) as in effect on October 1, 1978, or of the Locomotive 
Inspection Act, or causes the violation of any such requirement is 
subject to a civil penalty of at least $500 and not more than $11,000 
per violation, except that: Penalties may be assessed against 
individuals only for willful violations, and, where a grossly negligent 
violation or a pattern of repeated violations has created an imminent 
hazard of death or injury to persons, or has caused death or injury, a 
penalty not to exceed $22,000 per violation may be assessed. Each day a 
violation continues shall constitute a separate offense.
    (b) Any interested person may consult the October 1, 1978 revision 
of 49 CFR parts 200-999 or obtain a copy of these regulations by 
contacting the Federal Railroad Administration, Office of Standards and 
Procedures, 400 7th St., SW., Washington, DC 20590.

[45 FR 21109, Mar. 31, 1980, as amended at 53 FR 28602, July 28, 1988; 
63 FR 11622, 11623, Mar. 10, 1998]



PART 231--RAILROAD SAFETY APPLIANCE STANDARDS--Table of Contents




Sec.
231.0  Applicability and penalties.
231.1  Box and other house cars built or placed in service before 
          October 1, 1966.
231.2  Hopper cars and high-side gondolas with fixed ends.
231.3  Drop-end high-side gondola cars.
231.4  Fixed-end low-side gondola and low-side hopper cars.
231.5  Drop-end low-side gondola cars.
231.6  Flat cars.
231.7  Tank cars with side platforms.
231.8  Tank cars without side sills and tank cars with short side sills 
          and end platforms.
231.9  Tank cars without end sills.
231.10  Caboose cars with platforms.
231.11  Caboose cars without platforms.
231.12  Passenger-train cars with wide vestibules.
231.13  Passenger-train cars with open-end platforms.
231.14  Passenger-train cars without end platforms.
231.15  Steam locomotives used in road service.
231.16  Steam locomotives used in switching service.
231.17  Specifications common to all steam locomotives.
231.18  Cars of special construction.

[[Page 329]]

231.19  Definition of ``Right'' and ``Left.''
231.20  Variation in size permitted.
231.21  Tank cars without underframes.
231.22  Operation of track motor cars.
231.23  Unidirectional passenger-train cars adaptable to van-type semi-
          trailer use.
231.24  Box and other house cars with roofs, 16 feet 10 inches or more 
          above top of rail.
231.25  Track motorcars (self-propelled 4-wheel cars which can be 
          removed from the rails by men).
231.26  Pushcars.
231.27  Box and other house cars without roof hatches or placed in 
          service after October 1, 1966.
231.28  Box and other house cars with roof hatches built or placed in 
          service after October 1, 1966.
231.29  Road locomotives with corner stairways.
231.30  Locomotives used in switching service.

Appendix A to Part 231--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20102-03, 20131, 20301-03, 21301-02, 21304; 49 
CFR 1.49(c), (m).

    Source: 33 FR 19663, Dec. 25, 1968, unless otherwise noted.

    Note: Where rivets or bolts are required in this part 231 a two-
piece steel rivet may be used consisting of:
    (a) A solid shank of one-half (\1/2\) inch minimum diameter steel or 
material of equal or greater strength having cold forged head on one 
end, a shank length for material thickness fastened, locking grooves, 
breakneck groove and pull grooves (all annular grooves) on the opposite 
end.
    (b) A collar of similar material which is cold swaged into the 
locking grooves forming a head for the opposite end of item (a) after 
the pull groove section has been removed.



Sec. 231.0  Applicability and penalties.

    (a) Except as provided in paragraphs (b) and (c) of this section, 
this part applies to all standard gage railroads.
    (b) This part does not apply to:
    (1) A railroad that operates only on track inside an installation 
which is not part of the general railroad system of transportation; or
    (2) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation.
    (c) Except for the provisions governing uncoupling devices, this 
part does not apply to Tier II passenger equipment as defined in 
Sec. 238.5 of this chapter (i.e., passenger equipment operating at 
speeds exceeding 125 mph but not exceeding 150 mph).
    (d) As used in this part, carrier means ``railroad,'' as that term 
is defined below.
    (e) Railroad means all forms of non-highway ground transportation 
that run on rails or electromagnetic guideways, including (1) commuter 
or other short-haul rail passenger service in a metropolitan or suburban 
area, and (2) high speed ground transportation systems that connect 
metropolitan areas, without regard to whether they use new technologies 
not associated with traditional railroads. Such term does not include 
rapid transit operations within an urban area that are not connected to 
the general railroad system of transportation.
    (f) Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix A to this part for a 
statement of agency civil penalty policy.

[54 FR 33229, Aug. 14, 1989, as amended at 63 FR 11623, Mar. 10, 1998; 
64 FR 25660, May 12, 1999]



Sec. 231.1  Box and other house cars built or placed in service before October 1, 1966.

    Except for box and other house cars that comply with either 
Sec. 231.27 or

[[Page 330]]

Sec. 231.28, each box and other house car shall be equipped to meet the 
following specifications:
    (a) Handbrake--(1) Number. One efficient handbrake which shall 
operate in harmony with the power brake installed on the car. Each such 
handbrake shall (i) provide the same degree of safety as the design 
shown on plate A, or (ii) provide the same degree of safety as that 
specified in Sec. 231.27.
    (2) Dimensions. (i) The brake shaft shall be not less than 1\1/4\ 
inches in diameter, of wrought iron or steel without weld.
    (ii) The brake wheel may be flat or dished, not less than 15, 
preferably 16, inches in diameter, of malleable iron, wrought iron, or 
steel.
    (3) Location. (i) The hand brake shall be so located that it can be 
safely operated while car is in motion.
    (ii) The brake shaft shall be located on end of car, to the left of 
and not less than 17 nor more than 22 inches from center.
    (iii) Carriers are not required to change the brakes from right to 
left side on steel or steel-underframe cars with platform end sills in 
service July 1, 1911, except when such appliances are renewed, at which 
time they must be made to comply with the standards prescribed.
    (iv) Carriers are not required to change the location of brake 
wheels and brake shafts on cars in service July 1, 1911, where the 
appliances are within 3 inches of the required location, except that 
when cars undergo regular repairs they must then be made to comply with 
the standards prescribed.
    (4) Manner of application. (i) There shall be not less than 4 inches 
clearance around rim of brake wheel.
    (ii) Outside edge of brake wheel shall be not less than 4 inches 
from a vertical plane parallel with end of car and passing through the 
inside face of knuckle when closed with coupler horn against the buffer 
block or end sill.
    (iii) Top brake-shaft support shall be fastened with not less than 
\1/2\-inch bolts or rivets. (See plate A.)

[[Page 331]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.005

    (iv) A brake-shaft step shall support the lower end of brake shaft. 
A brake-shaft step which will permit the brake chain to drop under the 
brake shaft shall not be used. U-shaped form of brakeshaft step is 
preferred. (See plate A.)
    (v) Brake shaft shall be arranged with a square fit at its upper end 
to secure the hand-brake wheel; said square fit shall be not less than 
seven-eighths of an inch square. Square-fit taper, nominally 2 in 12 
inches. (See plate A.)
    (vi) Brake chain shall be of not less than \3/8\-, preferably \7/
16\-, inch wrought iron or steel, with a link on the brakerod end of not 
less than \7/16\-, preferably \1/2\-, inch wrought iron or steel, and 
shall be secured to brake-shaft drum by not less than \1/2\-inch hexagon 
or square-headed bolt. Nut on said bolt shall be secured by riveting end 
of bolt over nut. (See plate A.)
    (vii) Lower end of brake shaft shall be provided with a trunnion of 
not less than \3/4\-, preferably 1, inch in diameter extending through 
brake-shaft step and held in operating position by a suitable cotter or 
ring. (See plate A.)
    (viii) Brake-shaft drum shall be not less than 1\1/2\ inches in 
diameter. (See plate A.)
    (ix) Brake ratchet wheel shall be secured to brake shaft by a key or 
square fit; said square fit shall be not less than 1\5/16\ inches 
square. When ratchet wheel with square fit is used, provision shall be 
made to prevent ratchet wheel from rising on shaft to disengage brake 
pawl. (See plate A.)

[[Page 332]]

    (x) Brake ratchet wheel shall be not less than 5\1/4\, preferably 
5\1/2\, inches in diameter and shall have not less than 14, preferably 
16, teeth. (See plate A.)
    (xi) If brake ratchet wheel is more than 36 inches from brake wheel, 
a brake-shaft support shall be provided to support this extended upper 
portion of brake shaft; said brake-shaft support shall be fastened with 
not less than \1/2\-inch bolts or rivets.
    (xii) The brake pawl shall be pivoted upon a bolt or rivet not less 
than five-eighths of an inch in diameter, or upon a trunnion secured by 
not less than \1/2\-inch bolt or rivet, and there shall be a rigid metal 
connection between brake shaft and pivot of pawl.
    (xiii) Brake wheel shall be held in position on brake shaft by a nut 
on a threaded extended end of brake shaft; said threaded portion shall 
be not less than three-fourths of an inch in diameter; said nut shall be 
secured by riveting over or by the use of a lock nut or suitable cotter.
    (xiv) Brake wheel shall be arranged with a square fit for brake 
shaft in hub of said wheel; taper of said fit, nominally 2 in 12 inches. 
(See plate A.)
    (b) Brake step. If brake step is used, it shall be not less than 28 
inches in length. Outside edge shall be not less than 8 inches from face 
of car and not less than 4 inches from a vertical plane parallel with 
end of car and passing through the inside face of knuckle when closed 
with coupler horn against the buffer block or end sill.
    (1) Manner of application. Brake step shall be supported by not less 
than two metal braces having a minimum cross-sectional area \3/8\ by 
1\1/2\ inches or equivalent, which shall be securely fastened to body of 
car with not less than \1/2\-inch bolts or rivets.
    (c) Running boards--(1) Number. One longitudinal running board. On 
outside-metal-roof cars two latitudinal extensions.
    (2) Dimensions. Longitudinal running board shall be not less than 18 
and preferably 20 inches in width. Latitudinal extensions shall be not 
less than 24 inches in width. Wooden running boards or extensions 
hereafter installed shall be constructed of wood not less than 1\1/8\ 
inches in thickness.
    (3) Location. Full length of car, center of roof. On outside-metal-
roof cars there shall be two latitudinal extensions from longitudinal 
running board to ladder locations, except on refrigerator cars where 
such latitudinal extensions cannot be applied on account of ice hatches.
    (4) Manner of application. (i) Running board shall be continuous 
from end to end and not cut or hinged at any point: Provided, That the 
length and width of running board may be made up of a number of pieces 
securely fastened to saddle-blocks with screws, bolts, or rivets.
    (ii) The ends of longitudinal running board shall be not less than 6 
nor more than 10 inches from a vertical plane parallel with end of car 
and passing through the inside face of knuckle when closed with coupler-
horn against the buffer-block or endsill; and if more than 4 inches from 
edge of roof of car, shall be securely supported their full width by 
substantial metal braces.
    (iii) Running board shall be securely fastened to car and be made of 
wood or of material which provides the same as or a greater degree of 
safety than wood of 1\1/8\ inches thickness. When made of material other 
than wood the tread surface shall be of anti-skid design and constructed 
with sufficient open space to permit the elimination of snow and ice 
from the tread surface.
    (d) Sill steps--(1) Number. Four.
    (2) Dimensions. Minimum cross-sectional area \1/2\ by 1\1/2\ inches, 
or equivalent, of wrought iron or steel. Minimum length of tread, 10, 
preferably 12, inches. Minimum clear depth, 8 inches.
    (3) Location. (i) One near each end of each side of car, so that 
there shall be not more than 18 inches from end of car to center of 
tread of sill step.
    (ii) Outside edge of tread of step shall be not more than 4 inches 
inside of face of side of car, preferably flush with side of car.
    (iii) Tread shall be not more than 24, preferably not more than 22, 
inches above the top of rail.
    (iv) Carriers are not required to change location of sill steps on 
cars in service July 1, 1911, where the appliances are within 3 inches 
of the required location, except that when cars undergo regular repairs 
they must then

[[Page 333]]

be made to comply with the standards prescribed.
    (4) Manner of application. (i) Sill steps exceeding 21 inches in 
depth shall have an additional tread.
    (ii) Sill steps shall be securely fastened with not less than \1/2\-
inch bolts with nuts outside (when possible) and riveted over, or with 
not less than \1/2\-inch rivets.
    (e) Ladders--(1) Number. Four.
    (2) Dimensions. (i) Minimum clear length of tread: Side ladders 16 
inches; end ladders 14 inches. Maximum spacing between ladder treads, 19 
inches.
    (ii) Top ladder tread shall be located not less than 12 nor more 
than 18 inches from roof at eaves.
    (iii) Spacing of side ladder treads shall be uniform within a limit 
of 2 inches from top ladder tread to bottom tread of ladder.
    (iv) Maximum distance from bottom tread of side ladder to top tread 
of sill step, 21 inches.
    (v) End ladder treads shall be spaced to coincide with treads of 
side ladders, a variation of 2 inches being allowed. Where construction 
of car will not permit the application of a tread of end ladder to 
coincide with bottom tread of side ladder, the bottom tread of end 
ladder must coincide with second tread from bottom of side ladder.
    (vi) Hardwood treads, minimum dimensions 1\1/2\ by 2 inches.
    (vii) Iron or steel treads, minimum diameter five-eighths of an 
inch.
    (viii) Minimum clearance of treads, 2, preferably 2\1/2\, inches.
    (3) Location. (i) One on each side, not more than 8 inches from 
right end of car; one on each end, not more than 8 inches from left side 
of car; measured from inside edge of ladder stile or clearance of ladder 
treads to corner of car.
    (ii) Carriers are not required to change the location of ladders on 
cars in service July 1, 1911, where the appliances are within 3 inches 
of the required location, except that when cars undergo regular repairs 
they must then be made to comply with the standards prescribed.
    (iii) Carriers are not required to change the end ladders on steel 
or steel underframe cars with platform end sill, in service July 1, 
1911, except when such appliances are renewed, at which time they must 
be made to comply with the standards prescribed.
    (4) Manner of application. (i) Metal ladders without stiles near 
corners of cars shall have foot guards or upward projections not less 
than 2 inches in height near inside end of bottom treads.
    (ii) Stiles of ladders, projecting 2 or more inches from face of 
car, will serve as foot guards.
    (iii) Ladders shall be securely fastened with not less than \1/2\-
inch bolts with nuts outside (when possible) and riveted over, or with 
not less than \1/2\-inch rivets. Three-eighths-inch bolts may be used 
for wooden treads which are gained into stiles.
    (f) End ladder clearance. (1) No part of car above end sills within 
30 inches from side of car, except buffer block, brake shaft, brake 
wheel, brake step, running board or uncoupling lever shall extend to 
within 12 inches of a vertical plane parallel with end of car and 
passing through the inside face of knuckle when closed with coupler horn 
against the buffer block or end sill, and no other part of end of car or 
fixtures on same above end sills, other than exceptions herein noted, 
shall extend beyond the outer face of buffer block.
    (2) Carriers are not required to make changes to secure additional 
end-ladder clearance on cars in service July 1, 1911, that have 10 or 
more inches end-ladder clearance, within 30 inches of side of car, until 
car is shopped for work amounting to practically rebuilding body of car, 
at which time they must be made to comply with the standards prescribed.
    (g) Roof handholds--(1) Number. (i) One over each ladder.
    (ii) One right-angle handhold may take the place of two adjacent 
specified roof handholds, provided the dimensions and locations 
coincide, and that an extra leg is securely fastened to car at point of 
angle.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clear length, 16 inches. Minimum clearance, 2, 
preferably 2\1/2\ inches.
    (3) Location. (i) On roof of car, one parallel to treads of each 
ladder, not less than 8 nor more than 15 inches

[[Page 334]]

from edge of roof, except on refrigerator cars where ice hatches 
prevent, when location may be nearer edge of roof.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handhold under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Roof handholds shall be securely fastened 
with not less than \1/2\-inch bolts with nuts outside (when possible) 
and riveted over, or with not less than \1/2\-inch rivets.
    (h) Side handholds--(1) Number. Four. (Tread of side ladder is a 
side handhold.)
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clear length, 16 inches, preferably 24 inches. 
Minimum clearance, 2, preferably 2\1/2\, inches.
    (3) Location. (i) Horizontal, one near each end on each side of car. 
Side handholds shall be not less than 24 nor more than 30 inches above 
center line of coupler, except as provided above, where tread of ladder 
is a handhold. Clearance of outer end of handhold shall be not more than 
8 inches from end of car.
    (ii) Carriers are not required to change the location of handholds, 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Side handholds shall be securely fastened 
with not less than \1/2\-inch bolts with nuts outside (when possible) 
and riveted over, or with not less than \1/2\-inch rivets.
    (i) Horizontal end handholds--(1) Number. Eight or more, four on 
each end of car. (Tread of end ladder is an end handhold.)
    (2) Dimensions. (i) Minimum diameter, five-eighths of an inch, 
wrought iron or steel. Minimum clear length, 16 inches, preferably 24 
inches.
    (ii) A handhold 14 inches in length may be used where it is 
impossible to use one 16 inches in length.
    (iii) Minimum clearance, 2, preferably 2\1/2\, inches.
    (3) Location. (i) One near each side on each end of car, not less 
than 24 nor more than 30 inches above center line of coupler, except as 
provided above, when tread of end ladder is an end handhold. Clearance 
of outer end of handhold shall be not more than 8 inches from side of 
car.
    (ii) One near each side of each end of car on face of end sill or 
sheathing over end sill, projecting outward or downward. Clearance of 
outer end of handhold shall be not more than 16 inches from side of car.
    (iii) On each end of cars with platform end sills 6 or more inches 
in width, measured from end post or siding and extending entirely across 
end of car, there shall be one additional end handhold not less than 24 
inches in length, located near center of car, not less than 30 nor more 
than 60 inches above platform end sill.
    (iv) Carriers are not required to change the location of handholds, 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Horizontal end handholds shall be 
securely fastened with not less than \1/2\-inch bolts with nuts outside 
(when possible) and riveted over, or with not less than \1/2\-inch 
rivets.
    (j) Vertical end handholds--(1) Number. Two on full-width platform 
end-sill cars, as heretofore described.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clear length, 18, preferably 24, inches. Minimum 
clearance, 2, preferably 2\1/2\, inches.
    (3) Location. (i) One on each end of car opposite ladder, not more 
than 8 inches from side of car; clearance of bottom end of handhold 
shall be not less than 24 nor more than 30 inches above center line of 
coupler.
    (ii) Carriers are not required to change the location of handholds, 
on

[[Page 335]]

cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Vertical end handholds shall be securely 
fastened with not less than \1/2\-inch bolts with nuts outside (when 
possible) and riveted over, or with not less than \1/2\-inch rivets.
    (k) Uncoupling levers--(1) Number. Two. Uncoupling levers may be 
either single or double, and of any efficient design.
    (2) Dimensions. (i) Handles of uncoupling levers, except those shown 
on plate B or of similar designs, shall be not more than 6 inches from 
sides of car.
    (ii) Uncoupling levers of design shown on plate B and of similar 
designs shall conform to the following prescribed limits:
    (iii) Handles shall be not more than 12, preferably 9, inches from 
sides of cars. Center lift arms shall be not less than 7 inches long.
    (iv) Center of eye at end of center lift arm shall be not more than 
3\1/2\ inches beyond center of eye of uncoupling pin of coupler when 
horn of coupler is against the buffer block or end sill. (See plate B.)
[GRAPHIC] [TIFF OMITTED] TC01AP91.006

    (v) Ends of handles shall extend not less than 4 inches below bottom 
of end sill or shall be so constructed as to give a minimum clearance of 
2 inches

[[Page 336]]

around handle. Minimum drop of handles shall be 12 inches; maximum, 15 
inches over all. (See plate B.)
    (vi) Handles of uncoupling levers of the ``rocking'' or ``push-
down'' type shall be not less than 18 inches from top of rail when lock 
block has released knuckle, and a suitable stop shall be provided to 
prevent inside arm from flying up in case of breakage.
    (3) Location. One on each end of car. When single lever is used, it 
shall be placed on left side of end of car.

(Secs. 2, 4, and 6, 27 Stat. 531, as amended; secs, 1 and 3, 32 Stat. 
943, as amended; sec. 6(e) and (f), 80 Stat. 939 (45 U.S.C. 2, 4, 6, 8, 
and 10, 11-16 and 49 U.S.C. 103(c)(1))

[33 FR 19663, Dec. 25, 1968, as amended at 49 FR 26745, June 29, 1984]



Sec. 231.2  Hopper cars and high-side gondolas with fixed ends.

    (Cars with sides more than 36 inches above the floor are high-side 
cars.)
    (a) Hand brakes--(1) Number. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(a)(2)).
    (3) Location. (i) Each hand brake shall be so located that it can be 
safely operated while car is in motion.
    (ii) The brake shaft shall be located on end of car to the left of, 
and not more than 22 inches from, center.
    (iii) Carriers are not required to change the brakes from right to 
left side on steel or steel-underframe cars with platform end sills, in 
service July 1, 1911, except when such appliances are renewed, at which 
time they must be made to comply with the standards prescribed.
    (iv) Carriers are not required to change the location of brake 
wheels and brake shafts on cars in service July 1, 1911, where the 
appliances are within 3 inches of the required location, except that 
when cars undergo regular repairs they must then be made to comply with 
the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(4)).
    (b) Brake step. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1 (b)).
    (c) Sill steps. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(d)).
    (d) Ladders--(1) Number. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(e)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(e)(2)), except that top ladder tread shall be located 
not more than 4 inches from top of car.
    (3) Location. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(e)(3)).
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(e)(4)).
    (e) Side handholds. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(h)).
    (f) Horizontal end handholds. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(i)).
    (g) Vertical end handholds. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(j)).
    (h) Uncoupling levers. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(k)).
    (i) End-ladder clearance. (1) No part of car above end sills within 
30 inches from side of car, except buffer block, brake shaft, brake 
wheel, brake step, or uncoupling lever shall extend to within 12 inches 
of a vertical plane parallel with end of car and passing through the 
inside face of knuckle when closed with coupler horn against the buffer 
block or end sill, and no other part of end of car or fixtures on same 
above end sills, other than exceptions herein noted, shall extend beyond 
the outer face of buffer block.
    (2) Carriers are not required to make changes to secure additional 
end-ladder clearance on cars in service July 1, 1911, that have 10 or 
more inches end-ladder clearance within 30 inches of side of car, until 
car is shopped for work amounting to practically rebuilding body of car, 
at which time they must be made to comply with the standards prescribed.



Sec. 231.3  Drop-end high-side gondola cars.

    (a) Hand brakes--(1) Number. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(1)).

[[Page 337]]

    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(a)(2)).
    (3) Location. (i) Each hand brake shall be so located that it can be 
safely operated while car is in motion.
    (ii) The brake shaft shall be located on end of car to the left of 
center.
    (iii) Carriers are not required to change the brakes from right to 
left side on steel or steel-underframe cars with platform end sills, in 
service July 1, 1911, except when such appliances are renewed, at which 
time they must be made to comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(4)).
    (b) Sill steps. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(d)).
    (c) Ladders--(1) Number. Two.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(e)(2)), except that top ladder tread shall be located 
not more than 4 inches from top of car.
    (3) Location. (i) One on each side, not more than 8 inches from 
right end of car, measured from inside edge of ladder stile or clearance 
of ladder treads to corner of car.
    (ii) Carriers are not required to change the location of ladders on 
cars in service July 1, 1911, where the appliances are within 3 inches 
of the required location, except that when cars undergo regular repairs 
they must then be made to comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(e)(4)).
    (d) Side handholds. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(h)).
    (e) Horizontal end handholds--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(i)(2)).
    (3) Location. (i) One near each side of each end of car on face of 
end sill. Clearance of outer end of handhold shall be not more than 16 
inches from side of car.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(i)(4)).
    (f) Uncoupling levers. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(k)).
    (g) End ladder clearance. (1) No part of car above end sills within 
30 inches from side of car, except buffer block, brake shaft, brake 
wheel or uncoupling lever shall extend to within 12 inches of a vertical 
plane parallel with end of car and passing through the inside face of 
knuckle when closed with coupler horn against the buffer block or end 
sill, and no other part of end of car or fixtures on same above end 
sills, other than exceptions noted in this subparagraph, shall extend 
beyond the outer face or buffer block.
    (2) Carriers are not required to make changes to secure additional 
end-ladder clearance on cars in service July 1, 1911, that have 10 or 
more inches end-ladder clearance, within 30 inches of side of car, until 
car is shopped for work amounting to practically rebuilding body of car, 
at which time they must be made to comply with the standards prescribed.



Sec. 231.4  Fixed-end low-side gondola and low-side hopper cars.

    (Cars with sides 36 inches or less above the floor are low-side 
cars.)
    (a) Hand brakes--(1) Number. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(a)(2)).
    (3) Location. (i) Each hand brake shall be so located that it can be 
safely operated while car is in motion.
    (ii) The brake shaft shall be located on end of car, to the left of 
and not more than 22 inches from center.
    (iii) Carriers are not required to change the brakes from right to 
left side on steel or steel-underframe cars with platform end sills, in 
service July 1, 1911, except when such appliances are

[[Page 338]]

renewed, at which time they must be made to comply with the standards 
prescribed.
    (iv) Carriers are not required to change the location of brake 
wheels and brake shafts on cars in service July 1, 1911, where the 
appliances are within 3 inches of the required location, except that 
when cars undergo regular repairs they must then be made to comply with 
the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(4)).
    (b) Brake step. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(b)).
    (c) Sill steps. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(d)).
    (d) Side handholds--(1) Number. Same as specified for ``Box and 
other house cars'' (see Sec. 231.1(h)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(h)(2)).
    (3) Location. (i) Horizontal, one near each end on each side of car, 
not less than 24 nor more than 30 inches above center line of coupler, 
if car construction will permit, but handhold shall not project above 
top of side. Clearance of outer end of handhold shall be not more than 8 
inches from end of car.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(h)(4)).
    (e) Horizontal end handholds--(1) Number. Same as specified for 
``Box and other house cars'' (see Sec. 231.1(i)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(i)(2)).
    (3) Location. (i) One near each side on each end of car, not less 
than 24 nor more than 30 inches above center line of coupler, if car 
construction will permit. Clearance of outer end of handhold shall be 
not more than 8 inches from side of car.
    (ii) One near each side of each end of car on face of end sill, 
projecting outward or downward. Clearance of outer end of handhold shall 
be not more than 16 inches from side of car.
    (iii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(i)(4)).
    (f) Uncoupling levers. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(k)).
    (g) End-ladder clearance. (1) No part of car above end sills within 
30 inches from side of car, except buffer block, brake shaft, brake 
step, brake wheel or uncoupling lever shall extend to within 12 inches 
of a vertical plane parallel with end of car and passing through the 
inside face of knuckle when closed with coupler horn against the buffer 
block or end sill, and no other part of end of car or fixtures on same 
above end sills, other than exceptions noted in this subparagraph, shall 
extend beyond the outer face of buffer block.
    (2) Carriers are not required to make changes to secure additional 
end-ladder clearance on cars in service July 1, 1911, that have 10 or 
more inches end-ladder clearance, within 30 inches of side of car, until 
car is shopped for work amounting to practically rebuilding body of car, 
at which time they must be made to comply with the standards prescribed.



Sec. 231.5  Drop-end low-side gondola cars.

    (a) Hand brakes--(1) Number. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(a)(2)).
    (3) Location. (i) Each hand brake shall be so located that it can be 
safely operated while car is in motion.

[[Page 339]]

    (ii) The brake shaft shall be located on end of car to the left of 
center.
    (iii) Carriers are not required to change the brakes from right to 
left side on steel or steel-underframe cars with platform end sills, in 
service July 1, 1911, except when such appliances are renewed, at which 
time they must be made to comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(4)), provided that top brake-shaft 
support may be omitted.
    (b) Sill steps. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(d)).
    (c) Side handholds--(1) Number. Same as specified for ``Box and 
other house cars'' (see Sec. 231.1(h)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(h)(2)).
    (3) Location. (i) Horizontal, one near each end on each side of car, 
not less than 24 nor more than 30 inches above center line of coupler, 
if car construction will permit, but handhold shall not project above 
top of side. Clearance of outer end of handhold shall be no more than 8 
inches from end of car.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(h)(4)).
    (d) End handholds--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(i)(2)).
    (3) Location. (i) Horizontal, one near each side of each end of car 
on face of end sill. Clearance of outer end of handhold shall be not 
more than 16 inches from side of car.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(i)(4)).
    (e) Uncoupling levers. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(k)).
    (f) End-ladder clearance. (1) No part of car above end sills within 
30 inches from side of car, except buffer block, brake shaft, brake 
wheel or uncoupling lever shall extend to within 12 inches of a vertical 
plane parallel with end of car and passing through the inside face of 
knuckle when closed with coupler horn against the buffer block or end 
sill, and no other part of end of car or fixtures on same above end 
sills, other than exceptions noted in this subparagraph shall extend 
beyond the outer face of buffer block.
    (2) Carriers are not required to make changes to secure additional 
end-ladder clearance on cars in service July 1, 1911, that have 10 or 
more inches end-ladder clearance, within 30 inches of side of car, until 
car is shopped for work amounting to practically rebuilding body of car, 
at which time they must be made to comply with the standards prescribed.



Sec. 231.6  Flat cars.

    (Cars with sides 12 inches or less above the floor may be equipped 
the same as flat cars.)
    (a) Hand brakes--(1) Number. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231(a)(2)).
    (3) Location. (i) Each hand brake shall be so located that it can be 
safely operated while car is in motion.
    (ii) The brake shaft shall be located on the end of car to the left 
of center, or on side of car not more than 36 inches from right-hand end 
thereof.
    (iii) Carriers are not required to change the brakes from right to 
left side on steel or steel-underframe cars with platform end sills, in 
service July 1, 1911, except when such appliances are renewed, at which 
time they must be made to comply with the standards prescribed.

[[Page 340]]

    (iv) Carriers are not required to change the location of brake 
wheels and brake shafts on cars in service July 1, 1911, where the 
appliances are within 3 inches of the required location, except that 
when cars undergo regular repairs they must then be made to comply with 
the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(4)).
    (b) Sill steps. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(d)).
    (c) Side handholds--(1) Number. Same as specified for ``Box and 
other house cars'' (see Sec. 231.1(h)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(h)(2)).
    (3) Location. (i) Horizontal, one on face of each side sill near 
each end. Clearance of outer end of handhold shall be not more than 12 
inches from end of car.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(h)(4)).
    (d) End handholds--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(i)(2)).
    (3) Location. (i) Horizontal, one near each side of each end of car 
on face of end sill. Clearance of outer end of handhold shall be not 
more than 16 inches from side of car.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(i)(4)).
    (e) Uncoupling levers. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(k)).



Sec. 231.7  Tank cars with side platforms.

    (a) Hand brakes--(1) Number. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(a)(2)).
    (3) Location. (i) Each hand brake shall be so located that it can be 
safely operated while car is in motion.
    (ii) The brake shaft shall be located on end of car to the left of 
center.
    (iii) Carriers are not required to change the brakes from right to 
left side on steel or steel-underframe cars with platform end sills in 
service July 1, 1911, except when such appliances are renewed, at which 
time they must be made to comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(4)).
    (b) Sill steps. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(d)).
    (c) Side handholds--(1) Number. Four or more.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(h)(2)).
    (3) Location. (i) Horizontal, one on face of each side sill near 
each end. Clearance of outer end of handhold shall be not more than 12 
inches from end of car.
    (ii) If side safety railings are attached to tank or tank bands, 
four additional vertical handholds shall be applied, one as nearly as 
possible over each sill step and securely fastened to tank or tankband.
    (iii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(h)(4)).
    (d) End handholds--(1) Number. Four.

[[Page 341]]

    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(i)(2)).
    (3) Location. (i) Horizontal, one near each side of each end of car 
on face of end sill. Clearance of outer end of handhold shall be not 
more than 16 inches from side of car.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(i)(4)).
    (e) Tank-head handholds--(1) Number. Two. (Not required if safety 
railing runs around ends of tank.)
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clearance, 2, preferably 2\1/2\, inches. Clear 
length of handholds shall extend to within 6 inches of outer diameter of 
tank at point of application.
    (3) Location. (i) Horizontal, one across each head of tank not less 
than 30 nor more than 60 inches above platform.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Tankhead handholds shall be securely 
fastened.
    (f) Safety railings--(1) Number. One continuous safety railing 
running around sides and ends of tank, securely fastened to tank or tank 
bands at ends and sides of tank; or two running full length of tank at 
sides of cars supported by posts.
    (2) Dimensions. Not less than three-fourths of an inch, iron.
    (3) Location. Running full length of tank either at side supported 
by posts or securely fastened to tank or tank bands, not less than 30 
nor more than 60 inches above platform.
    (4) Manner of application. Safety railings shall be securely 
fastened to tank body, tank bands, or posts.
    (g) Uncoupling levers. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(k)).
    (h) End-ladder clearance. (1) No part of car above end sills within 
30 inches from side of car, except buffer block, brake shaft, brake-
shaft brackets, brake wheel or uncoupling level shall extend to within 
12 inches of a vertical plane parallel with end of car and passing 
through the inside face of knuckle when closed with coupler horn against 
the buffer block or end sill, and no other part of end of car or 
fixtures on same above end sills, other than exceptions noted in this 
subparagraph, shall extend beyond the outer face of buffer block.
    (2) Carriers are not required to make changes to secure additional 
end-ladder clearance on cars in service July 1, 1911, that have 10 or 
more inches end-ladder clearance, within 30 inches of side of car, until 
car is shopped for work amounting to practically rebuilding body of car, 
at which time they must be made to comply with the standards prescribed.



Sec. 231.8  Tank cars without side sills and tank cars with short side sills and end platforms.

    (a) Hand brakes--(1) Number. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(a)(2)).
    (3) Location. (i) Each hand brake shall be so located that it can be 
safely operated while car is in motion.
    (ii) The brake shaft shall be located on end of car to the left of 
center.
    (iii) Carriers are not required to change the brakes from right to 
left side on steel or steel-underframe cars with platform end sills, in 
service July 1, 1911, except when such appliances are renewed, at which 
time they must be made to comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(4)).
    (b) Running boards--(1) Number. One continuous running board around 
sides

[[Page 342]]

and ends; or two running full length of tank, one on each side.
    (2) Dimensions. Minimum width on sides, 10 inches. Minimum width on 
ends, 6 inches.
    (3) Location. Continuous around sides and ends of cars. On tank cars 
having end platforms extending to bolsters, running boards shall extend 
from center to center of bolsters, one on each side.
    (4) Manner of application. (i) If side running boards are applied 
below center of tank, outside edge of running boards shall extend not 
less than 7 inches beyond bulge of tank.
    (ii) The running boards at ends of car shall be not less than 6 
inches from a point vertically above the inside face of knuckle when 
closed with coupler horn against the buffer block, end sill or back 
stop.
    (iii) Running boards shall be securely fastened to tank or tank 
bands.
    (c) Sill steps--(1) Number. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(d)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(d)(2)).
    (3) Location. (i) One near each end on each side under side 
handhold.
    (ii) Outside edge of tread of step shall be not more than 4 inches 
inside of face of side of car, preferably flush with side of car.
    (iii) Tread shall be not more than 24, preferably not more than 22, 
inches above the top of rail.
    (iv) Carriers are not required to change the location of sill steps 
on cars in service July 1, 1911, where the appliances are within 3 
inches of the required location, except that when cars undergo regular 
repairs they must then be made to comply with the standards prescribed 
in said order.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(d)(4)).
    (d) Ladders. (If running boards are so located as to make ladders 
necessary.)
    (1) Number. Two on cars with continuous running boards. Four on cars 
with side running boards.
    (2) Dimensions. (i) Minimum clear length of tread, 10 inches. 
Maximum spacing of treads, 19 inches. Hardwood treads, minimum 
dimensions, 1\1/2\ by 2 inches.
    (ii) Wrought iron or steel treads, minimum diameter five-eighths of 
an inch. Minimum clearance, 2, preferably 2\1/2\, inches.
    (3) Location. On cars with continuous running boards, one at right 
end of each side. On cars with side running boards, one at each end of 
each running board.
    (4) Manner of application. Ladders shall be securely fastened with 
not less than \1/2\-inch bolts or rivets.
    (e) Side handholds--(1) Number. Four or more.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(h)(2)).
    (3) Location. (i) Horizontal, one on face of each side sill near 
each end on tank cars with short side sills, or one attached to top of 
running board projecting outward above sill steps or ladders on tank 
cars without side sills. Clearance of outer end of handhold shall be not 
more than 12 inches from end of car.
    (ii) If side safety railings are attached to tank or tank bands four 
additional vertical handholds shall be applied, one as nearly as 
possible over each sill step and securely fastened to tank or tank 
bands.
    (iii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(h)(4)).
    (f) End handholds--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(i)(2)).
    (3) Location. (i) Horizontal, one near each side of each end of car 
on face of end sill. Clearance of outer end of handhold shall be not 
more than 16 inches from side of car.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the

[[Page 343]]

appliances are within 3 inches of the required location, except that 
when cars undergo regular repairs they must then be made to comply with 
the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(i)(4)).
    (g) Tank-head handholds--(1) Number. Two. (Not required if safety 
railing runs around ends of tank.)
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clearance, 2, preferably 2\1/2\, inches.
    (3) Location. (i) Horizontal, one across each head of tank not less 
than 30 nor more than 60 inches above platform on running board. Clear 
length of handholds shall extend to within 6 inches of outer diameter of 
tank at point of application.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 7, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Tankhead handholds shall be securely 
fastened.
    (h) Safety railings--(1) Number. One running around sides and ends 
of tank or two running full length of tank.
    (2) Dimensions. Minimum diameter, seven-eighths of an inch, wrought 
iron or steel. Minimum clearance, 2\1/2\ inches.
    (3) Location. Running full length of tank, not less than 30 nor more 
than 60 inches above platform or running board.
    (4) Manner of application. Safety railings shall be securely 
fastened to tank or tank bands and secured against end shifting.
    (i) Uncoupling levers. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(k)).
    (j) End-ladder clearance. (1) No part of car above end sills within 
30 inches from side of car, except buffer block, brake shaft, brake-
shaft brackets, brake wheel, running boards or uncoupling lever shall 
extend to within 12 inches of a vertical plane parallel with end of car 
and passing through the inside face of knuckle when closed with coupler 
horn against the buffer block or end sill, and no other part of end of 
car or fixtures on same, above end sills, other than exceptions herein 
noted, shall extend beyond the outer face of buffer block.
    (2) Carriers are not required to make changes to secure additional 
end-ladder clearance on cars in service July 1, 1911, that have 10 or 
more inches end-ladder clearance, within 30 inches of side of car, until 
car is shopped for work amounting to practically rebuilding body of car, 
at which time they must be made to comply with the standards prescribed.



Sec. 231.9  Tank cars without end sills.

    (a) Hand brakes--(1) Number. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(a)(2)).
    (3) Location. Each hand brake shall be so located that it can be 
safely operated while car is in motion. The brake shaft shall be located 
on end of car to the left of center.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(4)).
    (b) Brake step. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(b)).
    (c) Running boards--(1) Number. One.
    (2) Dimensions. Minimum width on sides, 10 inches. Minimum width on 
ends, 6 inches.
    (3) Location. Continuous around sides and ends of tank.
    (4) Manner of application. (i) If running boards are applied below 
center of tank, outside edge of running boards shall extend not less 
than 7 inches beyond bulge of tank.
    (ii) Running boards at ends of car shall be not less than 6 inches 
from a point vertically above the inside face of knuckle when closed 
with coupler horn against the buffer block, end sill or back stop.
    (iii) Running boards shall be securely fastened to tank or tank 
bands.
    (d) Sill steps--(1) Number. Four. (If tank has high running boards, 
making ladders necessary, sill steps must meet ladder requirements.)

[[Page 344]]

    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(d)(2)).
    (3) Location. (i) One near each end on each side, flush with outside 
edge of running board as near end of car as practicable.
    (ii) Tread not more than 24, preferably not more than 22, inches 
above the top of rail.
    (iii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, where the appliances are within 3 
inches of the required location, except that when cars undergo regular 
repairs they must then be made to comply with the standards prescribed.
    (4) Manner of application. (i) Steps exceeding 18 inches in depth 
shall have an additional tread and be laterally braced.
    (ii) Sill steps shall be securely fastened with not less than \1/2\-
inch bolts with nuts outside (when possible) and, riveted over, or with 
\1/2\-inch rivets.
    (e) Side handholds--(1) Number. Four or more.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(h)(2)).
    (3) Location. (i) Horizontal, one near each end on each side of car 
over sill step on running board, not more than 2 inches back from 
outside edge of running board, projecting downward or outward.
    (ii) Where such side handholds are more than 18 inches from end of 
car, an additional handhold must be placed near each end on each side 
not more than 30 inches above center line of coupler.
    (iii) Clearance of outer end of handhold shall be not more than 12 
inches from end of car.
    (iv) If safety railings are on tank, four additional vertical 
handholds shall be applied, one over each sill step on tank.
    (v) Carriers are not required to change the location of handholds on 
cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(h)(4)).
    (f) End handholds--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(i)(2)).
    (3) Location. (i) Horizontal, one near each side on each end of car 
on running board, not more than 2 inches back from edge of running board 
projecting downward or outward, or on end of tank not more than 30 
inches above center line of coupler.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(i)(4)).
    (g) Safety railings--(1) Number. One.
    (2) Dimensions. Minimum diameter, seven-eighths of an inch, wrought 
iron or steel. Minimum clearance, 2\1/2\ inches.
    (3) Location. Safety railings shall be continuous around sides and 
ends of car, not less than 30 nor more than 60 inches above running 
board.
    (4) Manner of application. Safety railings shall be securely 
fastened to tank or tank bands, and secured against end shifting.
    (h) Uncoupling levers--(1) Number. Same as specified for ``Box and 
other house cars'' (see Sec. 231.1(k)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(k)(2)), except that minimum length of uncoupling lever 
shall be 42 inches, measured from center line of end of car to handle of 
lever.
    (3) Location. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(k)(3)), except that uncoupling lever shall be not more 
than 30 inches above center line of coupler.
    (i) End-ladder clearance. (1) No part of car above buffer block 
within 30 inches from side of car, except brake shaft, brake-shaft 
brackets, brake wheel or uncoupling lever shall extend to within 12 
inches of a vertical plane parallel

[[Page 345]]

with end of car and passing through the inside face of knuckle when 
closed with coupler horn against the buffer block or back stop, and no 
other part of end of car or fixtures on same, above buffer block, other 
than exceptions herein noted, shall extend beyond the face of buffer 
block.
    (2) Carriers are not required to make changes to secure additional 
end-ladder clearance on cars in service July 1, 1911, that have 10 or 
more inches end-ladder clearance, within 30 inches of side of car, until 
car is shopped for work amounting to practically rebuilding body of car, 
at which time they must be made to comply with the standards prescribed.



Sec. 231.10  Caboose cars with platforms.

    Note: a. The term ``bottom of car'' as used in Sec. 231.10 is 
construed to mean ``bottom of side-sill or sheathing over side-sill.''
    b. The term ``corner of car'' as used in Sec. 231.10 is construed to 
mean the ``line at inner edge of platform formed by the intersection of 
the side and end of car.''

    (a) Hand brakes--(1) Number. (i) Each caboose car shall be equipped 
with an efficient hand brake which shall operate in harmony with the 
power brake thereon.
    (ii) The hand brake may be of any efficient design, but must provide 
the same degree of safety as the design shown on plate A.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(a)(2)).
    (3) Location. (i) Each hand brake shall be so located that it can be 
safely operated while car is in motion.
    (ii) The brake shaft on caboose cars with platforms shall be located 
on platform to the left of center.
    (iii) Carriers are not required to change the brakes from right to 
left side on steel or steel-underframe cars with platform end sills, in 
service July 1, 1911, except when such appliances are renewed, at which 
time they must be made to comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(4)).
    (b) Running boards--(1) Number. One longitudinal running board.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(c)(2)).
    (3) Location. (i) Full length of car, center of roof. (On caboose 
cars with cupolas, longitudinal running boards shall extend from cupola 
to ends of roof.)
    (ii) Outside - metal - roof - cars shall have latitudinal extensions 
leading to ladder locations.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(c)(4)). See note below.
    (c) Ladders--(1) Number. Two.
    (2) Dimensions. None specified.
    (3) Location. One on each end.
    (4) Manner of application. Same as (see Sec. 231.1(e)(4)). See note 
below.
    (d) Roof handholds--(1) Number. One over each ladder. Where stiles 
of ladders extend 12 inches or more above roof, no other roof handholds 
are required.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(g)(2)).
    (3) Location. (i) On roof of caboose in line with and running 
parallel to treads of ladder, not less than 8 nor more than 15 inches 
from edge of roof.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(g)(4)). See note below.
    (e) Cupola handholds--(1) Number. One or more.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clearance, 2, preferably 2\1/2\ inches.
    (3) Location. (i) One continuous handhold extending around top of 
cupola not more than 3 inches from edge of cupola roof.
    (ii) Four right-angle handholds, one at each corner, not less than 
16 inches in clear length from point of angle, may take the place of the 
one continuous handhold specified, if locations coincide.

[[Page 346]]

    (iii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Cupola handholds shall be securely 
fastened with not less than \1/2\-inch bolts with nuts outside and 
riveted over or with not less than \1/2\-inch rivets. See note below.
    (f) Side handholds--(1) Number. Four.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clear length, 36 inches. Minimum clearance, 2, 
preferably 2\1/2\, inches.
    (3) Location. (i) One near each end on each side of car, curving 
downward toward center of car from a point not less than 30 inches above 
platform to a point not more than 8 inches from bottom of car. Top end 
of handhold shall be not more than 8 inches from outside face of end 
sheathing.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(h)(4)).
    (g) End handholds--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(i)(2)).
    (3) Location. (i) Horizontal, one near each side on each end of car 
on face of platform end sill. Clearance of outer end of handhold shall 
be not more than 16 inches from end of platform end sill.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(i)(4)).
    (h) End-platform handholds--(1) Number. Four.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clearance, 2, preferably 2\1/2\ inches.
    (3) Location. (i) One right-angle handhold on each side of each end 
extending horizontally from door post to corner of car at approximate 
height of platform rail, then downward to within 12 inches of bottom of 
car.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Handholds shall be securely fastened with 
bolts, screws, or rivets.
    (i) Caboose-platform steps. Safe and suitable box steps leading to 
caboose platforms shall be provided at each corner of caboose. Lower 
tread of step shall be not more than 24 inches above top of rail.
    (j) Uncoupling levers. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(k)).

    Note: Running boards may be omitted from Caboose Cars with platforms 
built after June 1, 1970, when each of the following conditions have 
been met:
    (1) That ladders, roof handholds (including ladder extensions) and 
cupola handholds as specified in paragraphs (c), (d), and (e) of this 
Sec. 231.10 are also omitted.
    (2) That an appropriate notice be posted in protective manner or 
stenciled on interior of caboose stating ``operating employees are 
prohibited under all conditions from occupying the roof of this 
caboose.''
    (3) That a safe means must be provided to assure the safety of an 
operating employee when required to clean or maintain windows of a 
caboose without running boards.
    (4) That the following additional safety appliances as specified be 
securely installed at the outer edge of each platform:
    (a) Safety railing
    (i) Number:
Horizontal--Four (4), two (2) upper and two (2) lower.
Vertical--Four (4).
    (ii) Dimensions:

[[Page 347]]

Minimum diameter--One (1) inch wrought iron, steel, or other material of 
equivalent strength.
Minimum clearance--Four (4), preferably six (6) inches except at brace 
and fastening locations.

    (iii) Location:
Vertical--One (1) at each corner of car extending from platform end sill 
to level of lower horizontal safety railing or to suitable bracket at 
roof.
Horizontal--Upper: Across each end of car near outer edge securely 
braced with vertical supports not less than 48 nor more than 54 inches 
above top of platform extending not less than full width of platform 
excluding hand brake stanchion area.
Horizontal--Lower: Across each end of car near outer edge securely 
braced with vertical supports not less than 36 nor more than 42 inches 
above top of platform excluding hand brake stanchion area. An opening 
may be provided near center. Such opening shall be provided with a 
secure safety chain(s) not less than \1/4\-inch diameter wrought iron, 
or steel, or other secure suitable closure.
    (iv) Manner of application:
Safety railing shall be securely fastened with \1/2\-inch bolts or 
rivets when possible and securely supported. A weld at connection of 
vertical and horizontal safety railing and vertical supports is 
permissible when those appliances are fabricated as a single unit.
    (b) Kick plates
    (i) Number: Four (4).
    (ii) Dimensions:
Minimum thickness 10-gauge wrought iron, steel or other material of 
equivalent strength.
Width--Minimum 24 inches.
Height--Minimum 24 inches.

    (iii) Location: One near each side on each and. Outer edge not more 
than 12 inches from adjacent vertical safety railing with bottom edge 
near top of platform. Hand brake stand may serve as part of kick plate.
    (iv) Manner of application: Securely fastened by \1/2\-inch bolts or 
rivets, or weld.
    (v) Vertical hand rail supports spaced not more than eighteen (18) 
inches apart may be used in lieu of kick plates.
    (5) That stove pipe shall be secured to prevent turning.
    (6) That windows shall be laminated safety-type glass or equivalent.
    Existing caboose cars with platforms. Running boards may be removed 
from Caboose Cars with Platforms built or under construction on or 
before June 1, 1970, when each of the following conditions have been 
met:
    (1) That ladder treads above safety railing, roof handholds 
including ladder extensions, and cupola handholds specified in 
paragraphs (c), (d), and (e) of this Sec. 231.10 are removed.
    (2) That an appropriate notice be posted in protective manner or 
stenciled in interior of caboose stating ``operating employees are 
prohibited under all conditions from occupying the roof of this 
caboose.''
    (3) That a safe means must be provided to assure the safety of an 
operating employee when required to clean or maintain windows of a 
caboose without running boards.
    (4) That end platform safety railing and handhold arrangement will 
be deemed to meet requirements except as to upper safety railing and 
kick plates, when those appliances are not provided. When vertical 
supports are not more than twenty-four (24) inches apart, such supports 
may be used in lieu of kick plates.
    (5) That the following additional safety appliances (when not so 
provided) shall be securely installed at outer edge of each platform:
    (a) Safety railing.
    (i) Number:
Horizontal upper--Two (2).
    (ii) Dimensions:
Minimum diameter--One (1) inch wrought iron, steel, or other material of 
equivalent strength.
Minimum clearance--Four (4), preferably six (6) inches except at brace 
and fastening locations.
    (iii) Location:
Horizontal--Upper: Across each end of car near outer edge securely 
braced with vertical supports not less than 48 nor more than 54 inches 
above top of platform extending not less than full width of platform 
excluding hand brake stanchion area. Ladder tread not more than two (2) 
inches below level of upper safety railing may serve as a portion of 
said safety railing.

    (b) Kick plates or vertical supports--Same as provided for caboose 
cars with platforms built after June 1, 1970, this note. See above.
    (6) That stove pipe should be secured to prevent turning.
    (7) Cupola or bay windows shall be laminated safety-type glass or 
equivalent and all other caboose windows shall be so provided on or 
before June 1, 1975.

[33 FR 19663, Dec. 25, 1968, as amended at 35 FR 10149, June 20, 1970]



Sec. 231.11  Caboose cars without platforms.

    (a) Hand brakes--(1) Number. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(a)(2)).
    (3) Location. (i) Each hand brake shall be so located that it can be 
safely operated while car is in motion.

[[Page 348]]

    (ii) The brake shaft on caboose cars without platforms shall be 
located on end of car to the left of center.
    (iii) Carriers are not required to change the brakes from right to 
left side on steel or steel-underframe cars with platform end sills, in 
service July 1, 1911, except when such appliances are renewed, at which 
time they must be made to comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(4)).
    (b) Brake step. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(b)).
    (c) Running boards--(1) Number. Same as specified for ``Box and 
other house cars'' (see Sec. 231.1(c)(1)).
    (2) Dimension. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(c)(2)).
    (3) Location. (i) Full length of car, center of roof. (On caboose 
cars with cupolas, longitudinal running boards shall extend from cupola 
to ends of roof.)
    (ii) Outside-metal-roof cars shall have latitudinal extensions 
leading to ladder locations.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(c)(4)).
    (d) Sill steps. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(d)).
    (e) Side-door steps--(1) Number. Two. (If caboose has side doors.)
    (2) Dimensions. Minimum length, 5 feet. Minimum width, 6 inches. 
Minimum thickness of tread, 1\1/2\ inches. Minimum height of back stop, 
3 inches. Maximum height from top of rail to top of tread, 24 inches.
    (3) Location. One under each side door.
    (4) Manner of application. Side-door steps shall be supported by 2 
iron brackets having a minimum cross-sectional area \7/8\ by 3 inches or 
equivalent, each of which shall be securely fastened to car by not less 
than two \3/4\-inch bolts.
    (f) Ladders--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(e)(2)).
    (3) Location. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(e)(3), except when caboose has side doors, then side 
ladders shall be located not more than 8 inches from doors.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(e)(4)).
    (g) End-ladder clearance. (1) No part of car above end sills within 
30 inches from side of car, except buffer block, brake shaft, brake 
wheel, brake step, running board, or uncoupling lever shall extend to 
within 12 inches of a vertical plane, parallel with end of car and 
passing through the inside face of knuckle when closed with coupler horn 
against the buffer block or end sill, and no other part of end of car or 
fixtures on same above end sills, other than exceptions noted in this 
subparagraph, shall extend beyond the outer face of buffer block.
    (2) Carriers are not required to make changes to secure additional 
end-ladder clearance on cars in service July 1, 1911, that have 10 or 
more inches end-ladder clearance, within 30 inches of side of car, until 
car is shopped for work amounting to practically rebuilding body of car, 
at which time they must be made to comply with the standards prescribed.
    (h) Roof handholds--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(g)(2)).
    (3) Location. (i) One over each ladder, on roof in line with and 
running parallel to treads of ladder, not less than 8 nor more than 15 
inches from edge of roof.
    (ii) Where stiles of ladders extend 12 inches or more above roof, no 
other roof handholds are required.
    (iii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Roof handholds shall be securely fastened 
with not less than \1/2\-inch bolts with

[[Page 349]]

nuts outside (when possible) and riveted over, or with not less than \1/
2\-inch rivets.
    (i) Cupola handholds--(1) Number. One or more.
    (2) Dimensions. Minimum diameter, five-eights of an inch, wrought 
iron or steel. Minimum clearance, 2, preferably 2\1/2\ inches.
    (3) Location. (i) One continuous cupola handhold extending around 
top of cupola, not more than 3 inches from edge of cupola roof.
    (ii) Four right-angle handholds, one at each corner, not less than 
16 inches in clear length from point of angle, may take the place of the 
one continuous handhold specified, if locations coincide.
    (iii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Cupola handholds shall be securely 
fastened with not less than \1/2\-inch bolts with nuts outside and 
riveted over or with not less than \1/2\-inch rivets.
    (j) Side handholds--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(h)(2)).
    (3) Location. (i) Horizontal, one near each end on each side of car, 
not less than 24 nor more than 30 inches above center line of coupler. 
Clearance of outer end of handhold shall be not more than 8 inches from 
end of car.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.(h)(4)).
    (k) Side-door handholds--(1) Number. Four: Two curved, two straight.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clearance, 2, preferably 2\1/2\ inches.
    (3) Location. (i) One curved handhold, from a point at side of each 
door opposite ladder, not less than 36 inches above bottom of car, 
curving away from door downward to a point not more than 6 inches above 
bottom of car.
    (ii) One vertical handhold at ladder side of each door from a point 
not less than 36 inches above bottom of car to a point not more than 6 
inches above level of bottom of door.
    (iii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed.
    (4) Manner of application. Side-door handholds shall be securely 
fastened with not less than \1/2\-inch bolts with nuts outside (when 
possible) and riveted over or with not less than \1/2\-inch rivets.
    (l) Horizontal end handholds--(1) Number. Same as specified for 
``Box and other house cars.'' (See Sec. 231.1(i)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars.'' 
(see Sec. 231.1(i)(2)).
    (3) Location. (i) Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(i)(3)), except that one additional end handhold shall be 
on each end of cars with platform end sills as heretofore described, 
unless car has door in center of end. Said handhold shall be not less 
than 24 inches in length, located near center of car, not less than 30 
nor more than 60 inches above platform end sill.
    (ii) Carriers are not required to change the location of handholds 
on cars in service July 1, 1911, except end handholds under end sills, 
where the appliances are within 3 inches of the required location, 
except that when cars undergo regular repairs they must then be made to 
comply with the standards prescribed in said order.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(i)(4)).

[[Page 350]]

    (m) Vertical end handholds. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(j)).
    (n) Uncoupling levers. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(k)).



Sec. 231.12  Passenger-train cars with wide vestibules.

    (a) Hand brakes--(1) Number. Each passenger-train car shall be 
equipped with an efficient hand brake, which shall operate in harmony 
with the power brake thereon.
    (2) Location. Each hand brake shall be so located that it can be 
safely operated while car is in motion.
    (b) Side handholds--(1) Number. Eight.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, metal. 
Minimum clear length, 16 inches. Minimum clearance, 1\1/4\, preferably 
1\1/2\ inches.
    (3) Location. Vertical, one on each vestibule door post.
    (4) Manner of application. Side handholds shall be securely fastened 
with bolts, rivets, or screws.
    (c) End handholds--(1) Number. Four.
    (2) Dimensions. (i) Minimum diameters, five-eighths of an inch, 
wrought iron or steel. Minimum clear length, 16 inches. Minimum 
clearance, 2, preferably 2\1/2\ inches.
    (ii) Handholds shall be flush with or project not more than 1 inch 
beyond vestibule face.
    (3) Location. Horizontal, one near each side on each end projecting 
downward from face of vestibule end sill. Clearance of outer end of 
handhold shall be not more than 16 inches from side of car.
    (4) Manner of application. End handholds shall be securely fastened 
with bolts or rivets. When marker sockets or brackets are located so 
that they can not be conveniently reached from platforms, suitable steps 
and handholds shall be provided for men to reach such sockets or 
brackets.
    (d) Uncoupling levers. (1) Uncoupling attachments shall be applied 
so they can be operated by a person standing on the ground.
    (2) Minimum length of ground uncoupling attachment, 42 inches, 
measured from center line of end of car to handle of attachment.
    (3) On passenger-train cars used in freight or mixed-train service, 
the uncoupling attachment shall be so applied that the coupler can be 
operated from left side of car.



Sec. 231.13  Passenger-train cars with open-end platforms.

    (a) Hand brakes--(1) Number. Each passenger-train car shall be 
equipped with an efficient hand brake, which shall operate in harmony 
with the power brake thereon.
    (2) Location. Each hand brake shall be so located that it can be 
safely operated while car is in motion.
    (b) End handholds--(1) Number. Four.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clear length, 16 inches. Minimum clearance, 2, 
preferably 2\1/2\ inches. Handholds shall be flush with or project not 
more than 1 inch beyond surface of end sill.
    (3) Location. Horizontal, one near each side of each end on face of 
platform end sill, projecting downward. Clearance of outer end of 
handhold shall be not more than 16 inches from end of end sill.
    (4) Manner of application. End-handholds shall be securely fastened 
with bolts or rivets.
    (c) End-platform handholds--(1) Number. Four. (Cars equipped with 
safety gates do not require end-platform handholds.)
    (2) Dimensions. Minimum clearance, 2, preferably 2\1/2\ inches, 
metal.
    (3) Location. Horizontal from or near door post to a point not more 
than 12 inches from corner of car, then approximately vertical to a 
point not more than 6 inches from top of platform. Horizontal portion 
shall be not less than 24 inches in length nor more than 40 inches above 
platform.
    (4) Manner of application. End-platform handholds shall be securely 
fastened with bolts, rivets, or screws.
    (d) Uncoupling levers. (1) Uncoupling attachments shall be applied 
so they can be operated by a person standing on the ground.
    (2) Minimum length of ground uncoupling attachment, 42 inches, 
measured from center of end of car to handle of attachment.

[[Page 351]]

    (3) On passenger-train cars used in freight or mixed-train service 
the uncoupling attachments shall be so applied that the coupler can be 
operated from left side of car.



Sec. 231.14  Passenger-train cars without end platforms.

    (a) Handbrakes--(1) Number. Each passenger-train car shall be 
equipped with an efficient hand brake which shall operate in harmony 
with the power brake thereon.
    (2) Location. Each hand brake shall be so located that it can be 
safely operated while car is in motion.
    (b) Sill steps--(1) Number. Four.
    (2) Dimensions. Minimum length of tread, 10, preferably 12, inches. 
Minimum cross-sectional area, \1/2\ by 1\1/2\ inches or equivalent, 
wrought iron or steel. Minimum clear depth, 8 inches.
    (3) Location. (i) One near each end on each side not more than 24 
inches from corner of car to center of tread of sill step.
    (ii) Outside edge of tread of step shall be not more than 2 inches 
inside of face of side of car.
    (iii) Tread shall be not more than 24, preferably not more than 22, 
inches above the top of rail.
    (4) Manner of application. (i) Steps exceeding 18 inches in depth 
shall have an additional tread and be laterally braced.
    (ii) Sill steps shall be securely fastened with not less than \1/2\-
inch bolts with nuts outside (when possible) and riveted over, or with 
not less than \1/2\-inch rivets.
    (c) Side handholds--(1) Number. Four.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clear length, 16, preferably 24, inches. Minimum 
clearance, 2, preferably 2\1/2\, inches.
    (3) Location. Horizontal or vertical, one near each end on each side 
of car over sill step.
    (i) If horizontal, not less than 24 nor more than 30 inches above 
center line of coupler.
    (ii) If vertical, lower end not less than 18 nor more than 24 inches 
above center line of coupler.
    (4) Manner of application. Side handholds shall be securely fastened 
with bolts, rivets or screws.
    (d) End handholds--(1) Number. Four.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clear length, 16 inches. Minimum clearance, 2, 
preferably 2\1/2\, inches.
    (3) Location. Horizontal, one near each side on each end projecting 
downward from face of end sill or sheathing. Clearance of outer end of 
handholds shall be not more than 16 inches from side of car.
    (4) Manner of application. (i) Handholds shall be flush with or 
project not more than 1 inch beyond face of end sill.
    (ii) End handholds shall be securely fastened with bolts or rivets.
    (iii) When marker sockets or brackets are located so that they can 
not be conveniently reached from platforms, suitable steps and handholds 
shall be provided for men to reach such sockets or brackets.
    (e) End handrails. (On cars with projecting end sills.)
    (1) Number. Four.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clearance, 2, preferably 2\1/2\, inches.
    (3) Location. One on each side of each end, extending horizontally 
from doorpost or vestibule frame to a point not more than 6 inches from 
corner of car, then approximately vertical to a point not more than 6 
inches from top of platform end sill; horizontal portion shall be not 
less than 30 nor more than 60 inches above platform end sill.
    (4) Manner of application. End handrails shall be securely fastened 
with bolts, rivets or screws.
    (f) Side-door steps--(1) Number. One under each door.
    (2) Dimensions. Minimum length of tread, 10, preferably 12, inches. 
Minimum cross-sectional area, \1/2\ by 1\1/2\ inches or equivalent, 
wrought iron or steel. Minimum clear depth, 8 inches.
    (3) Location. Outside edge of tread of step not more than 2 inches 
inside of face of side of car. Tread not more than 24, preferably not 
more than 22, inches above the top of rail.
    (4) Manner of application. (i) Steps exceeding 18 inches in depth 
shall have an additional tread and be laterally braced.

[[Page 352]]

    (ii) Side-door steps shall be securely fastened with not less than 
\1/2\-inch bolts with nuts outside (when possible) and riveted over, or 
with not less than \1/2\-inch rivets.
    (iii) A vertical handhold not less than 24 inches in clear length 
shall be applied above each side-door step on door post.
    (g) Uncoupling levers. (1) Uncoupling attachments shall be applied 
so they can be operated by a person standing on the ground.
    (2) Minimum length of ground uncoupling attachment, 42 inches, 
measured from center line of end of car to handle of attachment.
    (3) On passenger-train cars used in freight or mixed-train service, 
the uncoupling attachment shall be so applied that the coupler can be 
operated from the left side of car.



Sec. 231.15  Steam locomotives used in road service.

    (a) Tender till-steps--(1) Number. Four on tender.
    (2) Dimensions. (i) Bottom tread not less than 8 by 12 inches, 
metal. (May have wooden treads.)
    (ii) If stirrup steps are used, clear length of tread shall be not 
less than 10, preferably 12, inches.
    (3) Location. One near each corner of tender on sides.
    (4) Manner of application. Tender sill-steps shall be securely 
fastened with bolts or rivets.
    (b) Pilot sill-steps--(1) Number. Two.
    (2) Dimensions. Tread not less than 8 inches in width by 10 inches 
in length, metal. (May have wooden treads.)
    (3) Location. One on or near each end of buffer-beam outside of rail 
and not more than 16 inches above rail.
    (4) Manner of application. Pilot sill-steps shall be securely 
fastened with bolts or rivets.
    (c) Pilot-beam handholds--(1) Number. Two.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clear length, 14, preferably 16, inches. Minimum 
clearance, 2\1/2\ inches.
    (3) Location. One on each end of buffer-beam. If uncoupling lever 
extends across front end of locomotive to within 8 inches of end of 
buffer-beam, and is seven-eighths of an inch or more in diameter, 
securely fastened, with a clearance of 2\1/2\ inches, it is a handhold.)
    (4) Manner of application. Pilot-beam handholds shall be securely 
fastened with bolts or rivets.
    (d) Side handholds--(1) Number. Six.
    (2) Dimensions. Minimum diameter, if horizontal, five-eighths of an 
inch; if vertical, seven-eighths of an inch, wrought iron or steel. 
Horizontal, minimum clear length, 16 inches. Vertical, clear length 
equal to approximate height of tank. Minimum clearance, 2, preferably 
2\1/2\, inches.
    (3) Location. (i) Horizontal or vertical. If vertical, one on each 
side of tender within 6 inches of rear or on corner; if horizontal, same 
as specified for ``Box and other house cars'' (see Sec. 231.1(h)(3)).
    (ii) One on each side of tender near gangway; 1 on each side of 
locomotive at gangway; applied vertically.
    (4) Manner of application. Side handholds shall be securely fastened 
with not less than \1/2\-inch bolts or rivets.
    (e) Rear-end handholds--(1) Number. Two.
    (2) Dimensions. Minimum diameter, five-eighths of an inch, wrought 
iron or steel. Minimum clear length, 14 inches. Minimum clearance, 2, 
preferably 2\1/2\, inches.
    (3) Location. Horizontal, one near each side of rear end of tender 
on face of end sill. Clearance of outer end of handhold shall be not 
more than 16 inches from side of tender.
    (4) Manner of application. Rear-end handholds shall be securely 
fastened with not less than \1/2\-inch bolts or rivets.
    (f) Uncoupling levers--(1) Number. Two double levers, operative from 
either side.
    (2) Dimensions. Rear-end levers shall extend across end of tender 
with handles not more than 12, preferably 9, inches from side of tender 
with a guard bent on handle to give not less than 2 inches clearance 
around handle.
    (3) Location. One on rear end of tender and one on front end of 
locomotive. Handles of front-end leavers shall be not more than 12, 
preferably 9, inches from ends of buffer-beam, and shall be

[[Page 353]]

so constructed as to give a minimum clearance of 2 inches around handle.
    (4) Manner of application. Uncoupling levers shall be securely 
fastened with bolts or rivets.
    (g) Couplers. Locomotives shall be equipped with automatic couplers 
at rear of tender and front of locomotive.



Sec. 231.16  Steam locomotives used in switching service.

    (a) Footboards--(1) Number. Two or more.
    (2) Dimensions. (i) Minimum width of tread, 10 inches.
    (ii) Minimum height of back stop, 4 inches above tread.
    (iii) Height from top of rail to top of tread, not more than 12 nor 
less than 9 inches.
    (iv) If made of wood, minimum thickness of tread shall be 1\1/2\, 
preferably 2 inches.
    (v) Footboards may be made of material other than wood which 
provides the same as or a greater degree of safety than wood of 1\1/2\ 
inches thickness. When made of material other than wood, the tread 
surface shall be of antiskid design and constructed with sufficient open 
space to permit the elimination of snow and ice from the tread surface.
    (3) Location. Ends or sides. If on ends, they shall extend not less 
than 18 inches outside of guage of straight track, and shall be not more 
than 12 inches shorter than buffer-beam at each end.
    (4) Manner of application. (i) End footboards may be constructed in 
two sections, provided that practically all space on each side of 
coupler is filled; each section shall be not less than 3 feet in length.
    (ii) Footboards shall be securely bolted to two 1- by 4-inch metal 
brackets, provided footboard is not cut or notched at any point.
    (iii) If footboard is cut or notched or in two sections, not less 
than four 1- by 3-inch metal brackets shall be used, two located on each 
side of coupler. Each bracket shall be securely bolted to buffer-beam, 
end sill or tank frame by not less than two \7/8\-inch bolts.
    (iv) If side footboards are used, a substantial handhold or rail 
shall be applied not less than 30 inches nor more than 60 inches above 
tread or footboard.
    (b) Sill steps--(1) Number. Two or more.
    (2) Dimensions. (i) Lower tread of step shall be not less than 8 by 
12 inches, metal. (May have wooden treads.)
    (ii) If stirrup steps are used, clear length of tread shall be not 
less than 10, preferably 12, inches.
    (3) Location. One or more on each side at gangway secured to 
locomotive or tender.
    (4) Manner of application. Sill steps shall be securely fastened 
with bolts or rivets.
    (c) End handholds--(1) Number. Two.
    (2) Dimensions. Minimum diameter, 1 inch, wrought iron or steel. 
Minimum clearance, 4 inches, except at coupler casting or braces when 
minimum clearance shall be 2 inches.
    (3) Location. One on pilot, buffer-beam; one on rear end of tender, 
extending across front end of locomotive and rear end of tender. Ends of 
handholds shall be not more than 6 inches from ends of buffer-beam or 
end sill, securely fastened at ends.
    (4) Manner of application. End handholds shall be securely fastened 
with bolts or rivets.
    (d) Side handholds--(1) Number. Four.
    (2) Dimensions. Minimum diameter, seven-eighths of an inch, wrought 
iron or steel. Clear length equal to approximate height of tank. Minimum 
clearance, 2, preferably 2\1/2\ inches.
    (3) Location. Vertical. One on each side of tender near front 
corner; one on each side of locomotive at gangway.
    (4) Manner of application. Side handholds shall be securely fastened 
with bolts or rivets.
    (e) Uncoupling levers--(1) Number. Two double levers, operative from 
either side.
    (2) Dimensions. (i) Handles of front-end levers shall be not more 
than 12, preferably 9, inches from ends of buffer-beam, and shall be so 
constructed as to give a minimum clearance of 2 inches around handle.
    (ii) Rear-end levers shall extend across end of tender with handles 
not more than 12, preferably 9, inches from side of tender, with a guard 
bent on handle to give not less than 2 inches clearance around handle.

[[Page 354]]

    (3) Location. One on rear end of tender and one on front end of 
locomotive.
    (f) Handrails and steps for headlights. Switching locomotives with 
sloping tenders with manhole or headlight located on sloping portion of 
tender shall be equipped with secure steps and handrail or with platform 
and handrail leading to such manhole or headlight.
    (g) End-ladder clearance. No part of locomotive or tender except 
draft rigging, coupler and attachments, safety chains, buffer block, 
footboard, brake pipe, signal pipe, steam-heat pipe or arms of 
uncoupling lever shall extend to within 14 inches of a vertical plane 
passing through the inside face of knuckle when closed with horn of 
coupler against buffer block or end sill.
    (h) Couplers. Locomotives shall be equipped with automatic couplers 
at rear of tender and front of locomotive.



Sec. 231.17  Specifications common to all steam locomotives.

    (a) Hand brakes. (1) Hand brakes will not be required on locomotives 
nor on tenders when attached to locomotives.
    (2) If tenders are detached from locomotives and used in special 
service, they shall be equipped with efficient hand brakes.
    (b) Running boards--(1) Number. Two.
    (2) Dimensions. Not less than 10 inches wide. If of wood, not less 
than 1\1/2\ inches in thickness; if of metal, not less than three-
sixteenths of an inch, properly supported.
    (3) Location. One on each side of boiler extending from cab to front 
end near pilot-beam. (Running boards may be in sections. Flat-top 
steamchests may form section of running board.)
    (4) Manner of application. (i) Running boards shall be securely 
fastened with bolts, rivets, or studs.
    (ii) Locomotives having Wootten type boilers with cab located on top 
of boiler more than 12 inches forward from boiler head shall have 
suitable running boards running from cab to rear of locomotive, with 
handrailings not less than 20 nor more than 48 inches above outside edge 
of running boards, securely fastened with bolts, rivets, or studs.
    (c) Handrails--(1) Number. Two or more.
    (2) Dimensions. Not less than 1 inch in diameter, wrought iron or 
steel.
    (3) Location. One on each side of boiler extending from near cab to 
near front end of boiler, and extending across front end of boiler, not 
less than 24 nor more than 66 inches above running board.
    (4) Manner of application. Handrails shall be securely fastened to 
boiler.
    (d) Tenders of Vanderbilt type. (1) Tenders known as the Vanderbilt 
type shall be equipped with running boards; one on each side of tender 
not less than 10 inches in width and one on top of tender not less than 
48 inches in width, extending from coal space to rear of tender.
    (2) There shall be a handrail on each side of top running board, 
extending from coal space to rear of tank, not less than 1 inch in 
diameter and not less than 20 inches in height above running board from 
coal space to manhole.
    (3) There shall be a handrail extending from coal space to within 12 
inches of rear of tank, attached to each side of tank above side running 
board not less than 30 nor more than 66 inches above running board.
    (4) There shall be one vertical end handhold on each side of 
Vanderbilt type of tender, located within 8 inches of rear of tank 
extending from within 8 inches of top of end sill to within 8 inches of 
side handrail. Post supporting rear end of side running board, if not 
more than 2 inches in diameter and properly located, may form section of 
handhold.
    (5) An additional horizontal end handhold shall be applied on rear 
end of all Vanderbilt type of tenders which are not equipped with 
vestibules. Handhold to be located not less than 30 nor more than 66 
inches above top of end sill. Clear length of handhold to be not less 
than 48 inches.
    (6) Ladders shall be applied at forward ends of side running boards.
    (e) Handrails and steps for headlights. (1) Locomotives having 
headlights which can not be safely and conveniently reached from pilot-
beam or steam chests shall be equipped with secure handrails and steps 
suitable for the use of men in getting to and from such headlights.

[[Page 355]]

    (2) A suitable metal end or side ladder shall be applied to all 
tanks more than 48 inches in height, measured from the top of end sill, 
and securely fastened with bolts or rivets.
    (f) Couplers. Locomotives shall be equipped with automatic couplers 
at rear of tender and front of locomotive.



Sec. 231.18  Cars of special construction.

    Cars of construction not covered specifically in the foregoing 
sections in this part, relative to handholds, sill steps, ladders, hand 
brakes and running boards may be considered as of special construction, 
but shall have, as nearly as possible, the same complement of handholds, 
sill steps, ladders, hand brakes, and running boards as are required for 
cars of the nearest approximate type.



Sec. 231.19  Definition of ``Right'' and ``Left.''

    Right or Left refers to side of person when facing end or side of 
car from ground.



Sec. 231.20  Variation in size permitted.

    To provide for the usual inaccuracies of manufacturing and for wear, 
where sizes of metal are specified, a total variation of 5 percent below 
size given is permitted.



Sec. 231.21  Tank cars without underframes.

    (a) Hand brakes--(1) Number. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(1)).
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(a)(2)).
    (3) Location. Each hand brake shall be so located that it can be 
safely operated while car is in motion. The brake shaft shall be located 
on end of car to the left of center.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(a)(4)).
    (b) End platforms--(1) Number. Two.
    (2) Dimensions. Minimum width, ten inches. Minimum thickness, one 
and three-quarters inches.
    (3) Location. One on each end extending across car a distance equal 
to or greater than any other portion of car. Outside edge of end 
platform shall extend not less than seven inches beyond bulge of tank 
head and safety railing.
    (4) Manner of application. End platforms shall be securely fastened 
to the draft sills and be sufficiently rigid to prevent sagging.
    (c) Sill steps. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(d)).
    (d) End platform safety railing--(1) Number. Two.
    (2) Dimensions. Minimum of seven-eighths inch diameter, wrought iron 
or steel, or one and one-quarter inch pipe. Minimum clearance, two and 
one-half inches.
    (3) Location. One safety railing at each end of car shall extend 
horizontally across car not less than thirty-six inches nor more than 
fifty-four inches above end platform and extend downward within three 
inches of the end of the platform. The safety railing shall be located 
not more than six inches from the inside edge of the platform.
    (4) Manner of application. Safety railings shall be supported at 
center of car and at each end by extending downward at the ends and 
attaching to the platform.
    (e) Side railing--(1) Number. Two.
    (2) Dimensions. One and one-quarter inch pipe. Minimum clearance two 
and one-half inches.
    (3) Location. One on each side of car, extending from end platform 
to end platform at a distance of not less than 51 inches from centerline 
of car, except that where break in side railing is necessary for side 
ladder or operating cabinet, the side railing shall be securely attached 
to such ladder and/or cabinet.
    (4) Manner of application. Safety railings shall be securely 
attached to end platforms and supported from the car at intervals not 
exceeding ten feet.
    (f) Side handholds--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(h)(2)).
    (3) Location. Four horizontal; one on face of end platform end, over 
sill step, projecting downward or outward. Clearance of outer end of 
handhold shall be not more than twelve inches from end of car. Vertical 
portion of end platform safety railing shall be considered as a side 
vertical handhold.

[[Page 356]]

    (4) Manner of application. Same as prescribed for ``Box and other 
house cars'' (see Sec. 231.1(h)(4)).
    (g) End handholds--(1) Number. Four.
    (2) Dimensions. Same as specified for ``Box and other house cars'' 
(see Sec. 231.1(i)(2)).
    (3) Location. Horizontal, one near each side of each end of car on 
face of end sill. Clearance of outer end of handhold shall not be more 
than sixteen inches from side of car.
    (4) Manner of application. Same as specified for ``Box and other 
house cars'' (see Sec. 231.1(i)(4)).
    (h) Uncoupling levers. Same as specified for ``Box and other house 
cars'' (see Sec. 231.1(k)).
    (i) End ladder clearance. No part of car above end sills within 
thirty inches from side of car, except buffer block, brake shaft, brake-
shaft brackets, brake wheel, running boards or uncoupling lever shall 
extend to within twelve inches of a vertical plane parallel with end of 
car and passing through the inside face of knuckle when closed with 
coupler horn against the buffer block or end sill, and no other part of 
end of car or fixtures on same, above end sills, other than exceptions 
herein noted, shall extend beyond the outer face of the buffer block.
    (j) Operating platform, ladder and safety railing--(1) Number. One 
operating platform, two ladders and safety railing. Not required if all 
fittings used in the loading or unloading of the tank car are accessible 
from ground or end platform.
    (2) Dimensions. (i) Ladder: Ladder stiles, three-eighths by two 
inches or equivalent, wrought iron or steel. One and one-quarter inch 
extra strong pipe will be considered equivalent.
    (ii) Ladder treads minimum diameter, five-eighths of an inch, 
wrought iron or steel.
    (iii) Minimum clear length of treads, fourteen inches.
    (iv) Maximum spacing of treads, nineteen inches.
    (v) Minimum clearance of treads and ladder stiles, two inches, 
preferably two and one-half inches.
    (vi) Operating platform, minimum width, seven inches; minimum 
thickness, one and three-quarters inches.
    (vii) Safety railing, one and one-quarter inch wrought iron or steel 
pipe.
    (3) Location. (i) Operating platform to be of sufficient length to 
provide access to all operating fittings. Ladder to be located on sides 
of car at center.
    (ii) The safety railing shall enclose the operating platform, manway 
and fittings used in the loading and unloading of the tank. Railing 
shall be open only at the ladders where it shall extend in a vertical 
direction down to, and be securely attached to the platform. Maximum 
width of opening, twenty-four inches.
    (4) Manner of application. (i) The ladders shall be securely 
fastened to the operating platform. The lower portion of ladder shall be 
braced in such a manner as to prevent any movement.
    (ii) The operating platforms shall be supported to prevent sagging 
and be securely attached to the tank.
    (iii) The safety railing shall be securely attached to four 
stanchions or corner posts, which shall be securely attached to the tank 
or operating platform.
    (k) Manner of application of safety appliances on tank cars covered 
with jackets. On tanks covered with jackets, metal pads shall be 
securely attached to the shell proper, to which brackets shall be 
fastened for securing the safety appliances attached to the tanks; or, 
the safety appliances (with the exception of the operating platform 
brackets) may be secured to the jackets reinforced with metal pads at 
the point of attachment, which pads shall extend at least two inches 
from the center line of rivet holes. The operating platform brackets 
shall be secured to the jacket reinforced with suitable bands. When the 
safety appliances are attached to the jacket covering of the tank, the 
jacket shall be tightened so that there will be no danger of its 
slipping around.

[33 FR 19663, Dec. 25, 1968, as amended at 34 FR 11974, July 16, 1969]



Sec. 231.22  Operation of track motor cars.

    On and after August 1, 1963, it shall be unlawful for any railroad 
subject to the requirements of the Safety Appliance Acts to operate or 
permit to be operated on its line track motor cars to pull or haul 
trailers, push trucks,

[[Page 357]]

hand cars, or similar cars or equipment.

    Effective Date Note: At 28 FR 7839, Aug. 1, 1963, the effective date 
of Sec. 231.22 was stayed until further notice.



Sec. 231.23  Unidirectional passenger-train cars adaptable to van-type semi-trailer use.

    (a) Hand brakes--(1) Number. Same as specified for ``Passenger-Train 
Cars Without End-Platforms.''
    (2) Location. Each hand brake shall be so located that it can be 
safely operated while car is in motion. The hand brake operating device 
shall be located on the end of car to the left of center.
    (b) Brake step--(1) Number. One (1).
    (2) Dimensions. Not less than twenty-eight (28) inches in length. 
Outside edge not less than eight (8) inches from face of car, except 
when ``A'' frame is used and extends beyond end of car, a platform of 
anti-skid design covering the extended portion of the ``A'' frame may be 
used as brake step.
    (3) Manner of application. Brake step shall be securely fastened to 
car and when additional support is necessary, metal braces having a 
minimum cross-sectional area three-eighths (\3/8\) by one and one-half 
(1\1/2\) inches or equivalent shall be securely fastened to body of car 
with not less than one-half (\1/2\) inch bolts or rivets.
    (c) Sill steps--(1) Number. Two (2).
    (2) Dimensions. Minimum length of tread, ten (10) preferably twelve 
(12) inches. Minimum cross-sectional area, one-half (\1/2\) by one and 
one-half (1\1/2\) inches, or equivalent, wrought iron, steel or other 
metal of equivalent strength. Minimum clear depth, eight (8) inches.
    (3) Location. One (1) near the rear or trailing end of the car on 
each side, not more than twenty-four (24) inches from corner of car to 
center of tread of sill step.
    (4) Manner of application. Same as specified for ``Passenger-Train 
Cars Without End-Platforms.''
    (d) End-clearance. No part of car above end sills except the brake 
step shall extend to within twenty (20) inches of a vertical plane 
parallel with end of car and passing through the outside edge of any 
part of an adjoining car.
    (e) Side handholds--(1) Number. Four (4).
    (2) Dimensions. Minimum diameter, five-eighths (\5/8\) of an inch, 
wrought iron, steel or metal of equivalent strength. Minimum clear 
length, sixteen (16) preferably twenty-four (24) inches. Minimum 
clearance, two (2) preferably two and one-half (2\1/2\) inches.
    (3) Location. Horizontal, two (2) over each sill step. Lower 
handhold shall be not less than twenty-four (24) nor more than thirty 
(30) inches above center line of coupler. Upper handhold shall be not 
less than fifteen (15) nor more than nineteen (19) inches above lower 
handhold. Clearance of outer end of handhold shall be not more than 
eight (8) inches from end of car.
    (4) Manner of application. Side handholds shall be securely fastened 
with not less than one-half (\1/2\) inch bolts with nuts outside (when 
possible) and riveted over, or with not less than one-half (\1/2\) inch 
rivets.
    (f) Horizontal end-handholds--(1) Number. Seven (7).
    (2) Dimensions. Minimum diameter, five-eighths (\5/8\) of an inch, 
wrought iron, steel or other metal of equivalent strength. Minimum clear 
length, sixteen (16) inches. Minimum clearance, two (2) preferably two 
and one-half (2\1/2\) inches.
    (3) Location. End-sill: One (1) near each side at the rear or 
trailing end of car on face of end-sill or sheathing over end-sill, 
projecting outward or downward. Clearance of outer end of handhold shall 
be not more than sixteen (16) inches from side of car.
    (i) Lower: One near each side of the rear or trailing end of car, 
not less than twenty-four (24) nor more than thirty (30) inches above 
center line of coupler.
    (ii) Upper: One (1) near each side at the rear or trailing end of 
car not less than fifteen (15) nor more than nineteen (19) inches above 
lower handholds. Clearance of outer ends of lower and upper handholds 
shall be not more than eight (8) inches from side of car. Lower and 
upper handholds shall be spaced to coincide with corresponding side 
handholds, a variation of two (2) inches being allowed. On front end of 
car there shall be one (1) additional end handhold

[[Page 358]]

full length of car not less than forty (40) nor more than fifty (50) 
inches above center line of coupler. Clearance of each end of handhold 
shall be not more than eight (8) inches from side of car. When 
construction will not permit the use of a single handhold, four (4) 
handholds, each not less than sixteen (16) inches in length may be used, 
provided dimensions and location coincide.
    (4) Manner of application. End handholds shall be securely fastened 
with not less than one-half (\1/2\) inch bolts with the nuts outside 
(when possible) and riveted over, or with not less than one-half (\1/2\) 
inch rivets. When marker sockets or brackets are located so that they 
cannot be conveniently reached, suitable steps and handholds shall be 
provided for men to reach such sockets or brackets.
    (g) Uncoupling levers. Each car shall be equipped to provide means 
of coupling and uncoupling without the necessity of men going between 
the cars.



Sec. 231.24  Box and other house cars with roofs, 16 feet 10 inches or more above top of rail.1
---------------------------------------------------------------------------

    1 (a) Each car of this type built or rebuilt after (January 1, 
1976) or under construction prior thereto and placed in service after 
(effective date) shall be equipped as specified in Sec. 231.27(a) 
through (h) and (j) or, if it has roof hatches, as specified in 
Sec. 231.28.
    (b) Each car of this type placed in service after November 23, 1964 
and before (effective date) shall be equipped--
    (1) As specified in Sec. 231.24; or
    (2) As specified in Sec. 231.27(a) through (h) and (j); or
    (3) If it has roof hatches, as specified in Sec. 231.28.
    (c) Each car of this type placed in service before October 22, 1964, 
or under construction on October 22, 1964 and placed in service before 
November 23, 1964, shall be equipped--
    (1) As specified in Sec. 231.1; or
    (2) As specified in Secs. 231.1 and 231.27(i); or
    (3) As specified in Sec. 231.27(a) through (h) and (j); or
    (4) If it has roof hatches, as specified in Sec. 231.28.
---------------------------------------------------------------------------

    (a) Hand brakes--(1) Number. Same as specified for ``Box and Other 
House Cars.''
    (2) Dimensions. Same as specified for ``Box and Other House Cars.''
    (3) Location. Each hand brake shall be located so that it can be 
safely operated from the end-platform. Each brake shaft shall be located 
on end of car to left of center and not more than twenty-four (24) 
inches from left side of car.
    (4) Manner of application. Same as specified for ``Box and Other 
House Cars.''
    (b) End-platforms--(1) Number. Two (2).
    (2) Dimensions. Width, not less than ten (10) inches. Length, full 
width of car.
    (3) Location. One (1) on each end of car not more than eight (8) 
inches above center sill.
    (4) Manner of application. Each end-platform shall be securely 
supported by not less than four (4) metal braces having a minimum cross 
sectional area three-eighths (\3/8\) by one and one-half (1\1/2\) inches 
or equivalent which shall be securely fastened to body of car with not 
less than one-half (\1/2\) inch bolts or rivets. The outside edge of 
each end-platform shall be not less than six (6) inches from a vertical 
plane parallel with end of car and passing through the inside face of 
knuckle when closed with coupler-horn against the buffer-block or end 
sill and cushioning device (if used) at full buff. End-platform shall be 
made of running board material as specified for ``Box and Other House 
Cars.''
    (c) Sill steps. Same as specified for ``Box and Other House Cars.''
    (d) End-ladder clearance. No part of car above end-sills within 
thirty (30) inches from side of car, except buffer block brake-shaft, 
brake wheel, end-platform, horizontal end handholds, or coupling lever 
shall extend to within twelve (12) inches of a vertical plane parallel 
with end of car and passing through the inside face of knuckle, when 
closed with the coupler horn against the buffer block or end-sill and 
cushioning device (if used) at full buff, and no other part of end of 
car or fixtures on same above end-sill, other than exceptions herein 
noted, shall extend beyond outer face of buffer block.
    (e) Side handholds--(1) Number. Sixteen (16).
    (2) Dimensions. Same as specified for ``Box and Other House Cars.''
    (3) Location. Horizontal: Four (4) near each end and on each side of 
car spaced

[[Page 359]]

not more than nineteen (19) inches apart and with the bottom handhold 
located not more than twenty-one (21) inches from top tread of sill 
step, and top handhold shall coincide in height with horizontal end-
platform handhold, a variation of two (2) inches being allowed. Spacing 
of side handholds shall be uniform within a limit of two (2) inches from 
top handhold to bottom handhold. Clearance of outer ends of handholds 
shall be not more than eight (8) inches from end of car.
    (4) Manner of application. Same as specified for ``Box and Other 
House Cars,'' except each bottom handhold shall have foot guard or 
upward projection not less than two (2) inches in height near inside 
end.
    (f) Horizontal end handholds--(1) Number. Four (4).
    (2) Dimension. Same as specified for ``Box and Other House Cars.''
    (3) Location. One (1) near each side of each end of car on outer 
edge of end platform, projecting downward with clearance of outer end 
not more than sixteen (16) inches from side of car.
    (4) Manner of application. Same as specified for ``Box and Other 
House Cars.''
    (g) Horizontal end-platform handholds--(1) Number. Two (2).
    (2) Dimensions. Same as specified for ``Horizontal End Handholds'' 
for ``Box and Other House Cars,'' except length shall extend across end 
of car.
    (3) Location. Extending across each end of car, not less than forty-
eight (48) nor more than sixty (60) inches above tread of end-platform 
with clearance at each end of not more than four (4) inches from side of 
car, supported by an extra leg near center of handholds.
    (4) Manner of application. Same as specified for ``Horizontal End 
Handholds'' for ``Box and Other House Cars.''
    (h) Vertical end-handholds--(1) Number. Four (4).
    (2) Dimensions. Minimum diameter five-eighths (\5/8\) of an inch, 
wrought iron or steel. Minimum clearance, two (2), preferably two and 
one-half (2\1/2\) inches.
    (3) Location. One (1) on each side of each end of car, not more than 
four (4) inches from side of car, extending downward from end of 
horizontal end-platform handhold to within eight (8) inches above tread 
of end-platform. One (1) continuous handhold with two (2) right angles, 
or two (2) right angle handholds, may take the place of two (2) 
specified vertical end-handholds and one (1) horizontal end-platform 
handhold, provided the dimensions and locations coincide, and extra legs 
at points of angle and center are provided and securely fastened to car.
    (4) Manner of application. Same as specified for ``Box and Other 
House Cars.''
    (i) Uncoupling levers. Same as specified for ``Box and Other House 
Cars.''
    (j) Painting and stenciling. (1) That portion of each end of car 
more than fifteen (15) feet above top of rail shall be painted with 
contrasting reflectorized paint and shall bear the words ``No running 
board'' to the left of center and ``Excess height car'' to the right of 
center.
    (2) Lettering to be not less than three (3) inches high. On each 
side-sill near end corner there shall be painted a yellow rectangular 
area with a three-fourths (\3/4\) inch black border containing the words 
``This car excess height--no running board.'' Lettering to be not less 
than one and one-half (1\1/2\) inches high. When car is equipped with 
center sill or underframe cushioning device having more than twelve (12) 
inches longitudinal impact absorbing travel, and a part of the 
uncoupling device and/or brake pipe is located parallel to the exposed 
end of the center sill, such part shall provide at least two (2) inches 
of clearance near the coupler of sufficient length to permit use as an 
emergency handhold during air hose coupling operation and the top of 
exposed ends of sliding center sill shall be coated with anti-skid 
paint.

[33 FR 19663, Dec. 25, 1968, as amended at 40 FR 34347, Aug. 15, 1975]



Sec. 231.25  Track motorcars (self-propelled 4-wheel cars which can be removed from the rails by men).

    (a) Handbrakes (includes foot operated brake). Each track motorcar 
shall be equipped with an efficient handbrake so located that it can be 
safely operated while the car is in motion. Each handbrake shall be 
equipped with a ratchet or other suitable device which

[[Page 360]]

will provide a means of keeping the brake applied when car is not in 
motion.

    Note: The requirements of this rule will be satisfied if the ratchet 
or other suitable device operates in connection with at least one 
handbrake on track motorcars that may be equipped with more than one 
such brake.

    (b) Handholds. One or more safe and suitable handholds conveniently 
located shall be provided. Each handhold shall be securely fastened to 
car.
    (c) Sill steps or footboards. Each track motorcar shall be equipped 
with safe and suitable sill steps or footboards conveniently located and 
securely fastened to car when bed or deck of track motorcar is more than 
24 inches above top of rail.
    (d) Couplers. When used to haul other cars, each track motorcar 
shall be equipped with a coupler at each end where such cars are coupled 
(1) which provides a safe and secure attachment, (2) which can be 
coupled or uncoupled without the necessity of men going between the ends 
of the cars.



Sec. 231.26  Pushcars.

    (a) Handbrakes. When used to transport persons, each pushcar shall 
be equipped with an efficient handbrake so located that it can be safely 
operated while the car is in motion.
    (b) Handholds (includes handles). Each pushcar shall be provided 
with one or more secure handholds. When used to transport persons, each 
pushcar shall be provided with one or more safe and suitable handholds 
conveniently located above the top of the bed of each pushcar.
    (c) Sill steps or footboards. When used to transport persons, each 
pushcar shall be equipped with safe and suitable sillsteps or footboards 
conveniently located and securely fastened to car, when bed or deck of 
pushcar is more than 24 inches above top of rail.
    (d) Couplers. When moved together with other vehicles, each pushcar 
shall be equipped with a coupler at each end where such vehicles are 
coupled (1) which provides a safe and secure attachment, and (2) which 
can be coupled or uncoupled without the necessity of men going between 
the ends of the cars.

    Note: Sections 231.25 and 231.26 are applicable only when the 
vehicles governed thereby are coupled together and moved together.



Sec. 231.27  Box and other house cars without roof hatches or placed in service after October 1, 1966.

    (a) Handbrakes. The handbrake may be of any efficient design, but 
must provide the same degree of safety as, or a greater degree of safety 
than, the following specifications:
    (1) Number. (i) Each box or other house car without roof hatches 
shall be equipped with an efficient vertical wheel handbrake which shall 
operate in harmony with the power brake thereon.
    (ii) The handbrake may be of any efficient design, but must provide 
a total braking force applied to brake shoes not less than the total 
force applied to the brake shoes by the brake cylinders at 50 pounds per 
square inch.
    (2) Dimensions. (i) The brake wheel may be deep or shallow, of 
malleable iron, wrought iron, steel, or other material of equivalent 
strength.
    (ii) Overall diameter of brake wheel nominally twenty-two (22) 
inches.
    (iii) Depth of brake wheel hub shall be two and five-eighths (2\5/
8\) inches with square taper shaft fit, taper two (2) inches in twelve 
(12) inches with small end of taper fit seven-eighths (\7/8\) inches.
    (iv) Brake wheel and drum shall be arranged so that both will 
revolve when applying and gradually releasing the handbrake. Handbrake 
shall be provided with means to prevent application of the brake by 
winding in a counterclockwise direction.
    (v) Brake shaft shall be arranged with a square fit at its outer end 
to secure the handbrake wheel; said square fit shall be not less than 
seven-eighths (\7/8\) of an inch square. Square-fit taper: Nominally two 
(2) in twelve (12) inches (see Plate A).
    (vi) All chains shall be not less than nine-sixteenths (\9/16\) inch 
BBB coil chain.
    (vii) All handbrake rods shall be not less than three-fourths (\3/
4\) inch diameter.

[[Page 361]]

    (3) Location. (i) The handbrake shall be so located that it can be 
safely operated from horizontal end platform while car is in motion.
    (ii) The brake shaft shall be located on end of car, to the left of 
and not less than seventeen (17) nor more than twenty-two (22) inches 
from center and not less than twenty-six (26) nor more than forty (40) 
inches above top of end-platform tread.
    (4) Manner of application. (i) Brake wheel shall be held in position 
on brake shaft by a nut on a threaded extended end of brake shaft; said 
thread portion shall be not less than three-fourths (\3/4\) of an inch 
in diameter; said nut shall be secured by riveting over or by the use of 
a locknut or suitable cotter.
    (ii) Outside edge of brake wheel shall be not less than four (4) 
inches from a vertical plane parallel with end of car and passing 
through the inside face of knuckle when closed with coupler horn against 
the buffer block or end sill.
    (iii) Handbrake housing shall be securely fastened to car.
    (b) End platforms--(1) Number. Two (2).
    (2) Dimensions. Width not less than eight (8) inches; length, not 
less than sixty (60) inches.
    (3) Location. One (1) centered on each end of car between inner ends 
of handholds not more than eight (8) inches above top of center sill.
    (4) Manner of application. (i) Each end platform shall be securely 
supported by not less than three (3) metal braces having a minimum cross 
sectional area of three-eighths (\3/8\) by one and one-half (1\1/2\) 
inches or equivalent, which shall be securely fastened to body of car 
with not less than one-half (\1/2\) inch bolts or rivets.
    (ii) Where conventional draft gear or cushioning device having 
longitudinal travel less than six (6) inches is used the outside edge of 
each end platform shall be not less than twelve (12) inches from a 
vertical plane parallel with end of car and passing through the inside 
face of knuckle when closed with coupler horn against buffer block. 
Where cushioning device having longitudinal travel six (6) inches or 
more is used the outside edge of each end platform shall be not less 
than six (6) inches from a vertical plane parallel with end of car and 
passing through the inside face of knuckle when closed with end sill and 
cushioning device at full buff. End platform shall be made of wood or of 
material which provides the same as or a greater degree of safety than 
wood of 1\1/8\ inches thickness. When made of material other than wood 
the tread surface shall be of anti-skid design and constructed with 
sufficient open space to permit the elimination of snow and ice from the 
tread surface.
    (c) Sill steps--(1) Number. Four (4).
    (2) Dimensions. Minimum cross-sectional area one-half (\1/2\) by one 
and one-half (1\1/2\) inches, or equivalent, of wrought iron, steel, or 
other material of equivalent strength. Minimum length of tread, ten 
(10), preferably twelve (12) inches. Minimum clear depth, eight (8) 
inches.
    (3) Location. (i) One (1) near each end of each side car, so that 
there shall be no more than eighteen (18) inches from end of car to 
center of tread of sill step.
    (ii) Outside edge of tread of step shall be not more than four (4) 
inches inside of face of side of car, preferably flush with side of car.
    (iii) Tread shall be not more than twenty-four (24), preferably not 
more than twenty-two (22) inches above the top of rail.
    (4) Manner of application. (i) Sill steps exceeding twenty-one (21) 
inches in depth shall have an additional tread.
    (ii) Sill steps shall be securely fastened with not less than one-
half (\1/2\) inch bolts with nuts outside (when possible) and riveted 
over, or with not less than one-half (\1/2\) inch rivets.
    (d) End ladder (appliances) clearance. No part of car above end 
sills within thirty (30) inches from side of car, except buffer block, 
brake shaft, brake wheel, end platform, horizontal end handholds, or 
uncoupling lever shall extend to within twelve (12) inches of a vertical 
plane parallel with end of car and passing through the inside face of 
knuckle, when closed with the coupler horn against the buffer block or 
end sill and cushioning device (if used) at full buff, and no other part 
of end of car or fixtures on same above end sill, other than exceptions 
herein noted, shall extend beyond outer face of buffer block.
    (e) Side handholds--(1) Number. Sixteen (16).

[[Page 362]]

    (2) Dimensions. Minimum diameter, five-eighths (\5/8\) of an inch, 
wrought iron, steel, or other material of equivalent strength. Minimum 
clear length, sixteen (16) inches, preferably twenty-four (24) inches. 
Minimum clearance, two (2), preferably two and one-half (2\1/2\) inches.
    (3) Location. Horizontal; four (4) near each end and on each side of 
car spaced not more than nineteen (19) inches apart and with the bottom 
handhold located not more than twenty-one (21) inches from top tread of 
sill step, and top handhold shall coincide in height with top end 
handhold, a variation of two (2) inches being allowed. Spacing of side 
handholds shall be uniform within a limit of two (2) inches from top 
handhold to bottom handhold. Clearance of outer ends of handholds shall 
be not more than eight (8) inches from end of car.
    (4) Manner of application. Side handholds shall be securely fastened 
with not less than one-half (\1/2\) inch bolts with nuts outside (when 
possible) and riveted over, or with not less than one-half (\1/2\) inch 
rivets. Each bottom handhold shall have foot guard or upward projection 
not less than two (2) inches in height near inside end.
    (f) End handholds--(1) Number. Sixteen (16).
    (2) Dimensions. (i) Minimum diameter, five-eighths (\5/8\) of an 
inch, wrought iron, steel, or other material of equivalent strength.
    (ii) Minimum clear length, sixteen (16) inches, preferably twenty-
four (24) inches.
    (iii) Minimum clearance, two (2) preferably two and one-half (2\1/
2\) inches.
    (3) Location. Horizontal: Four (4) near each side and on each end of 
car spaced not more than nineteen (19) inches apart and with the bottom 
handhold located not more than twenty-one (21) inches from top tread of 
sill step, and top handhold shall coincide in height with end platform 
handholds, a variation of two (2) inches being allowed. Clearance of 
outer ends of handholds shall be not more than eight (8) inches from 
side of car.
    (4) Manner of application. End handholds shall be securely fastened 
with not less than one-half (\1/2\) inch bolts with nuts outside (when 
possible) and riveted over, or with not less than one-half (\1/2\) inch 
rivets. Each bottom handhold shall have foot guard or upward projection 
not less than two (2) inches in height near inside end.
    (g) Horizontal end-platform handholds--(1) Number. Two (2).
    (2) Dimensions. (i) Minimum diameter, five-eighths (\5/8\) of an 
inch, wrought iron, steel, or other material of equivalent strength.
    (ii) Minimum clearance, two (2) preferably two and one-half (2\1/2\) 
inches.
    (iii) Minimum clear length sixty (60) inches. When security of 
attachment requires, an extra supporting leg may be applied near center 
of clear length.
    (3) Location. One (1) on each end of car above end platform. Outer 
legs shall be not more than six (6) inches from inner legs of top end 
handholds. Height above tread of end platform: Not less than forty-eight 
(48) nor more than sixty (60) inches.
    (4) Manner of application. End-platform handholds shall be securely 
fastened with not less than one-half (\1/2\) inch bolts with nuts 
outside (when possible) and riveted over, or with not less than one-half 
(\1/2\) inch rivets.
    (h) Uncoupling levers--(1) Number. Two (2).
    (2) Dimensions. (i) Handles of uncoupling levers, except those shown 
on Plate B or of similar designs, shall be not more than six (6) inches 
from side of car.
    (ii) Uncoupling levers of design shown on Plate B and of similar 
designs shall conform to the following prescribed limits:
    (a) Handles shall be not more than twelve (12), preferably nine (9) 
inches from sides of car. Center lift arms shall be not less than seven 
(7) inches long.
    (b) Center of eye at end of center lift arm shall be not more than 
three and one-half (3\1/2\) inches beyond center of eye of uncoupling 
pin of coupler when horn of coupler is against the buffer block or end 
sill (see Plate B).
    (c) End of handles shall extend not less than four (4) inches below 
bottom of end sill or shall be so constructed as to give a minimum 
clearance of two (2) inches around handle. Minimum drop of handles shall 
be twelve (12) inches; maximum, fifteen (15) inches overall (see Plate 
B).

[[Page 363]]

    (iii) Handles of uncoupling levers of the ``rocking'' or ``push-
down'' type shall be not less than eighteen (18) inches from top of rail 
when lockblock has released knuckle, and a suitable stop shall be 
provided to prevent inside arm from flying up in case of breakage.
    (3) Location. One (1) on each end of car. When single lever is used, 
it shall be placed on left side of end of car.
    (i) Existing box and other house cars without roof hatches. (1) Box 
and other house cars without roof hatches built on or before April 1, 
1966, or under construction prior thereto and placed in service before 
October 1, 1966, shall be deemed equipped as nearly as possible within 
the intent of Sec. 231.1 and of this section when:
    (i) The running board, roof handholds over side and end ladders at 
``A'' end of car and ladder treads above the fourth tread from bottom of 
side and end ladder at ``A'' end are removed;
    (ii) One (1) horizontal end-platform handhold is applied on each end 
of car as specified in this section except the right hand end shall be 
not more than eight (8) inches from side of car, or where car end 
contour makes impractical the use of a single continuous end handhold, 
there is applied the equivalent consisting of two (2) handholds, the 
center handhold to be a minimum of thirty (30) inches in clear length 
and the handhold to the right to be a minimum of nineteen (19) inches in 
clear length and to extend to within eight (8) inches of the right side 
of the car, such handholds to be not more than twelve (12) inches apart; 
and
    (iii) With handbrake operated near roof of car: a brake step shall 
be provided as specified in Sec. 231.1 and lettering one and one-half 
(1\1/2\) inches high shall be painted on a yellow background on side 
sill near ``B'' end of car with a three-fourths (\3/4\) inch black 
border containing the words ``Keep Off Roof--No Running Board,'' or with 
handbrake operated from approximate level of top of end sill: roof 
handholds and side and end ladder treads above the fourth tread from the 
bottom of ladders at ``B'' end of car shall be removed and a brake step 
as specified by Sec. 231.1 shall be used with top of tread surface being 
level with or not more than four (4) inches below adjacent end handhold.
    (2) Paragraph (i)(1)(ii) of this section shall not apply to cars 
equipped with end platforms and end platform handholds.
    (j) Painting and marking. Box and other house cars with roofs 16 
feet and 10 inches or more above top of rail shall be painted and marked 
as follows:
    (1) That portion of each end of the car which is more than fifteen 
(15) feet above top of rail shall be painted with contrasting 
reflectorized paint and bear the words ``excess height car'' in 
lettering not less than three (3) inches high; and
    (2) On each side sill near end corner there shall be painted or 
otherwise displayed a yellow rectangular area with a three-fourths (\3/
4\) inch black border containing the words ``this car excess height'' in 
lettering not less than one and one-half (1\1/2\) inches high.

(Secs. 2, 4, and 6, 27 Stat. 531, as amended; secs, 1 and 3, 32 Stat. 
943, as amended; sec. 6(e) and (f), 80 Stat. 939 (45 U.S.C. 2, 4, 6, 8, 
and 10, 11-16 and 49 U.S.C. 103(c)(1))

[33 FR 19663, Dec. 25, 1968, as amended at 40 FR 34347, Aug. 15, 1975; 
49 FR 26745, June 29, 1984]



Sec. 231.28  Box and other house cars with roof hatches built or placed in service after October 1, 1966.

    The specifications of Sec. 231.27 shall apply except as to the 
following:
    (a) Running boards. Same as specified in Sec. 231.1, except: the end 
of longitudinal running board shall be not less than six (6) inches from 
a vertical plane parallel with end of car and passing through the inside 
face of knuckle when closed with coupler horn against buffer block or 
end sill.
    (b) Ladders--(1) Number. Two (2).
    (2) Dimensions. (i) Minimum clear length of tread: Sixteen (16) 
inches.
    (ii) Maximum spacing between treads nineteen (19) inches.
    (3) Location. One (1) on each end of car not more than eight (8) 
inches from left-hand side.
    (4) Manner of application. Same as specified in Sec. 231.1.
    (c) Roof handholds--(1) Number. Two (2), one (1) over each ladder.
    (2) Dimensions. Same as specified in Sec. 231.1.

[[Page 364]]

    (3) Location. On roof of car. One (1) parallel to treads of each 
ladder, not less than eight (8) nor more than fifteen (15) inches from 
edge of roof, except on refrigerator cars where ice hatches prevent, 
when location may be nearer edge of roof.
    (4) Manner of application. Same as specified in Sec. 231.1.
    (d) End handholds. (Treads of end ladders are end handholds.) Same 
as specified for Sec. 231.27.
    (e) Existing box and other house cars with roof hatches. Box and 
other house cars with roof hatches built on or before April 1, 1966, or 
under construction prior thereto and placed in service before October 1, 
1966, shall be deemed equipped as nearly as possible within the intent 
of Sec. 231.1 and of this section when: Equipped as specified in 
Sec. 231.1, except (1) the side ladder treads above the fourth tread 
from bottom of side ladder near ``A'' end of car and roof handhold over 
the side ladder near ``A'' end shall be removed; (2) and (1) end 
platform handhold shall be provided on each end of car as specified in 
Sec. 231.27(i); and when handbrake is operated near roof of car a brake 
step shall be provided as specified by Sec. 231.1 or when handbrake is 
operated from approximate level of top of end sill the roof handhold 
over side ladder near ``B'' end and treads above the fourth tread from 
bottom of side ladder near ``B'' end shall be removed and a brake step 
as specified in Sec. 231.1 shall be used with top of tread surface level 
with or not more than four (4) inches below adjacent end handhold.

(Secs. 2, 4, and 6, 27 Stat. 531, as amended; secs, 1 and 3, 32 Stat. 
943, as amended; sec. 6(e) and (f), 80 Stat. 939 (45 U.S.C. 2, 4, 6, 8, 
and 10, 11-16 and 49 U.S.C. 103(c)(1))

[33 FR 19663, Dec. 25, 1968, as amended at 49 FR 26745, June 29, 1984]



Sec. 231.29  Road locomotives with corner stairways.

    After September 30, 1979, road locomotives with corner stairway 
openings must be equipped with (a) uncoupling mechanisms that can be 
operated safely from the bottom stairway opening step as well as ground 
level, and (b) the vertical handholds and horizontal end handholds 
prescribed in Sec. 231.30(e) and (g). No part of the uncoupling 
mechanism may extend into the stairway opening or end platform area when 
the mechanism is in its normal position or when it is operated. Each 
carrier shall so equip forty percent (40 percent) of its road 
locomotives by October 1, 1977, seventy percent (70 percent) by October 
1, 1978, and all its road locomotives by October 1, 1979.

[41 FR 37783, Sept. 8, 1976]



Sec. 231.30  Locomotives used in switching service.

    (a) General requirements. (1) Except for steam locomotives equipped 
as provided in Sec. 231.16 of this part, all locomotives used in 
switching service built after March 31, 1977, must be equipped as 
provided in this section.
    (2) Except for steam locomotives equipped as prescribed in 
Sec. 231.16 of this part, all locomotives built prior to April 1, 1977, 
used in switching service after September 30, 1979, shall be equipped as 
provided in this section. Each carrier shall so equip forty percent (40 
percent) of such locomotives by October 1, 1977, seventy percent (70 
percent) by October 1, 1978, and all such locomotives by October 1, 
1979.
    (3) Locomotives without corner stairway openings may not be used to 
perform any switching service after September 30, 1979 except passenger 
car switching service at passenger stations.
    (b) Definitions. (1) Locomotive used in switching service means a 
locomotive regularly assigned to perform yard switching service.
    (2) Switching service means the classification of cars according to 
commodity or destination; assembling of cars for train movements; 
changing the position of cars for purposes of loading, unloading, or 
weighing, placing of locomotives and cars for repair or storage; or 
moving of rail equipment in connection with work service that does not 
constitute a road movement. However, this term does not include movement 
of a train or part of a train within yard limits by the road locomotive 
and the placement of locomotives or cars in a train or their removal 
from a train by the road locomotive while en route to the train's 
destination.

[[Page 365]]

    (3) Safety tread surface means that portion of anti-skid surface of 
a switching step that actually is contacted by a shoe or boot.
    (4) Uncoupling mechanism means the arrangement for operating the 
coupler lock lift, including the uncoupling lever and all other 
appurtenances that facilitate operation of the coupler.
    (c) Switching step--(1) Number. Each locomotive used in switching 
service must have four (4) switching steps. (See Plate A)
    (2) Dimensions. Each such switching step must have--
    (i) On locomotives built after March 31, 1977, a minimum width of 
twenty-four (24) inches and a minimum depth of twelve (12) inches, 
except when necessary to accommodate the turning arc of a six-wheel 
truck and its appurtenances, the inside edge of the switching step shall 
have a minimum width of seventeen (17) inches (See Plate B);
    (ii) On locomotives built prior to April 1, 1977, a minimum width of 
eighteen (18) inches, and a minimum depth of eight (8) inches;
    (iii) A backstop, solid or perforated, with minimum height of 
backstop of six (6) inches above the safety tread surface; and
    (iv) A height of not more than nineteen (19) inches, preferably 
fifteen (15) inches, measured from top of rail to the safety tread 
surface.
    (3) Location. Switching steps must be located on each side near each 
end of a locomotive used in switching service. The bottom step of the 
stairway at these locations may also serve as a switching step if it 
meets all of the requirements of this section.
    (4) Manner of application. (i) Switching steps must be supported by 
a bracket at each end and fastened to the bracket by two bolts or rivets 
of at least one-half (\1/2\) inch diameter or by a weldment of at least 
twice the strength of a bolted attachment.
    (ii) Vertical clearance must be unobstructed, except for minor 
intrusions created by mechanical fasteners or a small triangular gusset 
plate at the platform level walkway, and free for use for at least a 
distance of eighty-four (84) inches over a portion of the switching step 
that is not less than seven (7) inches deep by eighteen (18) inches wide 
on locomotives built prior to April 1, 1977, and of not less than seven 
(7) inches deep by twenty-four (24) inches wide on locomotives built 
after March 31, 1977.
    (5) Material. (i) Steel or other material of equivalent or better 
strength and deflection characteristics, anti-skid, safety design, 
having at least fifty percent (50%) of the tread surface as open space 
must be used.
    (ii) When the step material creates a second level safety tread 
surface, the maximum difference in surface levels may not exceed three-
eighths (\3/8\) of an inch.
    (iii) The safety tread surface must extend to within one-half (\1/
2\) inch of each edge of the step.
    (6) Visibility. The outer edge of each switching step that is not 
illuminated must be painted a contrasting color. On locomotives built 
after March 31, 1977, switching steps shall be illuminated; on multiple-
unit locomotive consists used in switching service, only the front 
switching steps of the leading unit and the rear switching steps of the 
trailing unit must be illuminated.
    (d) End footboards and pilot steps. (1) Except for steam locomotives 
equipped as provided in Sec. 231.16, locomotives used in switching 
service built after March 31, 1975, may not be equipped with end 
footboards or pilot steps.
    (2) Except for steam locomotives equipped as provided in 
Sec. 231.16, locomotives used in switching service built before April 1, 
1975, may not be equipped with end footboards or pilot steps after 
September 30, 1978. Whenever end footboards or pilot steps are removed 
from a locomotive, the uncoupling mechanism and horizontal end handholds 
of the locomotive must be modified to comply with paragraphs (f) and (g) 
of this section.
    (e) Vertical handholds. Each switching step must be provided with 
two (2) vertical handholds or handrails, one on each side of the 
switching step stairway.
    (1) On locomotives built after March 31, 1977, each vertical 
handhold must--
    (i) Be constructed of wrought iron, steel or other material of 
equivalent strength and durability that is at least one (1) inch 
diameter and be securely

[[Page 366]]

fastened to the locomotive with one-half (\1/2\) inch or larger bolts or 
rivets;
    (ii) Begin not less than six (6) inches nor more than thirty-two 
(32) inches above the safety tread surface of the switching step; on 
units with high snowplows, each must begin not more than thirty-six (36) 
inches above the safety tread surface of the switching step;
    (iii) Extend upward from switching step surface at least forty-eight 
(48) inches;
    (iv) Be painted in a contrasting color to a height of at least 
forty-eight (48) inches above the safety tread surface of the switching 
step; and
    (v) Provide at least two and one-half (2\1/2\) inches of usable hand 
clearance throughout its entire length.
    (2) On locomotives built before April 1, 1977, each vertical 
handhold must--
    (i) Be constructed of wrought iron, steel or other material of 
equivalent strength and durability that is at least seven-eighths (\7/
8\) inch in diameter and be securely fastened with one-half (\1/2\) inch 
or larger bolts or rivets;
    (ii) Begin not less than five (5) inches nor more than thirty-two 
(32) inches above the safety tread surface; on units with high 
snowplows, each must begin not more than thirty-six (36) inches above 
the safety tread surface;
    (iii) Extend upward from safety tread surface of the switching step 
at least forty-eight (48) inches;
    (iv) Be painted in a contrasting color to a height of at least 
forty-eight (48) inches above the safety tread surface of the switching 
step; and
    (v) Provide at least two and one-half (2\1/2\) inches usable hand 
clearance throughout its entire length.
    (f) Uncoupling mechanisms. Each locomotive used in switching service 
must have means for operating the uncoupling mechanism safely from the 
switching step as well as from ground level. No part of the uncoupling 
mechanism may extend into the switching step or stairway opening or end 
platform area when the mechanism is in its normal position or when it is 
operated. (See Plate A)
    (g) Horizontal end handholds. Each locomotive used in switching 
service must have four (4) horizontal end handholds.
    (1) Each horizontal end handhold must--
    (i) Be constructed of wrought iron, steel or other material of 
equivalent strength and durability that is at least five-eighths (\5/8\) 
inch in diameter and be securely fastened to the locomotive with one-
half (\1/2\) inch or larger bolts or rivets;
    (ii) Be located not less than thirty (30) inches nor more than fifty 
(50) inches above the top of rail with its outer end not more than 16 
inches from the side of the locomotive; on units with a high snowplow 
that makes normal end handhold location inaccessible, end handhold shall 
be located on top of plow blade, with the center of the handhold not 
more than fifty-three (53) inches above the top of rail, and be in line 
with the slope of the plow blade;
    (iii) Be at least fourteen (14) inches long; and
    (iv) Provide at least two (2) inches, preferably two and one-half 
(2\1/2\) inches, usable hand clearance throughout its entire length.
    (2) An uncoupling lever may also serve as a horizontal end handhold 
if it complies with the requirements of this paragraph. When an 
uncoupling lever also serves as the horizontal end handhold, it is 
considered to be securely fastened if its securement brackets are 
attached to the locomotive by one-half (\1/2\) inch or larger bolts or 
rivets and its movement between those brackets is limited to the 
rotation necessary for performance of the uncoupling function.

[[Page 367]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.007


[[Page 368]]


[GRAPHIC] [TIFF OMITTED] TC01AP91.008

[41 FR 37783, Sept. 8, 1976]

         Appendix A to Part 231--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                               Willful
 FRA safety appliance defect code section \2\    Violation    violation
------------------------------------------------------------------------
110.A1  Hand Brake or Hand Brake Part Missing.       $5,000       $7,500
110.A2  Hand Brake or Hand Brake Part Broken..        5,000        7,500
110.A3  Hand Brake or Hand Brake Part Loose or        2,500        5,000
 Worn.........................................
110.B1  Hand Brake Inoperative................        5,000        7,500
110.B2  Hand Brake Inefficient................        2,500        5,000
110.B3  Hand Brake Improperly Applied.........        2,500        5,000
110.B4  Hand Brake Incorrectly located........        2,500        5,000
110.B5  Hand Brake Shaft Welded or Wrong              2,500        5,000
 Dimension....................................
110.B6  Hand Brake Shaft Not Retained in              2,500        5,000
 Operating Position...........................
110.B8  Hand Brake or Hand Brake Parts Wrong          2,500        5,000
 Design.......................................
114.B2  Hand Brake Wheel or Lever Has                 2,500        5,000
 Insufficient Clearance Around Rim or Handle..
114.B3  Hand Brake Wheel/Lever Clearance              2,500        5,000
 Insufficient to Vertical Plane Through Inside
 Face of Knuckle..............................
120.A1  Brake Step Missing Except by Design...        5,000        7,500
120.A2  Brake Step or Brace Broken or Decayed.        2,500        5,000
120.A3  Brake Step or Brace Loose.............        2,500        5,000
120.B1  Brake Step or Brace Bent..............        2,500        5,000
120.B2  Brake Step or Wrong Dimensions........        2,500        5,000
120.C1  Brake Step Improperly Applied.........        2,500        5,000
120.C2  Brake Step Improperly Located.........        2,500        5,000
120.C3  Brake Step With Less Than 4" Clearance        2,500        5,000
 to Vertical Plane Through Inside Face of
 Knuckle......................................
120.C4  Brake Step Obstructed or Otherwise            2,500        5,000
 Unsafe.......................................
124.A1  Running Board Missing or Part Missing         5,000        7,500
 Except By Design.............................
124.A2  Running Board Broken or Decayed.......        5,000        7,500
124.A3  Running Board Loose Presents a                2,500        5,000
 Tripping Hazard or Other Unsafe Condition....
124.A4  Running Board Wrong Material..........        2,500        5,000
124.B1  Running Board Bent to the Extent that         2,500        5,000
 It is Unsafe.................................
124.B2  Running Board Wrong Dimensions........        2,500        5,000
124.B3  Running Board Wrong Location..........        2,500        5,000
124.C1  Running Board Improperly Applied......        2,500        5,000
124.C2  Running Board Obstructed..............        2,500        5,000
126.A1  End Platform Missing or Part Except By        5,000        7,500
 Design.......................................

[[Page 369]]

 
126.A2  End Platform Broken or Decayed........        5,000        7,500
126.A3  End Platform Loose....................        2,500        5,000
126.B1  End Platform or Brace Bent............        2,500        5,000
126.B2  End Platform Wrong Dimensions.........        2,500        5,000
126.C1  End Platform Improperly Applied.......        2,500        5,000
126.C2  End Platform With Less Than Required          2,500        5,000
 Clearance to Vertical Plane Through Inside
 Knuckle......................................
126.C3  End Platform Improperly Located.......        2,500        5,000
126.C4  End Platform Obstructed...............        5,000        7,500
128.A1  Platform or Switching Step Missing....        5,000        7,500
128.A2  Platform or Switching Step Broken or          5,000        7,500
 Decayed......................................
128.A3  Platform or Switching Step Loose......        2,500        5,000
128.B1  Platform or Switching Step Bent.......        2,500        5,000
128.B2  Platform or Switching Step Does Not           2,500        5,000
 Meet the Required Location or Dimensions.....
128.C1  Platform or Switching Step Improperly         2,500        5,000
 Applied or Repaired..........................
128.C2  Platform or Switching Step Obstructed.        2,500        5,000
128.D1  Switching Step Back Stop or Kick Plate        2,500        5,000
 Missing......................................
128.D2  Switching Step Not Illuminated When           2,500        5,000
 Required.....................................
128.D3  Non-Illuminated Step Not Painted              1,000        2,000
 Contrasting Color............................
130.A1  Sill Step or Additional Tread, Missing        5,000        7,500
130.A2  Sill Step or Additional Tread, Broken.        5,000        7,500
130.A3  Sill Step or Additional Tread, Loose..        2,500        5,000
130.B1  Sill Step or Additional Tread, Bent...        2,500        5,000
130.B2  Sill Step or Additional Tread, Having         2,500        5,000
 Wrong Dimensions or Improperly Located.......
130.B3  Sill Step Improperly Applied..........        2,500        5,000
132.A1  Side Missing Step.....................        5,000        7,500
132.A2  Side Door Step Broken.................        5,000        7,500
132.A3  Side Door Step Loose..................        2,500        5,000
132.B1  Side Door Step Bent...................        2,500        5,000
132.B2  Side Door Step Having Wrong Dimensions        2,500        5,000
134.A1  Ladder Missing........................        5,000        7,500
134.A2  Ladder Broken.........................        5,000        7,500
134.A3  Ladder Loose..........................        2,500        5,000
134.B1  Ladder Bent...........................        2,500        5,000
134.B2  Ladder Having Wrong Dimensions........        2,500        5,000
134.C1  Ladder Improperly Applied.............        2,500        5,000
134.C2  Ladder Having Insufficient Clearance          2,500        5,000
 or Improperly Located........................
134.C3  Ladder Wrong Design...................        2,500        5,000
134.C4  Ladder Wrong Material.................        2,500        5,000
134.D1  End Clearance Insufficient............        2,500        5,000
136.A1  Ladder Tread or Handholds Missing.....        5,000        7,500
136.A2  Ladder Tread or Handhold Broken.......        5,000        7,500
136.A3  Ladder Tread or Handhold Loose Except         2,500        5,000
 By Design....................................
136.B1  Ladder Tread or Handhold Bent to The          2,500        5,000
 Extent That It May Be Unsafe.................
136.B2  Ladder Tread or Handhold Wrong                2,500        5,000
 Dimensions...................................
136.C1  Ladder Tread or Handhold Improperly           2,500        5,000
 Applied......................................
136.C2  Ladder Tread or Handhold Having Wrong         2,500        5,000
 Clearance....................................
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        2,500        5,000
 Design.......................................
138.B1  Hand or Safety Railing Bent...........        2,500        5,000
138.B2  Hand or Safety Railing Wrong                  2,500        5,000
 Dimensions...................................
138.C1  Hand or Safety Railing Improperly             2,500        5,000
 Applied......................................
138.C2  Hand or Safety Railing Having Less            2,500        5,000
 Than the Required Clearance..................
138.C3  Hand or Safety Railing Improperly             2,500        5,000
 Located......................................
140.A1  Uncoupling Lever Missing..............        2,500        5,000
140.A2  Uncoupling Lever Broken or                    2,500        5,000
 Disconnected.................................
140.B1  Uncoupling Lever Bent Will not Safely         2,500        5,000
 and Reasonably Function As Intended..........
140.C1  Uncoupling Lever Bracket Bent Lever           2,500        5,000
 Will Not Function Properly...................
140.C2  Uncoupling Lever Bracket Broken or            2,500        5,000
 Missing......................................
140.D1  Uncoupling Lever Wrong Dimension......        2,500        5,000
140.D2  Uncoupling Lever With Improper Handle         2,500        5,000
 Clearance....................................
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            2,500        5,000
 Applied......................................

[[Page 370]]

 
146.A  Notice or Stencil not Posted on                  500        1,000
 Cabooses with Running Boards Removed.........
146.B  Safe Means not Provided to Clean or            1,000        2,000
 Maintain Windows of Caboose..................
------------------------------------------------------------------------
\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 $22,000 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 reorganized 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]



PART 232--RAILROAD POWER BRAKES AND DRAWBARS--Table of Contents




Sec.
232.0  Applicability and penalties.
232.1  Power brakes; minimum percentage.
232.2  Drawbars; standard height.
232.3  Power brakes and appliances for operating power-brake systems.

  Rules for Inspection, Testing and Maintenance of Air Brake Equipment

232.10  General rules; locomotives.
232.11  Train air brake system tests.
232.12  Initial terminal road train air brake tests.
232.13  Road train and intermediate terminal train air brake tests.
232.14  Inbound brake equipment inspection.
232.15  Double heading and helper service.
232.16  Running tests.
232.17  Freight and passenger train car brakes.
232.19  Design standards for one-way end-of-train devices.
232.21  Design and performance standards for two-way end-of-train 
          devices.
232.23  Operations requiring use of two-way end-of-train devices; 
          prohibition on purchase of nonconforming devices.
232.25   Inspection and testing of end-of-train devices.

Appendix A to Part 232--Schedule of Civil Penalties
Appendix B to Part 232--Specifications and Requirements for Power Brakes 
          and Appliances for Operating Power-Brake Systems for Freight 
          Service

    Authority: 49 U.S.C. 20102-03, 20133, 20141, 20301-03, 20306, 21301-
02, 21304; 49 CFR 1.49 (c), (m).

    Source: 33 FR 19679, Dec. 25, 1968, unless otherwise noted.



Sec. 232.0  Applicability and penalties.

    (a) Except as provided in paragraphs (b) and (c) of this section, 
this part applies to all standard gage railroads.
    (b) This part does not apply to:
    (1) A railroad that operates only on track inside an installation 
which is not part of the general railroad system of transportation; or
    (2) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation.
    (c) Except for Secs. 232.2 and 232.21 through 232.25, this part does 
not apply to a ``passenger train'' or ``passenger equipment'' as defined 
in Sec. 238.5 of this chapter that is subject to the inspection and 
testing requirements contained in part 238 of this chapter.
    (d) As used in this part, carrier means ``railroad,'' as that term 
is defined below.
    (e) Railroad means all forms of non-highway ground transportation 
that run on rails or electromagnetic guideways, including (1) commuter 
or other short-haul rail passenger service in a metropolitan or suburban 
area, and (2) high speed ground transportation systems that connect 
metropolitan areas, without regard to whether they use new technologies 
not associated with traditional railroads. Such term does not include 
rapid transit operations within an urban area that are not connected to 
the general railroad system of transportation.
    (f) Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least

[[Page 371]]

$500 and not more than $11,000 per violation, except that: Penalties may 
be assessed against individuals only for willful violations, and, where 
a grossly negligent violation or a pattern of repeated violations has 
created an imminent hazard of death or injury to persons, or has caused 
death or injury, a penalty not to exceed $22,000 per violation may be 
assessed. Each day a violation continues shall constitute a separate 
offense.

[54 FR 33230, Aug. 14, 1989, as amended at 63 FR 11623, Mar. 10, 1998; 
64 FR 25660, May 12, 1999]



Sec. 232.1  Power brakes; minimum percentage.

    On and after September 1, 1910, on all railroads used in interstate 
commerce, whenever, as required by the Safety Appliance Act as amended 
March 2, 1903, any train is operated with power or train brakes, not 
less than 85 percent of the cars of such train shall have their brakes 
used and operated by the engineer of the locomotive drawing such train, 
and all power-brake cars in every such train which are associated 
together with the 85 percent shall have their brakes so used and 
operated.



Sec. 232.2  Drawbars; standard height.

    Except on cars specified in the proviso in section 6 of the Safety 
Appliance Act of March 2, 1893 (sec. 6, 27 Stat. 532, 45 U.S.C. 6) as 
the same was amended April 1, 1896 (29 Stat. 85; 45 U.S.C. 6) the 
standard height of drawbars heretofore designated in compliance with law 
is hereby modified and changed in the manner hereinafter prescribed, to 
wit: The maximum height of drawbars for freight cars measured 
perpendicularly from the level of the tops of rails to the centers of 
drawbars for standard-gauge railroads in the United States subject to 
said act shall be 34\1/2\ inches, and the minimum height of drawbars for 
freight cars on such standard-gauge railroads measured in the same 
manner shall be 31\1/2\ inches, and on narrow-gauge railroads in the 
United States subject to said act the maximum height of drawbars for 
freight cars measured from the level of the tops of rails to the centers 
of drawbars shall be 26 inches, and the minimum height of drawbars for 
freight cars on such narrow-gauge railroads measured in the same manner 
shall be 23 inches, and on 2-foot-gauge railroads in the United States 
subject to said act the maximum height of drawbars for freight cars 
measured from the level of the tops of rails to the centers of drawbars 
shall be 17\1/2\ inches, and the minimum height of drawbars for freight 
cars on such 2-foot-gauge railroads measured in the same manner shall be 
14\1/2\ inches.



Sec. 232.3  Power brakes and appliances for operating power-brake systems.

    (a) The specifications and requirement for power brakes and 
appliances for operating power-brake systems for freight service set 
forth in the appendix to the report on further hearing, of May 30, 1945, 
are hereby adopted and prescribed. (See appendix to this part for order 
in Docket 13528.)
    (b) [Reserved]

  Rules for Inspection, Testing and Maintenance of Air Brake Equipment



Sec. 232.10  General rules; locomotives.

    (a) Air brake and hand brake equipment on locomotives including 
tender must be inspected and maintained in accordance with the 
requirements of the Locomotive Inspection and United States Safety 
Appliance Acts and related orders and regulations of the Federal 
Railroad Administrator (FRA).
    (b) It must be known that air brake equipment on locomotives is in a 
safe and suitable condition for service.
    (c) Compressor or compressors must be tested for capacity by orifice 
test as often as conditions require but not less frequently than 
required by law and orders of the FRA.
    (d) Main reservoirs shall be subjected to tests periodically as 
required by law and orders of the FRA.
    (e) Air guages must be tested periodically as required by law and 
orders of the FRA, and whenever any irregularity is reported. They shall 
be compared with an accurate deadweight tester, or test gauge. Gauges 
found inaccurate or defective must be repaired or replaced.
    (f)(1) All operating portions of air brake equipment together with 
dirt collectors and filters must be cleaned,

[[Page 372]]

repaired and tested as often as conditions require to maintain them in a 
safe and suitable condition for service, and not less frequently than 
required by law and orders of the FRA.
    (2) On locomotives so equipped, hand brakes, parts, and connections 
must be inspected, and necessary repairs made as often as the service 
requires, with date being suitably stencilled or tagged.
    (g) The date of testing or cleaning of air brake equipment and the 
initials of the shop or station at which the work was done shall be 
placed on a card displayed under transparent covering in the cab of each 
locomotive unit.
    (h)(1) Minimum brake cylinder piston travel must be sufficient to 
provide proper brake shoe clearance when brakes are released.
    (2) Maximum brake cylinder piston travel when locomotive is standing 
must not exceed the following:

------------------------------------------------------------------------
                                                                Inches
------------------------------------------------------------------------
Steam locomotives:
  Cam type of driving wheel brake...........................      3\1/2\
  Other types of driving wheel brakes.......................           6
  Engine truck brake........................................           8
  Engine trailer truck brake................................           8
  Tender brake (truck mounted and tender bed mounted).......           8
  Tender brake (body mounted)...............................           9
Locomotives other than steam:
  Driving wheel brake.......................................           6
  Swivel type truck brake with brakes on more than one truck           7
   operated by one brake cylinder...........................
  Swivel type truck brake equipped with one brake cylinder..           8
  Swivel type truck brake equipped with two or more brake              6
   cylinders................................................
------------------------------------------------------------------------

    (i)(1) Foundation brake rigging, and safety supports, where used, 
must be maintained in a safe and suitable condition for service. Levers, 
rods, brake beams, hangars and pins must be of ample strength and must 
not bind or foul in any way that will affect proper operation of brakes. 
All pins must be properly applied and secured in place with suitable 
locking devices. Brake shoes must be properly applied and kept 
approximately in line with treads of wheels or other braking surfaces.
    (2) No part of the foundation brake rigging and safety supports 
shall be closer to the rails than specified by law and orders of the 
FRA.
    (j)(1) Main reservoir leakage: Leakage from main air reservoir and 
related piping shall not exceed an average of 3 pounds per minute in a 
test of three minutes' duration, made after the pressure has been 
reduced 40 percent below maximum pressure.
    (2) Brake pipe leakage: Brake pipe leakage must not exceed 5 pounds 
per minute after a reduction of 10 pounds has been made from brake pipe 
air pressure of not less than 70 pounds.
    (3) Brake cylinder leakage: With a full service application of 
brakes, and with communication to the brake cylinders closed, brakes 
must remain applied not less than five minutes.
    (4) The main reservoir system of each unit shall be equipped with at 
least one safety valve, the capacity of which shall be sufficient to 
prevent an accumulation of pressure of more than 10 pounds per square 
inch above the maximum setting of the compressor governor fixed by the 
chief mechanical officer of the carrier operating the locomotive.
    (5) A suitable governor shall be provided that will stop and start 
the air compressor within 5 pounds above or below the pressures fixed.
    (6) Compressor governor when used in connection with the automatic 
air brake system shall be so adjusted that the compressor will start 
when the main reservoir pressure is not less than 15 pounds above the 
maximum brake-pipe pressure fixed by the rules of the carrier and will 
not stop the compressor until the reservoir pressure has increased not 
less than 10 pounds.
    (k) The communicating signal system on locomotives when used in 
passenger service must be tested and known to be in a safe and suitable 
condition for service before each trip.
    (l) Enginemen when taking charge of locomotives must know that the 
brakes are in operative condition.
    (m) In freezing weather drain cocks on air compressors of steam 
locomotives must be left open while compressors are shut off.
    (n) Air pressure regulating devices must be adjusted for the 
following pressures:

------------------------------------------------------------------------
                         Locomotives                            Pounds
------------------------------------------------------------------------
(1) Minimum brake pipe air pressure:
  Road Service..............................................          70
  Switch Service............................................          60

[[Page 373]]

 
(2) Minimum differential between brake pipe and main                  15
 reservoir air pressures, with brake valve in running
 position...................................................
(3) Safety valve for straight air brake.....................       30-55
(4) Safety valve for LT, ET, No. 8-EL, No. 14 El, No. 6-DS,        30-68
 No. 6-BL and No. 6-SL equipment............................
(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                  50
 (minimum full application pressure)........................
(8) Self-lapping portion for independent air brake (full           30-50
 application pressure)......................................
(9) Reducing valve for air signal...........................       40-60
(10) Reducing valve for high-speed brake (minimum)..........          50
------------------------------------------------------------------------


------------------------------------------------------------------------
                            Cars                                Pounds
------------------------------------------------------------------------
(11) Reducing valve for high-speed brake....................       58-62
(12) Safety valve for PS, LN, UC, AML, AMU and AB-1-B air          58-62
 brakes.....................................................
(13) Safety valve for HSC air brake.........................       58-77
(14) Governor valve for water raising system................          60
(15) Reducing valve for water raising system................       20-30
------------------------------------------------------------------------



Sec. 232.11  Train air brake system tests.

    (a) Supervisors are jointly responsible with inspectors, enginemen 
and trainmen for condition of air brake and air signal equipment on 
motive power and cars to the extent that it is possible to detect 
defective equipment by required air tests.
    (b) Communicating signal system on passenger equipment trains must 
be tested and known to be in a suitable condition for service before 
leaving terminal.
    (c) Each train must have the air brakes in effective operating 
condition, and at no time shall the number and location of operative air 
brakes be less than permitted by Federal requirements. When piston 
travel is in excess of 10\1/2\ inches, the air brake cannot be 
considered in effective operating condition.
    (d) Condensation must be blown from the pipe from which air is taken 
before connecting yard line or motive power to train.

[33 FR 19679, Dec. 25, 1968, as amended at 47 FR 36794, Aug. 23, 1982]



Sec. 232.12  Initial terminal road train airbrake tests.

    (a)(1) Each train must be inspected and tested as specified in this 
section by a qualified person at points--
    (i) Where the train is originally made up (initial terminal);
    (ii) Where train consist is changed, other than by adding or 
removing a solid block of cars, and the train brake system remains 
charged; and
    (iii) Where the train is received in interchange if the train 
consist is changed other than by--
    (A) Removing a solid block of cars from the head end or rear end of 
the train;
    (B) Changing motive power;
    (C) Removing or changing the caboose; or
    (D) Any combination of the changes listed in (A), (B), and (C) of 
this subparagraph.

Where a carman is to perform the inspection and test under existing or 
future collective bargaining agreement, in those circumstances a carman 
alone will be considered a qualified person.
    (2) A qualified person participating in the test and inspection or 
who has knowledge that it was made shall notify the engineer that the 
initial terminal road train air brake test has been satisfactorily 
performed. The qualified person shall provide the notification in 
writing if the road crew will report for duty after the qualified person 
goes off duty. The qualified person also shall provide the notification 
in writing if the train that has been inspected is to be moved in excess 
of 500 miles without being subjected to another test pursuant to either 
this section or Sec. 232.13 of this part.

(Approved by the Office of Management and Budget under OMB control 
number 2130-0008)
    (b) Each carrier shall designate additional inspection points not 
more than 1,000 miles apart where intermediate inspection will be made 
to determine that--
    (1) Brake pipe pressure leakage does not exceed five pounds per 
minute;
    (2) Brakes apply on each car in response to a 20-pound service brake 
pipe pressure reduction; and
    (3) Brake rigging is properly secured and does not bind or foul.
    (c) Train airbrake system must be charged to required air pressure, 
angle cocks and cutout cocks must be properly positioned, air hose must 
be properly coupled and must be in condition for service. An examination 
must be

[[Page 374]]

made for leaks and necessary repairs made to reduce leakage to a 
minimum. Retaining valves and retaining valve pipes must be inspected 
and known to be in condition for service. If train is to be operated in 
electropneumatic brake operation, brake circuit cables must be properly 
connected.
    (d)(1) After the airbrake system on a freight train is charged to 
within 15 pounds of the setting of the feed valve on the locomotive, but 
to not less than 60 pounds, as indicated by an accurate gauge at rear 
end of train, and on a passenger train when charged to not less than 70 
pounds, and upon receiving the signal to apply brakes for test, a 15-
pound brake pipe service reduction must be made in automatic brake 
operations, the brake valve lapped, and the number of pounds of brake 
pipe leakage per minute noted as indicated by brake pipe guage, after 
which brake pipe reduction must be increased to full service. Inspection 
of the train brakes must be made to determine that angle cocks are 
properly positioned, that the brakes are applied on each car, that 
piston travel is correct, that brake rigging does not bind or foul, and 
that all parts of the brake equipment are properly secured. When this 
inspection has been completed, the release signal must be given and 
brakes released and each brake inspected to see that all have released.
    (2) When a passenger train is to be operated in electropneumatic 
brake operation and after completion of test of brakes as prescribed by 
paragraph (d)(1) of this section the brake system must be recharged to 
not less than 90 pounds air pressure, and upon receiving the signal to 
apply brakes for test, a minimum 20 pounds electropneumatic brake 
application must be made as indicated by the brake cylinder gage. 
Inspection of the train brakes must then be made to determine if brakes 
are applied on each car. When this inspection has been completed, the 
release signal must be given and brakes released and each brake 
inspected to see that all have released.
    (3) When the locomotive used to haul the train is provided with 
means for maintaining brake pipe pressure at a constant level during 
service application of the train brakes, this feature must be cut out 
during train airbrake tests.
    (e) Brake pipe leakage must not exceed 5 pounds per minute.
    (f)(1) At initial terminal piston travel of body-mounted brake 
cylinders which is less than 7 inches or more than 9 inches must be 
adjusted to nominally 7 inches.
    (2) Minimum brake cylinder piston travel of truck-mounted brake 
cylinders must be sufficient to provide proper brake shoe clearance when 
brakes are released. Maximum piston travel must not exceed 6 inches.
    (3) Piston travel of brake cylinders on freight cars equipped with 
other than standard single capacity brake, must be adjusted as indicated 
on badge plate or stenciling on car located in a conspicuous place near 
brake cylinder.
    (g) When test of airbrakes has been completed the engineman and 
conductor must be advised that train is in proper condition to proceed.
    (h) During standing test, brakes must not be applied or released 
until proper signal is given.
    (i)(1) When train airbrake system is tested from a yard test plant, 
an engineer's brake valve or a suitable test device must be used to 
provide increase and reduction of brake pipe air pressure or 
electropneumatic brake application and release at the same or a slower 
rate as with engineer's brake valve and yard test plant must be 
connected to the end which will be nearest to the hauling road 
locomotive.
    (2) When yard test plant is used, the train airbrakes system must be 
charged and tested as prescribed by paragraphs (c) to (g) of this 
section inclusive, and when practicable should be kept charged until 
road motive power is coupled to train, after which, an automatic brake 
application and release test of airbrakes on rear car must be made. If 
train is to be operated in electropneumatic brake operation, this test 
must also be made in electropneumatic brake operation before proceeding.
    (3) If after testing the brakes as prescribed in paragraph (i)(2) of 
this section the train is not kept charged until road motive power is 
attached, the brakes must be tested as prescribed by paragraph (d)(1) of 
this section and if

[[Page 375]]

train is to be operated in electropneumatic brake operation as 
prescribed by paragraph (d)(2) of this section.
    (j) Before adjusting piston travel or working on brake rigging, 
cutout cock in brake pipe branch must be closed and air reservoirs must 
be drained. When cutout cocks are provided in brake cylinder pipes, 
these cutout cocks only may be closed and air reservoirs need not be 
drained.

(49 CFR 1.49(c))

[37 FR 12236, June 21, 1972, as amended at 47 FR 36795, Aug. 23, 1982; 
47 FR 40807, Sept. 16, 1982]



Sec. 232.13  Road train and intermediate terminal train air brake tests.

    (a) Passenger trains. Before motive power is detached or angle cocks 
are closed on a passenger train operated in either automatic or electro-
pneumatic brake operation, except when closing angle cocks for cutting 
off one or more cars from the rear end of train, automatic air brake 
must be applied. After recouping, brake system must be recharged to 
required air pressure and before proceeding and upon receipt of proper 
request or signal, application and release tests of brakes on rear car 
must be made from locomotive in automatic brake operation. If train is 
to be operated in electro-pneumatic brake operation, this test must also 
be made in electro-pneumatic brake operation before proceeding. 
Inspector or trainman must determine if brakes on rear car of train 
properly apply and release.
    (b) Freight trains. Before motive power is detached or angle cocks 
are closed on a freight train, brakes must be applied with not less than 
a 20-pound brake pipe reduction. After recoupling, and after angle cocks 
are opened, it must be known that brake pipe air pressure is being 
restored as indicated by a rear car gauge or device. In the absence of a 
rear car gauge or device, an air brake test must be made to determine 
that the brakes on the rear car apply and release.
    (c)(1) At a point other than an initial terminal where a locomotive 
or caboose is changed, or where one or more consecutive cars are cut off 
from the rear end or head end of a train with the consist otherwise 
remaining intact, after the train brake system is charged to within 15 
pounds of the feed valve setting on the locomotive, but not less than 60 
pounds as indicated at the rear of a freight train and 70 pounds on a 
passenger train, a 20-pound brake pipe reduction must be made and it 
must be determined that the brakes on the rear car apply and release. As 
an alternative to the rear car brake application and release test, it 
shall be determined that brake pipe pressure of the train is being 
reduced as indicated by a rear car gauge or device and then that brake 
pipe pressure of the train is being restored as indicated by a rear car 
gauge or device.
    (2) Before proceeding it must be known that brake pipe pressure as 
indicated at rear of freight train is being restored.
    (3) On trains operating with electro-pneumatic brakes, with brake 
system charged to not less than 70 pounds, test must be made to 
determine that rear brakes apply and release properly from a minimum 20 
pounds electro-pneumatic brake application as indicated by brake 
cylinder gauge.
    (d)(1) At a point other than a terminal where one or more cars are 
added to a train, after the train brake system is charged to not less 
than 60 pounds as indicated by a gauge or device at the rear of a 
freight train and 70 pounds on a passenger train, a brake test must be 
made to determine that brake pipe leakage does not exceed five (5) 
pounds per minute as indicated by the brake pipe gauge after a 20-pound 
brake pipe reduction. After this test is completed, it must be 
determined that the brakes on each of these cars and on the rear car of 
the train apply and release. As an alternative to the rear car brake 
application and release portion of the test, it shall be determined that 
brake pipe pressure of the train is being reduced as indicated by a rear 
car gauge or device and then that brake pipe pressure of the train is 
being restored as indicated by a rear car gauge or device. Cars added to 
a train that have not been inspected in accordance with Sec. 232.12 (c) 
through (j) must be so inspected and tested at the next terminal where 
facilities are available for such attention.

[[Page 376]]

    (2)(i) At a terminal where a solid block of cars, which has been 
previously charged and tested as prescribed by Sec. 232.13 (c) through 
(j), is added to a train, it must be determined that the brakes on the 
rear car of the train apply and release. As an alternative to the rear 
car application and release test, it shall be determined that brake pipe 
pressure of the train is being reduced as indicated by a rear car gauge 
or device and then that brake pipe pressure of the train is being 
restored as indicated by a rear car gauge or device.
    (ii) When cars which have not been previously charged and tested as 
prescribed by Sec. 232.12 (c) through (j) are added to a train, such 
cars may either be given inspection and tests in accordance with 
Sec. 232.12 (c) through (j), or tested as prescribed by paragraph (d)(1) 
of this section prior to departure in which case these cars must be 
inspected and tested in accordance with Sec. 232.12 (c) through (j) at 
next terminal.
    (3) Before proceeding it must be known that the brake pipe pressure 
at the rear of freight train is being restored.
    (e)(1) Transfer train and yard train movements not exceeding 20 
miles, must have the air brake hose coupled between all cars, and after 
the brake system is charged to not less than 60 pounds, a 15 pound 
service brake pipe reduction must be made to determine that the brakes 
are applied on each car before releasing and proceeding.
    (2) Transfer train and yard train movements exceeding 20 miles must 
have brake inspection in accordance with Sec. 232.12 (c)-(j).
    (f) The automatic air brake must not be depended upon to hold a 
locomotive, cars or train, when standing on a grade, whether locomotive 
is attached or detached from cars or train. When required, a sufficient 
number of hand brakes must be applied to hold train, before air brakes 
are released. When ready to start, hand brakes must not be released 
until it is known that the air brake system is properly charged.
    (g) As used in this section, device means a system of components 
designed and inspected in accordance with Sec. 232.19.
    (h) When a device is used to comply with any test requirement in 
this section, the phrase brake pipe pressure of the train is being 
reduced means a pressure reduction of at least five pounds and the 
phrase brake pipe pressure of the train is being restored means a 
pressure increase of at least five pounds.

[33 FR 19679, Dec. 25, 1968, as amended at 37 FR 12237, June 21, 1972; 
51 FR 17303, May 9, 1986]



Sec. 232.14  Inbound brake equipment inspection.

    (a) At points where inspectors are employed to make a general 
inspection of trains upon arrival at terminals, visual inspection must 
be made of retaining valves and retaining valve pipes, release valves 
and rods, brake rigging, safety supports, hand brakes, hose and position 
of angle cocks and make necessary repairs or mark for repair tracks any 
cars to which yard repairs cannot be promptly made.
    (b) Freight trains arriving at terminals where facilities are 
available and at which special instructions provide for immediate brake 
inspection and repairs, shall be left with air brakes applied by a 
service brake pipe reduction of 20 pounds so that inspectors can obtain 
a proper check of the piston travel. Trainmen will not close any angle 
cock or cut the locomotive off until the 20 pound service reduction has 
been made. Inspection of the brakes and needed repairs should be made as 
soon thereafter as practicable.



Sec. 232.15  Double heading and helper service.

    (a) When more than one locomotive is attached to a train, the 
engineman of the leading locomotive shall operate the brakes. On all 
other motive power units in the train the brake pipe cutout cock to the 
brake valve must be closed, the maximum main reservoir pressure 
maintained and brake valve handles kept in the prescribed position. In 
case it becomes necessary for the leading locomotive to give up control 
of the train short of the destination of the train, a test of the brakes 
must be made to see that the brakes are operative from the automatic 
brake valve of the locomotive taking control of the train.

[[Page 377]]

    (b) The electro-pneumatic brake valve on all motive power units 
other than that which is handling the train must be cut out, handle of 
brake valve kept in the prescribed position, and air compressors kept 
running if practicable.



Sec. 232.16  Running tests.

    When motive power, engine crew or train crew has been changed, angle 
cocks have been closed except for cutting off one or more cars from the 
rear end of train or electro-pneumatic brake circuit cables between 
power units and/or cars have been disconnected, running test of train 
air brakes on passenger train must be made, as soon as speed of train 
permits, by use of automatic brake if operating in automatic brake 
operation or by use of electro-pneumatic brake if operating in electro-
pneumatic brake operation. Steam or power must not be shut off unless 
required and running test must be made by applying train air brakes with 
sufficient force to ascertain whether or not brakes are operating 
properly. If air brakes do not properly operate, train must be stopped, 
cause of failure ascertained and corrected and running test repeated.



Sec. 232.17  Freight and passenger train car brakes.

    (a) Testing and repairing brakes on cars while on shop or repair 
tracks. (1) When a freight car having brake equipment due for periodic 
attention is on shop or repair tracks where facilities are available for 
making air brake repairs, brake equipment must be given attention in 
accordance with the requirements of the currently effective AAR Code of 
Rules for cars in interchange. Brake equipment shall then be tested by 
use of a single car testing device as prescribed by the currently 
effective AAR Code of Tests.
    (2)(i) When a freight car having an air brake defect is on a shop or 
repair track, brake equipment must be tested by use of a single car 
testing device as prescribed by currently effective AAR Code of Tests.
    (ii) All freight cars on shop or repair tracks shall be tested to 
determine that the air brakes apply and release. Piston travel on a 
standard body mounted brake cylinder which is less than 7 inches or more 
than 9 inches must be adjusted to nominally 7 inches. Piston travel of 
brake cylinders on all freight cars equipped with other than standard 
single capacity brake, must be adjusted as indicated on badge plate or 
stenciling on car located in a conspicuous place near brake cylinder. 
After piston travel has been adjusted and with brakes released, 
sufficient brake shoe clearance must be provided.
    (iii) When a car is equipped for use in passenger train service not 
due for periodical air brake repairs, as indicated by stenciled or 
recorded cleaning dates, is on shop or repair tracks, brake equipment 
must be tested by use of single car testing device as prescribed by 
currently effective AAR Code of Tests. Piston travel of brake cylinders 
must be adjusted if required, to the standard travel for that type of 
brake cylinder. After piston travel has been adjusted and with brakes 
released, sufficient brake shoe clearance must be provided.
    (iv) Before a car is released from a shop or 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 supports and supports securely attached to car.
    (b)(1) Brake equipment on cars other than passenger cars must be 
cleaned, repaired, lubricated and tested as often as required to 
maintain it in a safe and suitable condition for service but not less 
frequently than as required by currently effective AAR Code of Rules for 
cars in interchange.
    (2) Brake equipment on passenger cars must be clean, repaired, 
lubricated and tested as often as necessary to maintain it in a safe and 
suitable condition for service but not less frequently than as required 
in Standard S-045 in the Manual of Standards and Recommended Practices 
of the AAR.
    (3) Copies of the materials referred to in this section can be 
obtained from the Association of American Railroads,

[[Page 378]]

1920 L Street, NW., Washington, DC 20036.

(72 Stat. 86 (45 U.S.C. 9); sec. 6 (e), (f), 80 Stat. 939 (49 U.S.C. 
1655); and sec. 1.49(c) of the regulations of the Office of the 
Secretary of Transportation, 49 CFR 1.49(c))

[47 FR 36795, Aug. 23, 1982, as amended at 49 FR 1988, Jan. 17, 1984]



Sec. 232.19  Design standards for one-way end-of-train devices.

    (a) A one-way end-of-train device shall be comprised of a rear-of-
train unit (rear unit) located on the last car of a train and a front-
of-train unit (front unit) located in the cab of the locomotive 
controlling the train.
    (b) Rear unit. The rear unit shall be capable of determining the 
rear car brake pipe pressure and transmitting that information to the 
front unit for display to the locomotive engineer. The rear unit shall 
be--
    (1) Capable of measuring the rear car brake pipe pressure with an 
accuracy of 3 psig and brake pipe pressure variations of 
1 psig;
    (2) Equipped with a ``bleeder valve'' that permits the release of 
any air under pressure from the rear of train unit or the associated air 
hoses prior to detaching the rear unit from the brake pipe;
    (3) Designed so that an internal failure will not cause an undesired 
emergency brake application;
    (4) Equipped with either an air gauge or a means of visually 
displaying the rear unit's brake pipe pressure measurement; and
    (5) Equipped with a pressure relief safety valve to prevent 
explosion from a high pressure air leak inside the rear unit.
    (c) Reporting rate. Multiple data transmissions from the rear unit 
shall occur immediately after a variation in the rear car brake pipe 
pressure of 2 psig and at intervals of not greater than 70 
seconds when the rear car brake pipe pressure variation over the 70-
second interval is less than 2 psig.
    (d) Operating environment. The rear unit shall be designed to meet 
the performance requirements of paragraphs (b) and (c) of this section 
under the following environmental conditions:
    (1) At temperatures from -40  deg. C to 60  deg. C;
    (2) At a relative humidity of 95% noncondensing at 50  deg. C;
    (3) At altitudes of zero to 12,000 feet mean sea level;
    (4) During vertical and lateral vibrations of 1 to 15 Hz., with 0.5 
g. peak to peak, and 15 to 500 Hz., with 5 g. peak to peak;
    (5) During the longitudinal vibrations of 1 to 15 Hz., with 3 g. 
peak to peak, and 15 to 500 Hz., with 5 g. peak to peak; and
    (6) During a shock of 10 g. peak for 0.1 second in any axis.
    (e) Unique code. Each rear unit shall have a unique and permanent 
identification code that is transmitted along with the pressure message 
to the front-of-train unit. A code obtained from the Association of 
American Railroads, 50 F Street, NW., Washington, DC 20036 shall be 
deemed to be a unique code for purposes of this section. A unique code 
also may be obtained from the Office of Safety Enforcement (RRS-10), 
Federal Railroad Administration, Washington, DC 20590.
    (f) Front unit. (1) The front unit shall be designed to receive data 
messages from the rear unit and shall be capable of displaying the rear 
car brake pipe pressure in not more than one-pound increments.
    (2) The display shall be clearly visible and legible in daylight and 
darkness from the engineer's normal operating position.
    (3) The front device shall have a means for entry of the unique 
identification code of the rear unit being used. The front unit shall be 
designed so that it will display a message only from the rear unit with 
the same code as entered into the front unit.
    (4) The front unit shall be designed to meet the requirements of 
232.19(d) (2), (3), (4), and (5). It shall also be designed to meet the 
performance requirements in this paragraph--
    (i) At temperatures from 0 deg. C to 60 deg. C;
    (ii) During a vertical or lateral shock of 2 g. peak for 0.1 second; 
and
    (iii) During a longitudinal shock of 5 g. peak for 0.1 second.
    (g) Radio equipment. (1) The radio transmitter in the rear unit and 
the radio receiver in the front unit shall comply with the applicable 
regulatory requirements of the FCC and use of a

[[Page 379]]

transmission format acceptable to the FCC.
    (2) If power is supplied by one or more batteries, the operating 
life shall be a minimum of 36 hours at 0 deg. C.

[51 FR 17303, May 9, 1986, as amended at 62 FR 294, Jan. 2, 1997]



Sec. 232.21  Design and performance standards for two-way end-of-train devices.

    Two-way end-of-train devices shall be designed and perform with the 
features applicable to one-way end-of-train devices described in 
Sec. 232.19, except those included in Sec. 232.19(b)(3). In addition, a 
two-way end-of-train device shall be designed and perform with the 
following features:
    (a) An emergency brake application command from the front unit of 
the device shall activate the emergency air valve at the rear of the 
train within one second.
    (b) The rear unit of the device shall send an acknowledgment message 
to the front unit immediately upon receipt of an emergency brake 
application command. The front unit shall listen for this acknowledgment 
and repeat the brake application command if the acknowledgment is not 
correctly received.
    (c) The rear unit, on receipt of a properly coded command, shall 
open a valve in the brake line and hold it open for a minimum of 15 
seconds. This opening of the valve shall cause the brake line to vent to 
the exterior.
    (d) The valve opening and hose shall have a minimum diameter of \3/
4\ inch to effect an emergency brake application.
    (e) The front unit shall have a manually operated switch which, when 
activated, shall initiate an emergency brake transmission command to the 
rear unit. The switch shall be labeled ``Emergency'' and shall be 
protected so that there will exist no possibility of accidental 
activation.
    (f) The availability of the front-to-rear communications link shall 
be checked automatically at least every 10 minutes.
    (g) Means shall be provided to confirm the availability and proper 
functioning of the emergency valve.
    (h) Means shall be provided to arm the front and rear units to 
ensure the rear unit responds to an emergency command only from a 
properly associated front unit.

[62 FR 294, Jan. 2, 1997]



Sec. 232.23  Operations requiring use of two-way end-of-train devices; prohibition on purchase of nonconforming devices.

    (a) The following definitions are intended solely for the purpose of 
identifying those operations subject to the requirements for the use of 
two-way end-of-train devices.
    (1) Heavy grade means:
    (i) For a train operating with 4,000 trailing tons or less, a 
section of track with an average grade of two percent or greater over a 
distance of two continuous miles; and
    (ii) For a train operating with greater than 4,000 trailing tons, a 
section of track with an average grade of one percent or greater over a 
distance of three continuous miles.
    (2) Train means one or more locomotives coupled with one or more 
rail cars, except during switching operations or where the operation is 
that of classifying cars within a railroad yard for the purpose of 
making or breaking up trains.
    (3) Local train means a train assigned to perform switching en route 
which operates with 4,000 trailing tons or less and travels between a 
point of origin and a point of final destination, for a distance that is 
no greater than that which can normally be operated by a single crew in 
a single tour of duty.
    (4) Work train means a non-revenue service train of 4,000 trailing 
tons or less used for the administration and upkeep service of the 
railroad.
    (5) Trailing tons means the sum of the gross weights--expressed in 
tons--of the cars and the locomotives in a train that are not providing 
propelling power to the train.
    (b) All trains not specifically excepted in paragraph (e) of this 
section shall be equipped with and shall use either a two-way end-of-
train device meeting the design and performance requirements contained 
in Sec. 232.21 or a device using an alternative technology to perform 
the same function.
    (c) Each newly manufactured end-of-train device purchased by a 
railroad

[[Page 380]]

after (one year from date of publication) shall be a two-way end-of-
train device meeting the design and performance requirements contained 
in Sec. 232.21 or a device using an alternative technology to perform 
the same function.
    (d) Each two-way end-of-train device purchased by any person prior 
to promulgation of these regulations shall be deemed to meet the design 
and performance requirements contained in Sec. 232.21.
    (e) Exceptions. The following types of trains are excepted from the 
requirement for the use of a two-way end-of-train device:
    (1) Trains with a locomotive capable of making an emergency brake 
application, through a command effected by telemetry or by a crew member 
in radio contact with the lead (controlling) locomotive, located in the 
rear third of the train length;
    (2) Trains operating in the push mode with the ability to effectuate 
an emergency brake application from the rear of the train;
    (3) Trains with an operational caboose placed at the rear of the 
train, carrying one or more crew members, that is equipped with an 
emergency brake valve;
    (4) Trains operating with a secondary, fully independent braking 
system capable of safely stopping the train in the event of failure of 
the primary system;
    (5) Trains that do not operate over heavy grades and do not exceed 
30 mph;
    (6) Local trains as defined in paragraph (a)(3) of this section that 
do not operate over heavy grades;
    (7) Work trains as defined in paragraph (a)(4) of this section that 
do not operate over heavy grades;
    (8) Trains that operate exclusively on track that is not part of the 
general railroad system;
    (9) Passenger trains in which all of the cars in the train are 
equipped with an emergency brake valve readily accessible to a crew 
member;
    (10) Passenger trains that have a car at the rear of the train, 
readily accessible to one or more crew members in radio contact with the 
engineer, that is equipped with an emergency brake valve readily 
accessible to such a crew member; and
    (11) Passenger trains that have twenty-four (24) or fewer cars (not 
including locomotives) in the consist and that are equipped and operated 
in accordance with the following train-configuration and operating 
requirements:
    (i) If the total number of cars in a passenger train consist is 
twelve (12) or fewer, a car located no less than halfway through the 
consist (counting from the first car in the train) must be equipped with 
an emergency brake valve readily accessible to a crew member;
    (ii) If the total number of cars in a passenger train consist is 
thirteen (13) to twenty-four (24), a car located no less than two-thirds 
(\2/3\) of the way through the consist (counting from the first car in 
the train) must be equipped with an emergency brake valve readily 
accessible to a crew member;
    (iii) Prior to descending a section of track with an average grade 
of two percent or greater over a distance of two continuous miles, the 
engineer of the train shall communicate with the conductor, to ensure 
that a member of the crew with a working two-way radio is stationed in 
the car with the rearmost readily accessible emergency brake valve on 
the train when the train begins its descent; and
    (iv) While the train is descending a section of track with an 
average grade of two percent or greater over a distance of two 
continuous miles, a member of the train crew shall occupy the car that 
contains the rearmost readily accessible emergency brake valve on the 
train and be in constant radio communication with the locomotive 
engineer. The crew member shall remain in this car until the train has 
completely traversed the heavy grade.
    (f) If a train is required to use a two-way end-of-train device:
    (1) That device shall be armed and operable from the time a train 
departs from the point where the device is installed until the train 
reaches its destination.
    (2) The rear unit batteries shall be sufficiently charged at the 
initial terminal or other point where the device is installed and 
throughout the train's trip to ensure that the end-of train-device will 
remain operative until the train reaches its destination.

[[Page 381]]

    (g) En route failure of device on a freight or other non-passenger 
train. Except on passenger trains required to be equipped with a two-way 
end-of-train device (which are provided for in paragraph (h) of this 
section), en route failures of a two-way end-of-train device shall be 
handled in accordance with this paragraph. If a two-way end-of-train 
device or equivalent device fails en route (i.e., is unable to initiate 
an emergency brake application from the rear of the train due to certain 
losses of communication or due to other reasons), the speed of the train 
on which it is installed shall be limited to 30 mph until the ability of 
the device to initiate an emergency brake application from the rear of 
the train is restored. This limitation shall apply to a train using any 
device that uses an alternative technology to serve the purpose of a 
two-way end-of-train device. With regard to two-way end-of-train 
devices, a loss of communication between the front and rear units will 
be considered an en route failure only if the loss of communication is 
for a period greater than 16 minutes and 30 seconds.
    (1) If a two-way end-of-train device fails en route, the train on 
which it is installed, in addition to observing the 30-mph speed 
limitation, shall not operate over a section of track with an average 
grade of two percent or greater over a distance of two continuous miles, 
unless one of the following alternative measures is provided:
    (i) Use of an occupied helper locomotive at the end of the train. 
This alternative may be used only if the following requirements are met:
    (A) The helper locomotive engineer will initiate and maintain two-
way voice radio communication with the engineer on the head end of the 
train; this contact shall be verified just prior to passing the crest 
the grade.
    (B) If there is a loss of communication prior to passing the crest 
of the grade, the helper locomotive engineer and the head-end engineer 
shall act immediately to stop the train until voice communication is 
resumed, if this can be done safely.
    (C) If there is a loss of communication once the descent has begun, 
the helper locomotive engineer and the head-end engineer shall act to 
stop the train if the train has reached a predetermined rate of speed 
that indicates the need for emergency braking.
    (D) The brake pipe of the helper locomotive shall be connected and 
cut into the train line and tested to ensure operation.
    (ii) Use of an occupied caboose at the end of the train with a 
tested, functioning brake valve capable of initiating an emergency brake 
application from the caboose. This alternative may be used only if the 
train service employee in the caboose and the engineer on the head end 
of the train establish and maintain two-way voice radio communication 
and respond appropriately to the loss of such communication in the same 
manner as prescribed for helper locomotives in paragraph (g)(1)(i) of 
this section.
    (iii) Use of a radio-controlled locomotive in the rear third of the 
train under continuous control of the engineer in the head end by means 
of telemetry, but only if such radio-controlled locomotive is capable of 
initiating an emergency application on command from the lead 
(controlling) locomotive.
    (2) [Reserved]
    (h) En route failure of device on a passenger train. (1) A passenger 
train required to be equipped with a two-way end-of-train device that 
develops an en route failure of the device (as explained in paragraph 
(g) of this section) shall not operate over a section of track with an 
average grade of two percent or greater over a distance of two 
continuous miles until an operable two-way end-of-train device is 
installed on the train or an alternative method of initiating an 
emergency brake application from the rear of the train is achieved.
    (2) Except as provided in paragraph (h)(1) of this section, a 
passenger train required to be equipped with a two-way end-of-train 
device that develops an en route failure of the device (as explained in 
paragraph (g) of this section) shall be operated in accordance with the 
following:
    (i) A member of the train crew shall be immediately positioned in 
the car which contains the rearmost readily accessible emergency brake 
valve on the train and shall be equipped with an

[[Page 382]]

operable two-way radio that communicates with the locomotive engineer; 
and
    (ii) The locomotive engineer shall periodically make running tests 
of the train's air brakes until the failure is corrected; and
    (3) Each en route failure shall be corrected at the next location 
where the necessary repairs can be conducted or at the next location 
where a required brake test is to be performed, whichever is reached 
first.

[62 FR 294, Jan. 2, 1997, as amended at 63 FR 24134, May 1, 1998]



Sec. 232.25  Inspection and testing of end-of-train devices.

    (a) After each installation of either the front or rear unit of an 
end-of-train device, or both, on a train and before the train departs, 
the railroad shall determine that the identification code entered into 
the front unit is identical to the unique identification code on the 
rear-of-train unit.
    (b) After each installation of either the front or rear unit of an 
end-of-train device, or both, the functional capability of the device 
shall be determined, after charging the train, by comparing the 
quantitative value displayed on the front unit with the quantitative 
value displayed on the rear unit or on a properly calibrated air gauge. 
The end-of-train device shall not be used if the difference between the 
two readings exceeds three pounds per square inch.
    (c) A two-way end-of-train device shall be tested at the initial 
terminal or other point of installation to ensure that the device is 
capable of initiating an emergency power brake application from the rear 
of the train. If this test is conducted by a person other than a member 
of the train crew, the locomotive engineer shall be informed that the 
test was performed.
    (d) The telemetry equipment shall be calibrated for accuracy 
according to the manufacturer's specifications at least every 365 days. 
The date of the last calibration, the location where the calibration was 
made, and the name of the person doing the calibration shall be legibly 
displayed on a weather-resistant sticker or other marking device affixed 
to the outside of both the front unit and the rear unit.

[62 FR 295, Jan. 2, 1997]

         Appendix A to Part 232--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
232.1  Power brakes, minimum percentage.......       $5,000       $7,000
232.2  Drawbars; standard height..............        2,500        5,000
232.3  Power brakes and appliances for                2,500        5,000
 operating power brake systems................
 
Rules for Inspection, Testing and Maintenance
 of Air Brake Equipment:
232.10  General rules--locomotives:
    (b) Air brake equipment not inspected or          2,500        5,000
     tested to assure it is in a safe and
     suitable condition.......................
    (c) Compressor not tested for capacity....        2,500        5,000
    (d) Main reservoir not tested.............        2,500        5,000
    (e) Air gauges not tested; if inaccurate          2,500        5,000
     not repaired or replaced.................
    (f)(1) Operating portion of air brake             2,500        5,000
     equipment, dirt collectors, and filters
     not cleaned, repaired, and tested........
    (2) Hand brakes, parts and connections not        1,000        2,000
     inspected or suitably stenciled..........
    (g) Date of testing or cleaning of air            1,000        2,000
     brake equipment not displayed in the cab.
    (h)(1) Minimum brake cylinder piston              2,500        5,000
     travel insufficient......................
    (2) Maximum brake cylinder piston travel          2,500        5,000
     excessive................................
    (i)(1) Foundation brake rigging, safety           2,500        5,000
     supports and brake shoes.................
    (2) Foundation brake rigging or safety            2,500        5,000
     supports have improper clearance to the
     rails....................................
    (j)(1) Main reservoir leakage.............        2,500        5,000
    (2) Brake pipe leakage....................        2,500        5,000
    (3) Brake cylinder leakage................        2,500        5,000
    (4) Main reservoir safety valve...........        2,500        5,000
    (5) Governor..............................        2,500        5,000
    (6) Compressor governor when used in              2,500        5,000
     connection with automatic air brake
     system...................................
    (k) Communicating signal system on                1,000        2,000
     locomotive...............................
    (l) Enginemen taking charge of locomotive.        2,500        5,000

[[Page 383]]

 
    (m) Drain cocks on air compressors of             2,500        5,000
     steam locomotives........................
    (n) Air pressure regulating devices.......        2,500        5,000
232.11  Train air brake system tests:
    (b) Communicating signal system on                2,500        5,000
     passenger train..........................
    (c) Effective and operative air brakes....        2,500        5,000
    (d) Condensation from yard line or motive         2,500        5,000
     power....................................
232.12  Initial terminal road train air brake
 tests:
    (a) Total failure to perform initial             10,000          (1)
     terminal test............................
    (b) 1,000 mile inspection not performed...        5,000       10,000
    (c)-(j) partial failure to perform initial        2,500        5,000
     terminal test............................
232.13  Road train and intermediate terminal
 train air brake tests:
    (a) Passenger trains: locomotive is               5,000        7,500
     detached.................................
    (b) Freight trains: locomotive is detached        5,000        7,500
    (c)(1) Locomotive or caboose is changed,          5,000        7,500
     or one or more cars are cut off from the
     rear end or head end.....................
    (2) Brake pipe pressure restored..........        5,000        7,500
    (3) Electropneumatic application and              5,000        7,500
     release test.............................
    (d)(1) Cars are added at a point other            5,000        7,500
     than a terminal..........................
    (2)(i) Cars added at a terminal and have          5,000        7,500
     not been charged and tested..............
    (ii) Cars added at a terminal and have not        5,000        7,500
     been charged and tested..................
    (3) Brake pipe pressure restored at the           5,000        7,500
     rear of freight train....................
    (e)(1) Transfer train and yard train              2,500        5,000
     movements................................
    (2) Transfer train and yard train                 5,000        7,500
     movements exceeding 20 miles.............
    (f) Locomotives, cars or train standing on        5,000        7,500
     a yard...................................
    (h) Device is used to comply with test            2,500        5,000
     requirement..............................
232.14  Inbound brake equipment inspection:
    (a) Inspection of trains upon arrival at          1,000        2,000
     terminals................................
    (b) Special instructions provide for              1,000        2,000
     immediate brake inspection and repairs...
232.15  Double heading and helper service:
    (a) Engineman of the leading locomotive           5,000        7,500
     shall operate the brakes.................
    (b) Electropneumatic brake valve..........        5,000        7,500
232.16  Running tests.........................        2,500        5,000
232.17  Freight and passenger train car
 brakes:
    (a) Testing and repairing brakes on cars
     while in shop or on repair track:
    (1) Periodic attention on freight car air         5,000        7,500
     brake equipment while car is on repair
     track....................................
        (2)(i) Single car testing of freight          2,500        5,000
         cars.................................
        (ii) Repair track tests of freight            2,500        5,000
         cars.................................
        (iii) Single car testing of freight           2,500        5,000
         cars.................................
        (iv) Car is released from a shop or           2,500        5,000
         repair track.........................
        (b)(1) Brake equipment on cars other          2,500        5,000
         than passenger cars..................
        (2) Brake equipment on passenger cars.        4,000        6,000
232.19  End of train device:
    (a) Location of front unit and rear unit..        2,500        5,000
    (b) Rear unit.............................        2,500        5,000
    (c) Reporting rate........................        2,500        5,000
    (d) Operating environment.................        2,500        5,000
    (e) Unique code...........................        2,500        5,000
    (f) Front unit............................        2,500        5,000
    (g) Radio equipment.......................        2,500        5,000
232.21  Two-way EOTs:
    (a)-(h) Design Standards..................        2,500        5,000
232.23  Operating standards:
    (b) Failure to equip......................        5,000        7,500
    (c) Purchases.............................        2,500        5,000
    (f)(1) Device not armed or operable.......        5,000        7,500
        (2) Insufficient battery charge.......        2,500        5,000
    (g) En route failure, freight or other non-       5,000        7,500
     passenger................................
    (h) En route failure, passenger...........        5,000        7,500
232.25  Inspection and Testing:
    (a) Unique code...........................        2,500        5,000
    (b) Comparing values......................        2,500        5,000
    (c) Test of emergency capability..........        5,000        7,500
    (d) Calibration...........................        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 $22,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.


[53 FR 52934, Dec. 29, 1988, as amended at 62 FR 295, Jan. 2, 1997; 63 
FR 11623, Mar. 10, 1998; 63 FR 24135, May 1, 1998]

[[Page 384]]

Appendix B to Part 232--Specifications and Requirements for Power Brakes 
  and Appliances for Operating Power-Brake Systems for Freight Service

                                 purpose

    The purpose of this specification is to define and prescribe 
requirements for power brakes and appliances for operating powerbrake 
systems.

                               definitions

    For purposes of this specification, terms used herein are defined as 
follows:
    1. Power brake. A combination of parts operated by compressed air 
and controlled manually, pneumatically or electrically, by means of 
which the motion of a car or locomotive is retarded or arrested.
    2. Power-brake system. The power brakes on locomotives and cars of a 
train so interconnected that they can be operated together and by means 
of which the motion of the train is retarded or arrested.
    3. Brake valve. The value of the locomotive equipment by means of 
which operation of the power-brake system is controlled.
    4. Equalizing reservoir. The small reservoir connected to the brake 
valve only, the pressure of which is reduced by the engineer for making 
service applications.
    5. Brake pipe. The line of pipe and hose extending throughout the 
length of the train by means of which compressed air is supplied to the 
brake devices on the several cars and the pressures so controlled as to 
effect the application and release of the brakes.
    6. Operating valve. Device on each car, the operation of which 
result in (a) admission of air to brake cylinder, (b) release of air 
from brake cylinder, and (c) charging of one or more reservoirs.
    7. Service reduction. A decrease in brake-pipe pressure, usually of 
from 5 to 25 pounds, at a rate sufficiently rapid to move the operating 
valve to service position, but at a rate not rapid enough to operate the 
valve to emergency position. Quick service is that feature of the 
operating valve which provides for local reduction of brake-pipe 
pressure.
    8. Service application. A brake application which results from one 
or more service reductions.
    9. Full service reduction. A service reduction sufficient in amount 
to cause equalization of pressure in brake cylinder with pressure in the 
reservoir from which compressed air is supplied to brake cylinder.
    10. Full service application. A brake application which results from 
one or more brake-pipe reductions sufficient in amount to cause a full 
service reduction.
    11. Emergency reduction. A depletion of brake-pipe pressure at a 
rate sufficiently rapid to move the operating valve to emergency 
position.
    12. Emergency application. A brake application which results from an 
emergency reduction.
    13. Emergency brake-cylinder pressure. The force per square inch 
exerted upon piston in brake cylinder by compressed air which is 
admitted to brake cylinder as a result of an emergency reduction. 
Effective emergency brake-cylinder pressure is a pressure not less than 
15 percent nor more than 20 percent greater than the brake-cylinder 
pressure obtained from a full service reduction on the game car and from 
the same initial pressures.

                             specifications

                          General Requirements

    14. The design of the operating valve shall be such as will insure 
efficient and reliable operation, both in its application and release 
functions and when intermingled with other types of power brakes. It 
shall be so constructed that the rate of brake-cylinder pressure 
development may be adjusted to meet such changes in train operating 
conditions as may develop in the future.
    15. The design of the service and emergency valves shall be such as 
to permit their removal for cleaning and repair without disturbing pipe 
joints.
    16. The portions of the car brake which control the brake 
application and release, and also the brake cylinder, shall be 
adequately protected against the entrance of foreign matter.
    17. The apparatus conforming to the requirements of these 
specifications shall be so constructed, installed and maintained as to 
be safe and suitable for service.

                          Service Requirements

    The apparatus shall be so designed and constructed that: (based upon 
70 pounds brake-pipe pressure and train length of 150 cars)
    18. With a service reduction of 5 pounds in the equalizing reservoir 
at the brake valve all brakes will apply.
    19. An initial 5-pound equalizing-reservoir reduction at the brake 
valve will produce substantially 10 pounds brake-cylinder pressure 
throughout the train, including brakes having piston travel in excess of 
8 inches.
    20. With an equalizing-reservoir reduction of 10 pounds, the 
difference in time of obtaining substantially 10 pounds pressure in the 
brake cylinder of the first and one hundred and fiftieth brakes will be 
nominally 20 seconds or less.
    21. A brake-pipe reduction of 10 pounds will result in pressure in 
each brake cylinder of not less than 15 pounds nor more than 25 pounds.

[[Page 385]]

    22. A total brake-pipe reduction of 25 pounds will result in 
equalization of brakecylinder pressure with pressure in the reservoir 
from which compressed air is supplied to the brake cylinder, and brake-
cylinder pressure of not less than 48 pounds nor more than 52 pounds 
will be obtained.
    23. Quick service activity of the train brakes will cease when the 
initial quick service action has been completed.
    24. The quick service feature of the brake will produce 
substantially uniform time of quick service transmission regardless of 
the unavoidable variations in frictional resistance of the parts.
    25. The brake will so function as to prevent a degree of wave action 
in brake-pipe pressure sufficient to cause undesired release of any 
brake while the brakes are being applied.
    26. The degree of stability will be sufficient to prevent undesired 
service application occurring as a result of unavoidable minor 
fluctuations of brake-pipe pressure.
    27. The brake-cylinder pressure increase resulting from quick 
service operation will be less when the brake is reapplied with pressure 
retained in the brake cylinder than with applications made when the 
brake-cylinder pressure is zero.
    28. Undesired quick action will not result with any rate of change 
in brake-pipe pressure which may occur during service application or 
release of the brake.
    29. In the normal release of train brakes, individual car brake will 
not start recharging from the brake pipe until brake-pipe pressure has 
increased sufficiently to have accomplished the release of adjacent 
valves.
    30. The recharge of auxiliary reservoirs in the forward portion of 
the train will be automatically retarded while full release position of 
the brake valve is being used to initiate the release of train brakes.
    31. After a 15-pound service reduction has been made and brake-valve 
exhaust has closed, in a release operation in which brake valve is moved 
to release position and after 15 seconds is moved to running position, 
air operating valves will move to release position within 40 seconds 
after brake valve is placed in release position.
    32. After a 15-pound service reduction has been made and brake-value 
exhaust has closed, in a release operation in which brake valve is moved 
to release position and after 15 seconds is moved to running position, 
brake-pipe pressure at car 150 will be increased 5 pounds within 1\1/2\ 
minutes after brake valve is placed in release position.
    33. The rate of release of pressure from the brake cylinder will be 
nominally 23 seconds from 50 pounds to 5 pounds.

                         Emergency Requirements

    The apparatus shall be so designed and constructed that: (based on 
70 pounds brake-pipe pressure and train length of 150 cars).
    34. Emergency application operation will always be available 
irrespective of the existing state or stage or brake application or 
release.
    35. Emergency application initiated during a release of previous 
brake application will produce a material increase in brake-cylinder 
pressure over that which would result from a full service application 
made under the same conditions.
    36. When operating valve acts in emergency it will so function as to 
develop nominally 15 pounds brake-cylinder pressure in not more than 
1\1/2\ seconds and maximum pressure in nominally 10 seconds.
    37. With an emergency reduction of brake-pipe pressure all brakes, 
including the one hundred and fiftieth, will start to apply within 8.2 
seconds and develop not less than 15 percent nor more than 20 percent in 
excess of 50 pounds brake-cylinder pressure within 18.2 seconds from the 
movement of the brake valve to emergency position.
    38. The operating valve will so function that, when an emergency 
application is made subsequent to a service application which has 
produced not less than 30 pounds brake-cylinder pressure, the maximum 
brake-cylinder pressure will be attained in nominally 4 seconds from the 
beginning of the emergency action of the valve.
    39. Emergency application will produce from a charged system between 
15 and 20 percent increase in brake-cylinder pressure over that which 
results from a full service application and irrespective of any degree 
of prior service application.
    40. With any group of three consecutive brakes cut out, an emergency 
reduction made with the brake valve will cause the remainder of the 
brakes to operate in emergency and produce normal emergency pressures in 
the same time as when all brakes are cut in.
    41. The brake will so function as to accomplish the release of an 
emergency application with the same degree of certainty secured in the 
release of service applications.
    42. When releasing brakes following an emergency application, each 
brake will so function as to decrease the auxiliary-reservoir pressure 
prior to the actual release.
    43. Both service and emergency brake applications will be released 
when the brake-pipe pressure is increased to not more than 1\3/4\ pounds 
above that of the auxiliary reservoir and irrespective of the increased 
frictional resistance to release movement of the piston and slide valves 
after a period of operation in train service.

    Note: Order 13528, as amended, 17 FR 8653, Sept. 30, 1952, provides 
as follows: That said

[[Page 386]]

order of September 21, 1945, as amended, be, and it is hereby, further 
amended so as to require that all said non-interchange cars that may be 
used in transporting revenue freight and all cabooses shall be so 
equipped on or before December 31, 1953, and that all other said non-
interchange cars shall be so equipped on or before December 31, 1954.

    Order 13528 was further amended, 17 FR 8957, Oct. 7, 1952, as 
follows: That the order heretofore entered herein on September 21, 1945, 
as amended, requiring respondents to install power brakes and appliances 
on their cars used in freight service be, and it is hereby, further 
amended so as not to require the installation of such brakes and 
appliances on cars that are used exclusively in switching operations and 
are not used in train movements within the meaning of the Safety 
Appliance Acts (45 U. S. C., secs. 1 to 16, inclusive).
    Order 13528 was further amended, 17 FR 10738, Nov. 26, 1952, as 
follows: That the order heretofore entered on September 21, 1945, as 
amended, requiring respondents to install power brakes and appliances on 
their cars used in interchange freight service on or before December 31, 
1952, be, and it is hereby, further amended so as--
    To require that all such interchange cars be so equipped on or 
before June 30, 1953, except as indicated hereinafter:
    To prohibit the movement by any respondent after June 30, 1953, of 
any car interchange service, other than tank cars (including the cars of 
private carline companies), not so equipped except that such cars may be 
so moved prior to October 1, 1953, if routed to owner; and
    To prohibit the movement by respondents after October 1, 1953, of 
any tank car in interchange service (including the tank cars of private 
car-line companies) not so equipped except that such tank cars may be so 
moved prior to January 1, 1954, if routed to owner.
    That the term interchange service means the movement of any car that 
is engaged in freight service, irrespective of ownership, that is 
interchanged between or among two or more respondent railroads.
    Order 13528 was further amended, 18 FR 6942, Nov. 3, 1953, as 
follows: That the order heretofore entered herein on September 21, 1945, 
as amended, requiring respondents to install power brakes and appliances 
on their cars used in freight service be, and it is hereby, further 
amended so as not to require the installation of such brakes and 
appliances on
    a. Locomotives;
    b. Scale test weight cars;
    c. Locomotive cranes, steam shovels, pile drivers and similar 
construction and maintenance machines built prior to September 21, 1945;
    d. Export, industrial, and other than railroad owned cars which are 
not to be used in service by respondents, except for movement as 
shipments on their own wheels to given destinations, provided that any 
such car so moved shall be properly identified by a card attached to 
each side of car, signed by shipper, stating that such movement is being 
made under authority of this order; and
    e. Industrial and other than railroad owned cars which are not to be 
used in service by respondents except for movement within the limits of 
a single switching district.
    And, that the effective date of said order of September 21, 1945, as 
amended, be, and it is hereby, extended until further order of the FRA, 
insofar as it applies to:
    f. Narrow-gauge cars, and
    g. Cars being returned from Canada or Mexico to owners in the United 
States, provided each such car being returned is routed directly to 
owner and is properly identified by a card attached to each side of car, 
signed by shipper, stating that the movement is being made under 
authority of this order.

[33 FR 19679, Dec. 25, 1968, as amended at 53 FR 28602, July 28, 1988]



PART 233--SIGNAL SYSTEMS REPORTING REQUIREMENTS--Table of Contents




Sec.
233.1  Scope.
233.3  Application.
233.5  Accidents resulting from signal failure.
233.7  Signal failure reports.
233.9  Reports.
233.11  Civil penalties.
233.13  Criminal penalty.

Appendix A to Part 233--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20103, 20107 and 49 CFR 1.49.

    Source: 49 FR 3379, Jan. 26, 1984, unless otherwise noted.



Sec. 233.1  Scope.

    This part prescribed reporting requirements with respect to methods 
of train operation, block signal systems, interlockings, traffic control 
systems, automatic train stop, train control, and cab signal systems, or 
other similar appliances, methods, and systems.



Sec. 233.3  Application.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to railroads that operate on standard gage track which is part 
of the general railroad system of transportation.

[[Page 387]]

    (b) This part does not apply to rail rapid transit operations 
conducted over track that is used exclusively for that purpose and that 
is not part of the general system of railroad transportation.



Sec. 233.5  Accidents resulting from signal failure.

    Each carrier shall report within 24 hours to the Federal Railroad 
Administration by toll free telephone, number 800-424-0201, whenever it 
learns of the occurrence of an accident/incident arising from the 
failure of an appliance, device, method or system to function or 
indicate as required by part 236 of this title that results in a more 
favorable aspect than intended or other condition hazardous to the 
movement of a train.

    Effective Date Note: At 49 FR 3379, Jan. 26, 1984, part 233 was 
revised. This section contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.



Sec. 233.7  Signal failure reports.

    Each carrier shall report within 15 days each failure of an 
appliance, device, method, or system to function or indicate as required 
by part 236 of this title that results in a more favorable aspect than 
intended or other condition hazardous to the movement of a train. Form 
FRA F6180-14, ``Signal Failure Report,'' shall be used for this purpose 
and completed in accordance with instructions printed on the form.

(Approved by the Office of Management and Budget under control number 
2130-0007)



Sec. 233.9  Reports.

    Not later than April 1, 1997 and every 5 years thereafter, each 
carrier shall file with FRA a signal system status report ``Signal 
System Five-year Report'' on a form to be provided by FRA in accordance 
with instructions and definitions provided on the report.

[61 FR 33872, July 1, 1996]



Sec. 233.11  Civil penalties.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix A to this part for a 
statement of agency civil penalty policy.

[63 FR 11623, Mar. 10, 1998]



Sec. 233.13  Criminal penalty.

    Whoever knowingly and willfully--
    (a) Makes, causes to be made, or participates in the making of a 
false entry in reports required to be filed by this part; or
    (b) Files a false report or other document required to be filed by 
this part is subject to a $5,000 fine and 2 years imprisonment as 
prescribed by 49 U.S.C. 522(a) and section 209(e) of the Federal 
Railroad Safety Act of 1970, as amended (45 U.S.C. 438(e)).

         Appendix A to Part 233--Schedule of Civil Penalties\1\
------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
233.5  Accidents resulting from signal failure       $2,500       $5,000
233.7  Signal failure reports.................        5,000        7,500
233.9  Annual reports.........................        1,000        2,000
------------------------------------------------------------------------
\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 $22,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.


[53 FR 52936, Dec. 29, 1988, as amended at 63 FR 11623, Mar. 10, 1998]

[[Page 388]]



PART 234--GRADE CROSSING SIGNAL SYSTEM SAFETY--Table of Contents




                           Subpart A--General

Sec.
234.1  Scope.
234.3  Application.
234.4  Preemptive effect.
234.5  Definitions.
234.6  Penalties.

                           Subpart B--Reports

234.7  Accidents involving grade crossing signal failure.
234.9  Grade crossing signal system failure reports.

      Subpart C-- Response to Reports of Warning System Malfunction

234.101  Employee notification rules.
234.103  Timely response to report of malfunction.
234.105  Activation failure.
234.106  Partial activation.
234.107  False activation.
234.109  Recordkeeping.

             Subpart D--Maintenance, Inspection, and Testing

                          Maintenance Standards

234.201  Location of plans.
234.203  Control circuits.
234.205  Operating characteristics of warning system apparatus.
234.207  Adjustment, repair, or replacement of component.
234.209  Interference with normal functioning of system.
234.211  Security of warning system apparatus.
234.213  Grounds.
234.215  Standby power system.
234.217  Flashing light units.
234.219  Gate arm lights and light cable.
234.221  Lamp voltage.
234.223  Gate arm.
234.225  Activation of warning system.
234.227  Train detection apparatus.
234.229  Shunting sensitivity.
234.231  Fouling wires.
234.233  Rail joints.
234.235  Insulated rail joints.
234.237  Reverse switch cut-out circuit.
234.239  Tagging of wires and interference of wires or tags with signal 
          apparatus.
234.241  Protection of insulated wire; splice in underground wire.
234.243  Wire on pole line and aerial cable.
234.245  Signs.

                          Inspections and Tests

234.247  Purpose of inspections and tests; removal from service of relay 
          or device failing to meet test requirements.
234.249  Ground tests.
234.251  Standby power.
234.253  Flashing light units and lamp voltage.
234.255  Gate arm and gate mechanism.
234.257  Warning system operation.
234.259  Warning time.
234.261  Highway traffic signal pre-emption.
234.263  Relays.
234.265  Timing relays and timing devices.
234.267  Insulation resistance tests, wires in trunking and cables.
234.269  Cut-out circuits.
234.271  Insulated rail joints, bond wires, and track connections.
234.273  Results of inspections and tests.

Appendix A to Part 234--Schedule of Civil Penalties
Appendix B to Part 234--Alternate Methods of Protection Under 49 CFR 
          234.105(c), 234.106, and 234.107(c).

    Authority: 49 U.S.C. 20103, 20107, and 49 CFR 1.49.

    Source: 61 FR 31806, June 20, 1996, unless otherwise noted.



                           Subpart A--General



Sec. 234.1  Scope.

    This part imposes minimum maintenance, inspection, and testing 
standards for highway-rail grade crossing warning systems. This part 
also prescribes standards for the reporting of failures of such systems 
and prescribes minimum actions railroads must take when such warning 
systems malfunction. This part does not restrict a railroad from 
adopting and enforcing additional or more stringent requirements not 
inconsistent with this part.



Sec. 234.3  Application.

    This part applies to all railroads except:
    (a) A railroad that exclusively operates freight trains only on 
track which is not part of the general railroad system of 
transportation;
    (b) Rapid transit operations within an urban area that are not 
connected to the general railroad system of transportation; and
    (c) A railroad that operates passenger trains only on track inside 
an installation that is insular; i.e., its operations are limited to a 
separate enclave in

[[Page 389]]

such a way that there is no reasonable expectation that the safety of 
the public--except a business guest, a licensee of the railroad or an 
affiliated entity, or a trespasser--would be affected by the operation. 
An operation will not be considered insular if one or more of the 
following exists on its line:
    (1) A public highway-rail crossing that is in use;
    (2) An at-grade rail crossing that is in use;
    (3) A bridge over a public road or waters used for commercial 
navigation; or
    (4) A common corridor with a railroad, i.e., its operations are 
within 30 feet of those of any railroad.



Sec. 234.4  Preemptive effect.

    Under 49 U.S.C. 20106 (formerly Sec. 205 of the Federal Railroad 
Safety Act of 1970 (45 U.S.C. 434)), issuance of these regulations 
preempts any State law, rule, regulation, order, or standard covering 
the same subject matter, except a provision directed at an essentially 
local safety hazard that is consistent with this part and that does not 
impose an undue burden on interstate commerce.



Sec. 234.5  Definitions.

    As used in this part:
    Activation failure means the failure of an active highway-rail grade 
crossing warning system to indicate the approach of a train at least 20 
seconds prior to the train's arrival at the crossing, or to indicate the 
presence of a train occupying the crossing, unless the crossing is 
provided with an alternative means of active warning to highway users of 
approaching trains. (This failure indicates to the motorist that it is 
safe to proceed across the railroad tracks when, in fact, it is not safe 
to do so.) A grade crossing signal system does not indicate the approach 
of a train within the meaning of this paragraph if--more than 50% of the 
flashing lights (not gate arm lights) on any approach lane to the 
crossing are not functioning as intended, or in the case of an approach 
lane for which two or more pairs of flashing lights are provided, there 
is not at least one flashing light pair operating as intended. Back 
lights on the far side of the crossing are not considered in making 
these determinations.
    Appropriately equipped flagger means a person other than a train 
crewmember who is equipped with a vest, shirt, or jacket of a color 
appropriate for daytime flagging such as orange, yellow, strong yellow 
green or fluorescent versions of these colors or other generally 
accepted high visibility colors. For nighttime flagging, similar outside 
garments shall be retro reflective. Acceptable hand signal devices for 
daytime flagging include `` STOP/SLOW'' paddles or red flags. For 
nighttime flagging, a flashlight, lantern, or other lighted signal shall 
be used. Inasmuch as Part VI of the Federal Highway Administration's 
Manual on Uniform Traffic Control Devices addresses standards and guides 
for flaggers and flagging equipment for highway traffic control, FRA 
recommends that railroads be aware of the standards and follow them to 
the greatest extent possible. Copies of the latest MUTCD provisions 
regarding flagging will be available from FRA, as well as FHWA, as 
changes are made in this area.
    Credible report of system malfunction means specific information 
regarding a malfunction at an identified highway-rail crossing, supplied 
by a railroad employee, law enforcement officer, highway traffic 
official, or other employee of a public agency acting in an official 
capacity.
    False activation means the activation of a highway-rail grade 
crossing warning system caused by a condition that requires correction 
or repair of the grade crossing warning system. (This failure indicates 
to the motorist that it is not safe to cross the railroad tracks when, 
in fact, it is safe to do so.)
    Highway-rail grade crossing means a location where a public highway, 
road, street, or private roadway, including associated sidewalks and 
pathways, crosses one or more railroad tracks at grade.
    Partial activation means activation of a highway-rail grade crossing 
warning system indicating the approach of a train, however, the full 
intended warning is not provided due to one of the following conditions:
    (1) At non-gated crossings equipped with one pair of lights designed 
to flash

[[Page 390]]

alternately, one of the two lights does not operate properly (and 
approaching motorists can not clearly see flashing back lights from the 
warning lights on the other side of the crossing);
    (2) At gated crossings, the gate arm is not in a horizontal 
position; or
    (3) At gated crossings, any portion of a gate arm is missing if that 
portion normally had a gate arm flashing light attached.
    Train means one or more locomotives, with or without cars.
    Warning system malfunction means an activation failure, a partial 
activation, or a false activation of a highway-rail grade crossing 
warning system.



Sec. 234.6  Penalties.

    (a) Civil penalty. Any person (an entity of any type covered under 1 
U.S.C. 1, including but not limited to the following: a railroad; a 
manager, supervisor, official, or other employee or agent of a railroad; 
any owner, manufacturer, lessor, or lessee of railroad equipment, track, 
or facilities; any independent contractor providing goods or services to 
a railroad; and any employee of such owner, manufacturer, lessor, 
lessee, or independent contractor) who violates any requirement of this 
part or causes the violation of any such requirement is subject to a 
civil penalty of at least $500, but not more than $11,000 per violation, 
except that: penalties may be assessed against individuals only for 
willful violations, and where a grossly negligent violation or a pattern 
of repeated violations has created an imminent hazard of death or injury 
to persons, or has caused death or injury, a penalty not to exceed 
$22,000 per violation may be assessed. Each day a violation continues 
shall constitute a separate offense. Appendix A to this part contains a 
schedule of civil penalty amounts used in connection with this rule. The 
railroad is not responsible for compliance with respect to any condition 
inconsistent with the technical standards set forth in this part where 
such variance arises as a result of actions beyond the control of the 
railroad and the railroad could not have prevented the variance through 
the exercise of due diligence. The foregoing sentence does not excuse 
any instance of noncompliance resulting from the actions of the 
railroad's employees, agents, or contractors.
    (b) Criminal penalty. Whoever knowingly and willfully makes, causes 
to be made, or participates in the making of a false entry in reports 
required to be filed by this part, or files a false report or other 
document required to be filed by this part is subject to a $5,000 fine 
and 2 years imprisonment as prescribed by 49 U.S.C. 522(a) and section 
209(e) of the Federal Railroad Safety Act of 1970, as amended (45 U.S.C. 
438(e)).

[61 FR 31806, June 20, 1996, as amended at 63 FR 11623, Mar. 10, 1998]



                           Subpart B--Reports



Sec. 234.7  Accidents involving grade crossing signal failure.

    (a) Each railroad shall report to FRA every impact between on-track 
railroad equipment and an automobile, bus, truck, motorcycle, bicycle, 
farm vehicle, or pedestrian at a highway-rail grade crossing involving 
an activation failure. Notification shall be provided to the National 
Response Center within 24 hours of occurrence at (800) 424-0201. 
Complete reports shall thereafter be filed with FRA pursuant to 
Sec. 234.9 of this part (activation failure report) and 49 CFR 225.11 
(accident/ incident report).
    (b) Each telephone report must state the:
    (1) Name of the railroad;
    (2) Name, title, and telephone number of the individual making the 
report;
    (3) Time, date, and location of accident;
    (4) U. S. DOT-AAR Grade Crossing Identification Number;
    (5) Circumstances of the accident, including operating details of 
the grade crossing warning device;
    (6) Number of persons killed or injured, if any;
    (7) Maximum authorized train speed; and
    (8) Posted highway speed limit, if known.



Sec. 234.9  Grade crossing signal system failure reports.

    Each railroad shall report to FRA within 15 days each activation 
failure

[[Page 391]]

of a highway-rail grade crossing warning system. FRA Form No. 6180-83, 
``Highway-Rail Grade Crossing Warning System Failure Report,'' shall be 
used for this purpose and completed in accordance with instructions 
printed on the form.



      Subpart C--Response to Reports of Warning System Malfunction



Sec. 234.101  Employee notification rules.

    Each railroad shall issue rules requiring its employees to report to 
persons designated by that railroad, by the quickest means available, 
any warning system malfunction.



Sec. 234.103  Timely response to report of malfunction.

    (a) Upon receipt of a credible report of a warning system 
malfunction, a railroad having maintenance responsibility for the 
warning system shall promptly investigate the report and determine the 
nature of the malfunction. The railroad shall take appropriate action as 
required by Sec. 234.207.
    (b) Until repair or correction of the warning system is completed, 
the railroad shall provide alternative means of warning highway traffic 
and railroad employees in accordance with Secs. 234.105, 234.106 or 
234.107 of this part.
    (c) Nothing in this subpart requires repair of a warning system, if, 
acting in accordance with applicable State law, the railroad proceeds to 
discontinue or dismantle the warning system. However, until repair, 
correction, discontinuance, or dismantling of the warning system is 
completed, the railroad shall comply with this subpart to ensure the 
safety of the traveling public and railroad employees.



Sec. 234.105  Activation failure.

    Upon receipt of a credible report of warning system malfunction 
involving an activation failure, a railroad having maintenance 
responsibility for the warning system shall promptly initiate efforts to 
warn highway users and railroad employees at the subject crossing by 
taking the following actions:
    (a) Prior to any train's arrival at the crossing, notify the train 
crew of the report of activation failure and notify any other railroads 
operating over the crossing;
    (b) Notify the law enforcement agency having jurisdiction over the 
crossing, or railroad police capable of responding and controlling 
vehicular traffic; and
    (c) Provide for alternative means of actively warning highway users 
of approaching trains, consistent with the following requirements (see 
appendix B for a summary chart of alternative means of warning):
    (1)(i) If an appropriately equipped flagger provides warning for 
each direction of highway traffic, trains may proceed through the 
crossing at normal speed.
    (ii) If at least one uniformed law enforcement officer (including a 
railroad police officer) provides warning to highway traffic at the 
crossing, trains may proceed through the crossing at normal speed.
    (2) If an appropriately equipped flagger provides warning for 
highway traffic, but there is not at least one flagger providing warning 
for each direction of highway traffic, trains may proceed with caution 
through the crossing at a speed not exceeding 15 miles per hour. Normal 
speed may be resumed after the locomotive has passed through the 
crossing.
    (3) If there is not an appropriately equipped flagger or uniformed 
law enforcement officer providing warning to highway traffic at the 
crossing, each train must stop before entering the crossing and permit a 
crewmember to dismount to flag highway traffic to a stop. The locomotive 
may then proceed through the crossing, and the flagging crewmember may 
reboard the locomotive before the remainder of the train proceeds 
through the crossing.
    (d) A locomotive's audible warning device shall be activated in 
accordance with railroad rules regarding the approach to a grade 
crossing.



Sec. 234.106  Partial activation.

    Upon receipt of a credible report of a partial activation, a 
railroad having maintenance responsibility for the warning system shall 
promptly initiate efforts to warn highway users and railroad employees 
at the subject crossing

[[Page 392]]

in the same manner as required for false activations (Sec. 234.107).



Sec. 234.107  False activation.

    Upon receipt of a credible report of a false activation, a railroad 
having maintenance responsibility for the highway-rail grade crossing 
warning system shall promptly initiate efforts to warn highway users and 
railroad employees at the crossing by taking the following actions:
    (a) Prior to a train's arrival at the crossing, notify the train 
crew of the report of false activation and notify any other railroads 
operating over the crossing;
    (b) Notify the law enforcement agency having jurisdiction over the 
crossing, or railroad police capable of responding and controlling 
vehicular traffic; and
    (c) Provide for alternative means of actively warning highway users 
of approaching trains, consistent with the following requirements (see 
Appendix B for a summary chart of alternative means of warning).
    (1)(i) If an appropriately equipped flagger is providing warning for 
each direction of highway traffic, trains may proceed through the 
crossing at normal speed.
    (ii) If at least one uniformed law enforcement officer (including a 
railroad police officer) provides warning to highway traffic at the 
crossing, trains may proceed through the crossing at normal speed.
    (2) If there is not an appropriately equipped flagger providing 
warning for each direction of highway traffic, or if there is not at 
least one uniformed law enforcement officer providing warning, trains 
with the locomotive or cab car leading, may proceed with caution through 
the crossing at a speed not exceeding 15 miles per hour. Normal speed 
may be resumed after the locomotive has passed through the crossing. In 
the case of a shoving move, a crewmember shall be on the ground to flag 
the train through the crossing.
    (3) In lieu of complying with paragraphs (c) (1) or (2) of this 
section, a railroad may temporarily take the warning system out of 
service if the railroad complies with all requirements of Sec. 234.105, 
``Activation failure.''
    (d) A locomotive's audible warning device shall be activated in 
accordance with railroad rules regarding the approach to a grade 
crossing.



Sec. 234.109  Recordkeeping.

    (a) Each railroad shall keep records pertaining to compliance with 
this subpart. Records may be kept on forms provided by the railroad or 
by electronic means. Each railroad shall keep the following information 
for each credible report of warning system malfunction:
    (1) Location of crossing (by highway name and DOT/AAR Crossing 
Inventory Number);
    (2) Time and date of receipt by railroad of report of malfunction;
    (3) Actions taken by railroad prior to repair and reactivation of 
repaired system; and
    (4) Time and date of repair.
    (b) Each railroad shall retain for at least one year (from the 
latest date of railroad activity in response to a credible report of 
malfunction) all records referred to in paragraph (a) of this section. 
Records required to be kept shall be made available to FRA as provided 
by 49 U.S.C. 20107 (formerly 208 of the Federal Railroad Safety Act of 
1970 (45 U.S.C. 437)).



             Subpart D--Maintenance, Inspection, and Testing

                          Maintenance Standards



Sec. 234.201  Location of plans.

    Plans required for proper maintenance and testing shall be kept at 
each highway-rail grade crossing warning system location. Plans shall be 
legible and correct.



Sec. 234.203  Control circuits.

    All control circuits that affect the safe operation of a highway-
rail grade crossing warning system shall operate on the fail-safe 
principle.



Sec. 234.205  Operating characteristics of warning system apparatus.

    Operating characteristics of electromagnetic, electronic, or 
electrical apparatus of each highway-rail crossing warning system shall 
be maintained in accordance with the limits within

[[Page 393]]

which the system is designed to operate.



Sec. 234.207  Adjustment, repair, or replacement of component.

    (a) When any essential component of a highway-rail grade crossing 
warning system fails to perform its intended function, the cause shall 
be determined and the faulty component adjusted, repaired, or replaced 
without undue delay.
    (b) Until repair of an essential component is completed, a railroad 
shall take appropriate action under Sec. 234.105, Activation failure, 
Sec. 234.106, Partial activation, or Sec. 234.107, False activation, of 
this part.



Sec. 234.209  Interference with normal functioning of system.

    (a) The normal functioning of any system shall not be interfered 
with in testing or otherwise without first taking measures to provide 
for safety of highway traffic that depends on normal functioning of such 
system.
    (b) Interference includes, but is not limited to:
    (1) Trains, locomotives or other railroad equipment standing within 
the system's approach circuit, other than normal train movements or 
switching operations, where the warning system is not designed to 
accommodate those activities.
    (2) Not providing alternative methods of maintaining safety for the 
highway user while testing or performing work on the warning systems or 
on track and other railroad systems or structures which may affect the 
integrity of the warning system.



Sec. 234.211  Security of warning system apparatus.

    Highway-rail grade crossing warning system apparatus shall be 
secured against unauthorized entry.



Sec. 234.213  Grounds.

    Each circuit that affects the proper functioning of a highway-rail 
grade crossing warning system shall be kept free of any ground or 
combination of grounds that will permit a current flow of 75 percent or 
more of the release value of any relay or electromagnetic device in the 
circuit. This requirement does not apply to: circuits that include track 
rail; alternating current power distribution circuits that are grounded 
in the interest of safety; and common return wires of grounded common 
return single break circuits.



Sec. 234.215  Standby power system.

    A standby source of power shall be provided with sufficient capacity 
to operate the warning system for a reasonable length of time during a 
period of primary power interruption. The designated capacity shall be 
specified on the aplans required by Sec. 234.201 of this part.



Sec. 234.217  Flashing light units.

    (a) Each flashing light unit shall be properly positioned and 
aligned and shall be visible to a highway user approaching the crossing.
    (b) Each flashing light unit shall be maintained to prevent dust and 
moisture from entering the interior of the unit. Roundels and reflectors 
shall be clean and in good condition.
    (c) All light units shall flash alternately. The number of flashes 
per minute for each light unit shall be 35 minimum and 65 maximum.



Sec. 234.219  Gate arm lights and light cable.

    Each gate arm light shall be maintained in such condition to be 
properly visible to approaching highway users. Lights and light wire 
shall be secured to the gate arm.



Sec. 234.221  Lamp voltage.

    The voltage at each lamp shall be maintained at not less than 85 
percent of the prescribed rating for the lamp.



Sec. 234.223  Gate arm.

    Each gate arm, when in the downward position, shall extend across 
each lane of approaching highway traffic and shall be maintained in a 
condition sufficient to be clearly viewed by approaching highway users. 
Each gate arm shall start its downward motion not less than three 
seconds after flashing lights begin to operate and shall assume the 
horizontal position at least five seconds before the arrival of any 
normal train movement through the crossing. At those crossings equipped

[[Page 394]]

with four quadrant gates, the timing requirements of this section apply 
to entrance gates only.



Sec. 234.225  Activation of warning system.

    A highway-rail grade crossing warning system shall be maintained to 
activate in accordance with the design of the warning system, but in no 
event shall it provide less than 20 seconds warning time for the normal 
operation of through trains before the grade crossing is occupied by 
rail traffic.



Sec. 234.227  Train detection apparatus.

    (a) Train detection apparatus shall be maintained to detect a train 
or railcar in any part of a train detection circuit, in accordance with 
the design of the warning system.
    (b) If the presence of sand, rust, dirt, grease, or other foreign 
matter is known to prevent effective shunting, a railroad shall take 
appropriate action under Sec. 234.105, ``Activation failure,'' to 
safeguard highway users.



Sec. 234.229  Shunting sensitivity.

    Each highway-rail grade crossing train detection circuit shall 
detect the application of a shunt of 0.06 ohm resistance when the shunt 
is connected across the track rails of any part of the circuit.



Sec. 234.231  Fouling wires.

    Each set of fouling wires in a highway-rail grade crossing train 
detection circuit shall consist of at least two discrete conductors. 
Each conductor shall be of sufficient conductivity and shall be 
maintained in such condition to ensure proper operation of the train 
detection apparatus when the train detection circuit is shunted. 
Installation of a single duplex wire with single plug acting as fouling 
wires is prohibited. Existing installations having single duplex wires 
with a single plug for fouling wires may be continued in use until they 
require repair or replacement.



Sec. 234.233  Rail joints.

    Each non-insulated rail joint located within the limits of a 
highway-rail grade crossing train detection circuit shall be bonded by 
means other than joint bars and the bonds shall be maintained in such 
condition to ensure electrical conductivity.



Sec. 234.235  Insulated rail joints.

    Each insulated rail joint used to separate train detection circuits 
of a highway-rail grade crossing shall be maintained to prevent current 
from flowing between rails separated by the insulation in an amount 
sufficient to cause a failure of the train detection circuit.



Sec. 234.237  Reverse switch cut-out circuit.

    A switch, when equipped with a switch circuit controller connected 
to the point and interconnected with warning system circuitry, shall be 
maintained so that the warning system can only be cut out when the 
switch point is within one-half inch of full reverse position.



Sec. 234.239  Tagging of wires and interference of wires or tags with signal apparatus.

    Each wire shall be tagged or otherwise so marked that it can be 
identified at each terminal. Tags and other marks of identification 
shall be made of insulating material and so arranged that tags and wires 
do not interfere with moving parts of the apparatus. This requirement 
applies to each wire at each terminal in all housings including switch 
circuit controllers and terminal or junction boxes. This requirement 
does not apply to flashing light units, gate arm light units and other 
auxiliary light units. The local wiring on a solid state crossing 
controller rack does not require tags if the wiring is an integral part 
of the solid state equipment.



Sec. 234.241  Protection of insulated wire; splice in underground wire.

    Insulated wire shall be protected from mechanical injury. The 
insulation shall not be punctured for test purposes. A splice in 
underground wire shall have insulation resistance at least equal to that 
of the wire spliced.



Sec. 234.243  Wire on pole line and aerial cable.

    Wire on a pole line shall be securely attached to an insulator that 
is properly fastened to a cross arm or bracket

[[Page 395]]

supported by a pole or other support. Wire shall not interfere with, or 
be interfered with by, other wires on the pole line. Aerial cable shall 
be supported by messenger wire. An open-wire transmission line operating 
at voltage of 750 volts or more shall be placed not less than 4 feet 
above the nearest cross arm carrying active warning system circuits.



Sec. 234.245  Signs.

    Each sign mounted on a highway-rail grade crossing signal post shall 
be maintained in good condition and be visible to the highway user.

                          Inspections and Tests



Sec. 234.247  Purpose of inspections and tests; removal from service of relay or device failing to meet test requirements.

    (a) The inspections and tests set forth in Secs. 234.249 through 
234.271 are required at highway-rail grade crossings located on in 
service railroad tracks and shall be made to determine if the warning 
system and its component parts are maintained in a condition to perform 
their intended function.
    (b) If a railroad elects not to comply with the requirements of 
these sections because all tracks over the grade crossing are out of 
service or the railroad suspends operations during a portion of the 
year, or the railroad suspends operations during a portion of the year, 
and the grade crossing warning system is also temporarily taken out of 
service a full inspection and all required tests must be successfully 
completed before railroad operations over the grade crossing resume.
    (c) Any electronic device, relay, or other electromagnetic device 
that fails to meet the requirements of tests required by this part shall 
be removed from service and shall not be restored to service until its 
operating characteristics are in accordance with the limits within which 
such device or relay is designed to operate.



Sec. 234.249  Ground tests.

    A test for grounds on each energy bus furnishing power to circuits 
that affect the safety of warning system operation shall be made when 
such energy bus is placed in service and at least once each month 
thereafter.



Sec. 234.251  Standby power.

    Standby power shall be tested at least once each month.



Sec. 234.253  Flashing light units and lamp voltage.

    (a) Each flashing light unit shall be inspected when installed and 
at least once every twelve months for proper alignment and frequency of 
flashes in accordance with installation specifications.
    (b) Lamp voltage shall be tested when installed and at least once 
every 12 months thereafter.
    (c) Each flashing light unit shall be inspected for proper 
visibility, dirt and damage to roundels and reflectors at least once 
each month.



Sec. 234.255  Gate arm and gate mechanism.

    (a) Each gate arm and gate mechanism shall be inspected at least 
once each month.
    (b) Gate arm movement shall be observed for proper operation at 
least once each month.
    (c) Hold-clear devices shall be tested for proper operation at least 
once every 12 months.



Sec. 234.257  Warning system operation.

    (a) Each highway-rail crossing warning system shall be tested to 
determine that it functions as intended when it is placed in service. 
Thereafter, it shall be tested at least once each month and whenever 
modified or disarranged.
    (b) Warning bells or other stationary audible warning devices shall 
be tested when installed to determine that they function as intended. 
Thereafter, they shall be tested at least once each month and whenever 
modified or disarranged.



Sec. 234.259  Warning time.

    Each crossing warning system shall be tested for the prescribed 
warning time at least once every 12 months and when the warning system 
is modified because of a change in train speeds. Electronic devices that 
accurately determine actual warning time may be used in performing such 
tests.

[[Page 396]]



Sec. 234.261  Highway traffic signal pre-emption.

    Highway traffic signal pre-emption interconnections, for which a 
railroad has maintenance responsibility, shall be tested at least once 
each month.



Sec. 234.263  Relays.

    (a) Except as stated in paragraph (b) of this section, each relay 
that affects the proper functioning of a crossing warning system shall 
be tested at least once every four years.
    (b)(1) Alternating current vane type relays, direct current polar 
type relays, and relays with soft iron magnetic structure shall be 
tested at least once every two years.
    (2) Alternating current centrifugal type relays shall be tested at 
least once every 12 months.
    (c) Testing of relays requiring testing on four year intervals shall 
be completed in accordance with the following schedule:
    (1) Not less than 50% by the end of calendar year 1996;
    (2) Not less than a total of 75% by the end of calendar year 1997; 
and
    (3) One hundred percent by the end of calendar year 1998.
    (d) Testing of relays requiring testing on two year intervals shall 
be completed by the end of calendar year 1996.



Sec. 234.265  Timing relays and timing devices.

    Each timing relay and timing device shall be tested at least once 
every twelve months. The timing shall be maintained at not less than 90 
percent nor more than 110 percent of the 41 predetermined time interval. 
The predetermined time interval shall be shown on the plans or marked on 
the timing relay or timing device. Timing devices which perform internal 
functions associated with motion detectors, motion sensors, and grade 
crossing predictors are not subject to the requirements of this section.



Sec. 234.267  Insulation resistance tests, wires in trunking and cables.

    (a) Insulation resistance tests shall be made when wires or cables 
are installed and at least once every ten years thereafter.
    (b) Insulation resistance tests shall be made between all conductors 
and ground, between conductors in each multiple conductor cable, and 
between conductors in trunking. Insulation resistance tests shall be 
performed when wires, cables, and insulation are dry.
    (c) Subject to paragraph (d) of this section, when insulation 
resistance of wire or cable is found to be less than 500,000 ohms, 
prompt action shall be taken to repair or replace the defective wire or 
cable. Until such defective wire or cable is replaced, insulation 
resistance tests shall be made annually.
    (d) A circuit with a conductor having an insulation resistance of 
less than 200,000 ohms shall not be used.
    (e) Required insulation resistance testing that does not conform to 
the required testing schedule of this section shall be completed in 
accordance with the following schedule:
    (1) Not less than 50% by the end of calendar year 1996;
    (2) Not less than a total of 75% by the end of calendar year 1997; 
and
    (3) One hundred percent by the end of calendar year 1998.



Sec. 234.269  Cut-out circuits.

    Each cut-out circuit shall be tested at least once every three 
months to determine that the circuit functions as intended. For purposes 
of this section, a cut-out circuit is any circuit which overrides the 
operation of automatic warning systems. This includes both switch cut-
out circuits and devices which enable personnel to manually override the 
operation of automatic warning systems.



Sec. 234.271  Insulated rail joints, bond wires, and track connections.

    Insulated rail joints, bond wires, and track connections shall be 
inspected at least once every three months.



Sec. 234.273  Results of inspections and tests.

    (a) Results of inspections and tests made in compliance with this 
part shall be recorded on forms provided by the railroad, or by 
electronic means, subject to approval by the Associate Administrator for 
Safety. Each record shall show the name of the railroad, AAR/DOT 
inventory number, place and

[[Page 397]]

date, equipment tested, results of tests, repairs, replacements, 
adjustments made, and condition in which the apparatus was left.
    (b) Each record shall be signed or electronically coded by the 
employee making the test and shall be filed in the office of a 
supervisory official having jurisdiction. Records required to be kept 
shall be made available to FRA as provided by 49 U.S.C. 20107 (formerly 
Sec. 208 of the Federal Railroad Safety Act of 1970 (45 U.S.C. 437)).
    (c) Each record shall be retained until the next record for that 
test is filed but in no case for less than one year from the date of the 
test.

         Appendix A to Part 234--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
              Subpart B--Reports
 
234.7  Accidents involving grade crossing            $5,000       $7,500
 signal failure...............................
234.9  Grade crossing signal system failure           2,500        5,000
 reports......................................
 
   Subpart C--Response to Reports of Warning
              System Malfunction
 
Sec.
234.101  Employee notification rules..........        2,500        5,000
234.103  Timely response to report of                 2,500        5,000
 malfunction..................................
    234.105  Activation failure
        (a) Failure to notify--train crews....        5,000        7,500
            Other railroads...................        5,000        7,500
        (b) Failure to notify law enforcement         2,500        5,000
         agency...............................
        (c) Failure to comply with--flagging          5,000        5,000
         requirements.........................
            Speed restrictions................        5,000        7,500
        (d) Failure to activate horn or               5,000        7,500
         whistle..............................
    234.106  Partial activation
        (a) Failure to notify--train crews....        5,000        7,500
            Other railroads...................        5,000        7,500
        (b) Failure to notify law enforcement         2,500        5,000
         agency...............................
        (c) Failure to comply with--flagging          5,000        7,500
         requirements speed restrictions......
        (d) Failure to activate horn or               5,000        7,500
         whistle..............................
    234.107  False activation
        (a) Failure to notify--train crews....        5,000        7,500
            Other railroads...................        5,000        7,500
        (b) Failure to notify law enforcement         2,500        5,000
         agency...............................
        (c) Failure to comply with--flagging          5,000        7,500
         requirements.........................
            Speed restrictions................        5,000        7,500
        (d) Failure to activate horn or               5,000        7,500
         whistle..............................
    234.109  Recordkeeping....................        1,000        2,000
 
    Subpart D--Maintenance, Inspection, and
                    Testing
 
Maintenance Standards:
    234.201  Location of plans................        1,000        2,000
    234.203  Control circuits.................        1,000        2,000
    234.205  Operating characteristics of             2,500        5,000
     warning system apparatus.................
    234.207  Adjustment, repair, or                   2,500        5,000
     replacement of component.................
    234.209  Interference with normal                 5,000        7,500
     functioning of system....................
    234.211  Locking of warning system                1,000        2,000
     apparatus................................
    234.213  Grounds..........................        1,000        2,000
    234.215  Standby power system.............        5,000        7,500
    234.217  Flashing light units.............        1,000        2,000
    234.219  Gate arm lights and light cable..        1,000        2,000
    234.221  Lamp voltage.....................        1,000        2,000
    234.223  Gate arm.........................        1,000        2,000
    234.225  Activation of warning system.....        5,000        7,500
    234.227  Train detection apparatus........        2,500        5,000
    234.229  Shunting sensitivity.............        2,500        5,000
    234.231  Fouling wires....................        1,000        2,000
    234.233  Rail joints......................        1,000        2,000
    234.235  Insulated rail joints............        1,000        2,000
    234.237  Switch equipped with circuit             1,000        2,000
     controller...............................
    234.239  Tagging of wires and interference        1,000        2,000
     of wires or tags with signal apparatus...
    234.241  Protection of insulated wire;            1,000        2,000
     splice in underground wire...............
    234.243  Wire on pole line and aerial             1,000        2,000
     cable....................................
    234.245  Signs............................        1,000        2,000
Inspections and Tests:
    234.247  Purpose of inspections and tests;        2,500        5,000
     removal from service of relay or device
     failing to meet test requirements........
    234.249  Ground tests.....................        2,500        5,000

[[Page 398]]

 
    234.251  Standby power....................        5,000        7,500
    234.253  Flashing light units and lamp            1,000        2,000
     voltage..................................
    234.255  Gate arm and gate mechanism......        1,000        2,000
    234.257  Warning system operation.........        2,500        5,000
    234.259  Warning time.....................        1,000        2,000
    234.261  Highway traffic signal pre-              1,000        2,000
     emption..................................
    234.263  Relays...........................        1,000        2,000
    234.265  Timing relays and timing devices.        1,000        2,000
    234.267  Insulation resistance tests,             2,500        5,000
     wires in trunking and cables.............
    234.269  Cut-out circuits.................        1,000        2,000
    234.271  Insulated rail joints, bond              2,500        5,000
     wires, and track connections.............
    234.273  Results of tests.................        1,000        2,000
------------------------------------------------------------------------
\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 $22,000 for any violation where circumstances warrant. See 49
  CFR Part 209, Appendix A.

[61 FR 31806, June 20, 1996, as amended at 63 FR 11623, Mar. 10, 1998]
        Appendix B to Part 234--Alternate Methods of Protection 
           Under 49 CFR 234.105(c), 234.106, and 234.107(c)

                         [This is a summary--see body of text for complete requirements]
----------------------------------------------------------------------------------------------------------------
                                                                           Flagger present,
                                   Flagger for each     Police officer      but not one for      No flagger/no
                                     direction of           present        each direction of        police
                                        traffic                                 traffic
----------------------------------------------------------------------------------------------------------------
False Activation................  Normal Speed......  Normal Speed......  Proceed with        Proceed with
                                                                           caution--maximum    caution--maximum
                                                                           speed of 15 mph.    speed of 15 mph.
Partial Activation*.............  Normal Speed......  Normal Speed......  Proceed with        Proceed with
                                                                           caution--maximum    caution--maximum
                                                                           speed of 15 mph.    speed of 15 mph.
Activation Failure**............  Normal Speed......  Normal Speed......  Proceed with        Stop: Crewmember
                                                                           caution--maximum    flag traffic and
                                                                           speed of 15 mph.    reboard.
----------------------------------------------------------------------------------------------------------------
*Partial activiation--full warning not given.
  Non-gated crossing with one pair of lights designed to flash alternatively, one light does not work (and back-
  lights from other side not visible).
  Gated crossing--gate arm not horizontal; or any portion of a gate arm is missing if that portion had held a
  gate arm flashing light.
**Activitation failure includes--if more than 50% of the flashing lights on any approach lane not functioning;
  or if an approach lane has two or more pairs of flashing lights, there is not at least one pair operating as
  intended.



 PART 235--INSTRUCTIONS GOVERNING APPLICATIONS FOR APPROVAL OF A DISCONTINUANCE OR MATERIAL MODIFICATION OF A SIGNAL SYSTEM OR RELIEF FROM THE REQUIREMENTS OF 
PART 236--Table of Contents




Sec.
235.1  Scope.
235.3  Application.
235.5  Changes requiring filing of application.
235.7  Changes not requiring filing of application.
235.8  Relief from the requirements of part 236 of this title.
235.9  Civil penalty.
235.10  Contents of application.
235.12  Additional required information-prints.
235.13  Filing procedure.
235.14  Notice.
235.20  Protests.

Appendix A to Part 235--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20103, 20107, and 49 CFR 1.49.

    Source: 49 FR 3380, Jan. 26, 1984, unless otherwise noted.



Sec. 235.1  Scope.

    This part prescribes application for approval to discontinue or 
materially modify block signal systems, interlockings, traffic control 
systems, automatic train stop, train control, or cab signal systems, or 
other similar appliances, devices, methods, or systems, and provides for 
relief from part 236 of this title.



Sec. 235.3  Application.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to

[[Page 399]]

railroads that operate on standard gage track which is part of the 
general railroad system of transportation.
    (b) This part does not apply to rail rapid transit operations 
conducted over track that is used exclusively for that purpose and that 
is not part of the general system of railroad transportation.



Sec. 235.5  Changes requiring filing of application.

    (a) Except as provided in Sec. 235.7, applications shall be filed to 
cover the following:
    (1) The discontinuance of a block signal system, interlocking, 
traffic control system, automatic train stop, train control, or cab 
signal system or other similar appliance or device;
    (2) The decrease of the limits of a block signal system, 
interlocking, traffic control system, automatic train stop, train 
control, or cab signal system; or
    (3) The modification of a block signal system, interlocking, traffic 
control system, automatic train stop, train control, or cab signal 
system.
    (b) [Reserved]

(Approved by the Office of Management and Budget under control number 
2130-0042)



Sec. 235.7  Changes not requiring filing of application.

    (a) It is not necessary to file an application for approval of the 
following discontinuances:
    (1) Removal of block signal system, interlocking, traffic control 
system, automatic train stop, train control, or cab signal system from 
track approved for abandonment by formal proceeding;
    (2) Removal of devices and associated signals used to provide 
protection against unusual contingencies such as landslide, burned 
bridge, high water, high and wide load, or tunnel protection when the 
unusual contingency no longer exists;
    (3) Removal of an interlocking where a drawbridge has been 
permanently closed by the formal approval of another government agency; 
or
    (4) Removal from service not to exceed six months of block signal 
system, interlocking, or traffic control system necessitated by 
catastrophic occurrence such as derailment, flood, fire, or hurricane.
    (b) When the resultant arrangement will comply with part 236 of this 
title, it is not necessary to file for approval to decrease the limits 
of a system as follows:
    (1) Decrease of the limits of an interlocking when interlocked 
switches, derails, or movable-point frogs are not involved;
    (2) Removal of electric or mechanical lock from hand-operated switch 
in automatic block signal or traffic control territory where train speed 
over switch does not excess 20 miles per hour; or
    (3) Removal of electric or mechanical lock from hand-operated switch 
in automatic block signal or traffic control territory where trains are 
not permitted to clear the main track at such switch.
    (c) When the resultant arrangement will comply with part 236 of this 
title, it is not necessary to file an application for approval of the 
following modifications:
    (1) A modification that is required to comply with an order of the 
Federal Railroad Administration or any section of part 236 of this 
title;
    (2) The installation of an automatic block signal or a traffic 
control system to replace manual block or non-signaled territory;
    (3) The installation of a traffic control system to replace a 
roadway automatic block signal system (discontinuance of an automatic 
train stop, train control, or cab signal system is not permitted without 
FRA approval);
    (4) The installation of an automatic train stop, train control, or 
cab signal system in an existing automatic block or traffic control 
system;
    (5) The installation of a continuous inductive automatic train stop 
system to replace an existing intermittent inductive automatic train 
stop system;
    (6) The installation of a continuous inductive automatic train stop 
system to supplement an existing automatic cab signal system;
    (7) The installation of an automatic train control system to replace 
an existing automatic train stop system or to supplement an existing 
automatic cab signal system;
    (8) The installation of an interlocking to replace existing stop 
signs,

[[Page 400]]

gates, or pipe-connected derails protecting a railroad crossing at 
grade;
    (9) The installation of all relay type locking to replace existing 
mechanical or electromechanical locking of an interlocking;
    (10) The installation of an additional controlled point in existing 
traffic control system;
    (11) The installation of an interlocking in an existing block signal 
system;
    (12) The conversion of a hand-operated switch, a hand-operated 
switch locked either electrically or mechanically, or a spring switch to 
a power-operated switch;
    (13) The conversion of a spring switch to a hand-operated switch, or 
to a hand-operated switch locked either electrically or mechanically;
    (14) The removal or relocation of signals associated with a spring 
switch converted to hand operation;
    (15) The installation, relocation, or removal of signals to 
specifically provide adequate stopping distance;
    (16) The change of aspects;
    (17) The relocation of a signal to improve preview of signal aspect 
visibility;
    (18) To replace a signal with a signal of another type;
    (19) To change an approach signal to operative or inoperative 
signal, or remove an approach signal not required by Sec. 236.310 of 
this title;
    (20) The change in location of a machine from which an interlocking 
or traffic control system is controlled;
    (21) The closing of a manual block station or the change in hours 
during which a manual block station is attended;
    (22) The change in hours during which a manual interlocking is 
attended provided the interlocking operates for all routes over which 
train movements are permitted;
    (23) The installation of devices used to provide protection against 
unusual contingencies such as landslide, burned bridges, high water, 
high and wide loads, or dragging equipment;
    (24) The installation, relocation, or removal of signals, 
interlocked switches, derails, movable-point frogs, or electric locks in 
an existing system directly associated with:
    (i) The installation of new track;
    (ii) The elimination of existing track other than a second main 
track;
    (iii) The extension or shortening of a passing siding;
    (iv) Elimination of second main track where signal system mn 
retained main track is arranged to provide both opposing and following 
protection for train movements provided second main track is physically 
removed; or
    (v) A line relocation; or
    (vi) The conversion of pole line circuits to electronic (coded) 
track circuits provided that the railroad gives notice and a profile 
plan of the change to the FRA regional office having jurisdiction over 
that territory at least 60 days in advance of the change. The railroad 
must also at the same time provide a copy of the notice and profile plan 
to representatives of employees responsible for maintenance, inspection 
and testing of the signal system under 49 CFR Part 236. The signal 
system modification will be deemed acceptable, unless within 60 days, 
the Regional Adminstrator stays action by written notice to the railroad 
and refers the issue to the Railroad Safety Board for decision.
    (25) The temporary or permanent arrangement of existing systems 
necessitated by highway rail separation construction. Temporary 
arrangements shall be removed within six months following completion of 
construction.

[49 FR 3380, Jan. 26, 1984, as amended at 61 FR 33873, July 1, 1996]



Sec. 235.8  Relief from the requirements of part 236 of this title.

    Relief from the requirements of the rules, standards and 
instructions contained in part 236 of this title will be granted upon a 
adequate showing by an individual carrier. Relief heretofore granted to 
any carrier shall constitute relief to the same extent as relief granted 
under the requirements of this part.

(Approved by the Office of Management and Budget under control number 
2130-0043)



Sec. 235.9  Civil penalty.

    Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad;

[[Page 401]]

a manager, supervisor, official, or other employee or agent of a 
railroad; any owner, manufacturer, lessor, or lessee of railroad 
equipment, track, or facilities; any independent contractor providing 
goods or services to a railroad; and any employee of such owner, 
manufacturer, lessor, lessee, or independent contractor) who violates 
any requirement of this part or causes the violation of any such 
requirement is subject to a civil penalty of at least $500 and not more 
than $11,000 per violation, except that: Penalties may be assessed 
against individuals only for willful violations, and, where a grossly 
negligent violation or a pattern of repeated violations has created an 
imminent hazard of death or injury to persons, or has caused death or 
injury, a penalty not to exceed $22,000 per violation may be assessed. 
Each day a violation continues shall constitute a separate offense. See 
appendix A to this part for a statement of agency civil penalty policy.

[63 FR 11623, Mar. 10, 1998]



Sec. 235.10  Contents of applications.

    (a) The application may be submitted by letter and shall contain the 
following information:
    (1) The corporate name of each applicant;
    (2) The manner in which applicant is involved;
    (3) The location of the project, giving name of operating division 
and nearest station;
    (4) The track or tracks involved;
    (5) A complete description of proposed changes as they would affect 
the existing facilities or of the section from which relief is sought;
    (6) The reason for proposed changes or justification for relief from 
the requirements;
    (7) The approximate dates of beginning and completion of project;
    (8) Changes in operating practices, temporary or permanent;
    (9) Whether safety of operation will be affeced, and if so, how; and
    (10) Whether proposed changes will conform to the Federal Railroad 
Administration's Rules, Standards and Instructions (part 236 of this 
title).
    (b) [Reserved]

(Approved by the Office of Management and Budget under control number 
2130-0042)



Sec. 235.12  Additional required information-prints.

    (a) A print or prints, size 8 inches by 10\1/2\ inches, or 8\1/2\ 
inches by 11 inches, or folded to 8 inches by 10\1/2\ inches or to 8\1/
2\ inches by 11 inches, shall be furnished with each application.
    (b) The print or prints shall be to scale or by indicated 
dimensions, using Association of American Railroads graphic symbols.
    (c) The following information shall be shown on the print or prints:
    (1) Present and proposed arrangement of tracks and signal 
facilities;
    (2) Name of carrier;
    (3) Operating division;
    (4) Place and State; and
    (5) Timetable directions of movements.
    (d) If stopping distances are involved, the following information 
shall also be shown:
    (1) Curvature and grade;
    (2) Maximum authorized speeds of trains; and
    (3) Length of signal control circuits for each signal indication 
displayed.
    (e) The following color scheme is suggested on prints:
    (1) Installations, relocations, and added signal aspects should be 
colored, preferably in yellow;
    (2) Removals, discontinuances, and abandonments should be colored, 
preferably in red; and
    (3) Existing facilities not pertinent to change proposed in 
application should be shown uncolored.

(Approved by the Office of Management and Budget under control number 
2130-0042)



Sec. 235.13  Filing procedure.

    (a) Applications or requests for reconsideration of an application 
shall be submitted by an authorized officer of the carrier.
    (b) The original and two copies of each application with supporting 
papers should be filed.
    (c) The application and correspondence in reference thereto should 
be addressed to the Associate Administrator for Safety, Federal Railroad 
Administration, Washington, DC 20590.

[[Page 402]]

    (d) A separate application shall be filed for each project.
    (e) At a joint facility where changes are proposed in the automatic 
block signal system, interlocking, traffic control system, automatic 
train stop, train control, or cab signal system on the tracks of more 
than one carrier, or if more than one carrier will be affected by the 
proposed changes or relief sought, a joint application signed by all 
carriers affected shall be filed.
    (f) Where only one carrier at a joint facility is affected by the 
discontinuance or modification of the installation or relief sought, it 
shall be responsible for filing the application. It shall also certify 
that the other joint carriers have been notified of the filing of its 
application.

(Approved by the Office of Management and Budget under control number 
2130-0042)



Sec. 235.14  Notice.

    The FRA will post public notice of the filing of an application or a 
request for reconsideration of an application in the FRA Office of 
Public Affairs and will mail copies to all interested parties.



Sec. 235.20  Protests.

    (a) A protest against the granting of an application shall set forth 
specifically the grounds upon which it is made, and contain a concise 
statement of the interest of protestant in the proceeding.
    (b) The original and two copies of any protest shall be filed with 
the Associate Administrator for Safety, Federal Railroad Administration, 
Washington, DC 20590, and one copy shall be furnished to each applicant.
    (c) Protests should be filed within the time limit set forth in the 
public notice.
    (d) The protestant shall certify that service of a copy of its 
protest was made upon each applicant.
    (e) Request for hearing must be accompanied with a showing why the 
protestant is unable to properly present his or her position by written 
statements.

    Effective Date Note: At 49 FR 3380, Jan. 26, 1984, part 235 was 
revised. This section contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.

         Appendix A to Part 235--Schedule of Civil Penalties\1\
------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
235.5  Changes requiring filing of application       $5,000       $7,500
------------------------------------------------------------------------
\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 $20,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.


[53 FR 52936, Dec. 29, 1988]



 PART 236--RULES, STANDARDS, AND INSTRUCTIONS GOVERNING THE INSTALLATION, INSPECTION, MAINTENANCE, AND REPAIR OF SIGNAL AND TRAIN CONTROL SYSTEMS, DEVICES, AND 
APPLIANCES--Table of Contents




Sec.
236.0  Applicability, minimum requirements, and civil penalties.

             Subpart A--Rules and Instructions: All Systems

                                 General

236.1  Plans, where kept.
236.2  Grounds.
236.3  Locking of signal apparatus housings.
236.4  Interference with normal functioning of device.
236.5  Design of control circuits on closed circuit principle.
236.6  Hand-operated switch equipped with switch circuit controller.
236.7  Circuit controller operated by switch-and-lock movement.
236.8  Operating characteristics of electromagnetic, electronic, or 
          electrical apparatus.
236.9  Selection of circuits through indicating or annunciating 
          instruments.
236.10  Electric locks, force drop type; where required.
236.11  Adjustment, repair, or replacement of component.
236.12  Spring switch signal protection; where required.
236.13  Spring switch; selection of signal control circuits through 
          circuit controller.
236.14  Spring switch signal protection; requirements.
236.15  Timetable instructions.
236.16  Electric lock, main track releasing circuit.
236.17  Pipe for operating connections, requirements.

[[Page 403]]

                     Roadway Signals and Cab Signals

236.21  Location of roadway signals.
236.22  Semaphore signal arm; clearance to other objects.
236.23  Aspects and indications.
236.24  Spacing of roadway signals.
236.25  [Reserved]
236.26  Buffing device, maintenance.

                             Track Circuits

236.51  Track circuit requirements.
236.52  Relayed cut-section.
236.53  Track circuit feed at grade crossing.
236.54  Minimum length of track circuit.
236.55  Dead section; maximum length.
236.56  Shunting sensitivity.
236.57  Shunt and fouling wires.
236.58  Turnout, fouling section.
236.59  Insulated rail joints.
236.60  Switch shunting circuit; use restricted.

                            Wires and Cables

236.71  Signal wires on pole line and aerial cable.
236.72  [Reserved]
236.73  Open-wire transmission line; clearance to other circuits.
236.74  Protection of insulated wire; splice in underground wire.
236.75  [Reserved]
236.76  Tagging of wires and interference of wires or tags with signal 
          apparatus.

                   Inspections and Tests; All Systems

236.101  Purpose of inspection and tests; removal from service of relay 
          or device failing to meet test requirements.
236.102  Semaphore or searchlight signal mechanism.
236.103  Switch circuit controller or point detector.
236.104  Shunt fouling circuit.
236.105  Electric lock.
236.106  Relays.
236.107  Ground tests.
236.108  Insulation resistance tests, wires in trunking and cables.
236.109  Time releases, timing relays and timing devices.
236.110  Results of tests.

                Subpart B--Automatic Block Signal Systems

                                Standards

236.201  Track circuit control of signals.
236.202  Signal governing movements over hand-operated switch.
236.203  Hand operated crossover between main tracks; protection.
236.204  Track signaled for movements in both directions, requirements.
236.205  Signal control circuits; requirements.
236.206  Battery or power supply with respect to relay; location.
236.207  Electric lock on hand-operated switch; control.

                         Subpart C--Interlocking

                                Standards

236.301  Where signals shall be provided.
236.302  Track circuits and route locking.
236.303  Control circuits for signals, selection through circuit 
          controller operated by switch points or by switch locking 
          mechanism.
236.304  Mechanical locking or same protection effected by circuits.
236.305  Approach or time locking.
236.306  Facing point lock or switch-and-lock movement.
236.307  Indication locking.
236.308  Mechanical or electric locking or electric circuits; 
          requisites.
236.309  Loss of shunt protection; where required.
236.310  Signal governing approach to home signal.
236.311  Signal control circuits, selection through track relays or 
          devices functioning as track relays and through signal 
          mechanism contacts and time releases at automatic 
          interlocking.
236.312  Movable bridge, interlocking of signal appliances with bridge 
          devices.
236.313  [Reserved]
236.314  Electric lock for hand-operated switch or derail.

                         Rules and Instructions

236.326  Mechanical locking removed or disarranged; requirement for 
          permitting train movements through interlocking.
236.327  Switch, movable-point frog or split-point derail.
236.328  Plunger of facing-point lock.
236.329  Bolt lock.
236.330  Locking dog of switch-and-lock movement.
236.331-236.333  [Reserved]
236.334  Point detector.
236.335  Dogs, stops and trunnions of mechanical locking.
236.336  Locking bed.
236.337  Locking faces of mechanical locking; fit.
236.338  Mechanical locking required in accordance with locking sheet 
          and dog chart.
236.339  Mechanical locking; maintenance requirements.
236.340  Electromechanical interlocking machine; locking between 
          electrical and mechanical levers.
236.341  Latch shoes, rocker links, and quandrants.
236.342  Switch circuit controller.

[[Page 404]]

                          Inspection and Tests

236.376  Mechanical locking.
236.377  Approach locking.
236.378  Time locking.
236.379  Route locking.
236.380  Indication locking.
236.381  Traffic locking.
236.382  Switch obstruction test.
236.383  Valve locks, valves, and valve magnets.
236.384  Cross protection.
236.385  [Reserved]
236.386  Restoring feature on power switches.
236.387  Movable bridge locking.

                   Subpart D--Traffic Control Systems

                                Standards

236.401  Automatic block signal system and interlocking standards 
          applicable to traffic control systems.
236.402  Signals controlled by track circuits and control operator.
236.403  Signals at controlled point.
236.404  Signals at adjacent control points.
236.405  Track signaled for movements in both directions, change of 
          direction of traffic.
236.406  [Reserved]
236.407  Approach or time locking; where required.
236.408  Route locking.
236.409  [Reserved]
236.410  Locking, hand-operated switch; requirements.

                         Rules and Instructions

236.426  Interlocking rules and instructions applicable to traffic 
          control systems.

                          Inspection and Tests

236.476  Interlocking inspections and tests applicable to traffic 
          control systems.

  Subpart E--Automatic Train Stop, Train Control and Cab Signal Systems

                                Standards

236.501  Forestalling device and speed control.
236.502  Automatic brake application, initiation by restrictive block 
          conditions stopping distance in advance.
236.503  Automatic brake application; initiation when predetermined rate 
          of speed exceeded.
236.504  Operation interconnected with automatic block-signal system.
236.505  Proper operative relation between parts along roadway and parts 
          on locomotive.
236.506  Release of brakes after automatic application.
236.507  Brake application; full service.
236.508  Interference with application of brakes by means of brake 
          valve.
236.509  Two or more locomotives coupled.
236.510  [Reserved]
236.511  Cab signals controlled in accordance with block conditions 
          stopping distance in advance.
236.512  Cab signal indication when locomotive enters block where 
          restrictive conditions obtain.
236.513  Audible indicator.
236.514  Interconnection of cab signal system with roadway signal 
          system.
236.515  Visibility of cab signals.
236.516  Power supply.

                     Rules and Instructions; Roadway

236.526  Roadway element not functioning properly.
236.527  Roadway element insulation resistance.
236.528  Restrictive condition resulting from open hand-operated switch; 
          requirement.
236.529  Roadway element inductor; height and distance from rail.
236.530  [Reserved]
236.531  Trip arm; height and distance from rail.
236.532  Strap iron inductor; use restricted.
236.533  [Reserved]
236.534  Entrance to equipped territory; requirements.

                   Rules and Instructions; Locomotives

236.551  Power supply voltage; requirement.
236.552  Insulation resistance; requirement.
236.553  Seal, where required.
236.554  Rate of pressure reduction; equalizing reservoir or brake pipe.
236.555  Repaired or rewound receiver coil.
236.556  Adjustment of relay.
236.557  Receiver; location with respect to rail.
236.558-236.559  [Reserved]
236.560  Contact element, mechanical trip type; location with respect to 
          rail.
236.561  [Reserved]
236.562  Minimum rail current required.
236.563  Delay time.
236.564  Acknowledging time.
236.565  Provision made for preventing operation of pneumatic break-
          applying apparatus by double-heading cock; requirement.
236.566  Locomotive of each train operating in train stop, train control 
          or cab signal territory; equipped.
236.567  Restrictions imposed when device fails and/or is cut out en 
          route.
236.568  Difference between speeds authorized by roadway signal and cab 
          signal; action required.

                      Inspection and Tests; Roadway

236.576  Roadway element.

[[Page 405]]

236.577  Test, acknowledgement, and cut-in circuits.

                    Inspection and Tests; Locomotive

236.586  Daily or after trip test.
236.587  Departure test.
236.588  Periodic test.
236.589  Relays.
236.590  Pneumatic apparatus.

  Subpart F--Dragging Equipment and Slide Detectors and Other Similar 
                           Protective Devices

                                Standards

236.601  Signals controlled by devices; location.

                         Subpart G--Definitions

236.700  Definitions.
236.701  Application, brake; full service.
236.702  Arm, semaphore.
236.703  Aspect.
236.704  [Reserved]
236.705  Bar, locking.
236.706  Bed, locking.
236.707  Blade, semaphore.
236.708  Block.
236.709  Block, absolute.
236.710  Block, latch.
236.711  Bond, rail joint.
236.712  Brake pipe.
236.713  Bridge, movable.
236.714  Cab.
236.715-236.716  [Reserved]
236.717  Characteristics, operating.
236.718  Chart, dog.
236.719  Circuit, acknowledgment.
236.720  Circuit, common return.
236.721  Circuit, control.
236.722  Circuit, cut-in.
236.723  Circuit, double wire; line.
236.724  Circuit, shunt fouling.
236.725  Circuit, switch shunting.
236.726  Circuit, track.
236.727  Circuit, track; coded.
236.728  Circuit, trap.
236.729  Cock, double heading.
236.730  Coil, receiver.
236.731  Controller, circuit.
236.732  Controller, circuit; switch.
236.733  Current, foreign.
236.734  Current of traffic.
236.735  Current, leakage.
236.736  Cut-section.
236.737  Cut-section, relayed.
236.738  Detector, point.
236.739  Device, acknowledging.
236.740  Device, reset.
236.741  Distance, stopping.
236.742  Dog, locking.
236.743  Dog, swing.
236.744  Element, roadway.
236.745  Face, locking.
236.746  Feature, restoring.
236.747  Forestall.
236.748  [Reserved]
236.749  Indication.
236.750  Interlocking, automatic.
236.751  Interlocking, manual.
236.752  Joint, rail, insulated.
236.753  Limits, interlocking.
236.754  Line, open wire.
236.755  Link, rocker.
236.756  Lock, bolt.
236.757  Lock, electric.
236.758  Lock, electric, forced drop.
236.759  Lock, facing point.
236.760  Locking, approach.
236.761  Locking, electric.
236.762  Locking, indication.
236.763  Locking, latch operated.
236.764  Locking, lever operated.
236.765  Locking, mechanical.
236.766  Locking, movable bridge.
236.767  Locking, route.
236.768  Locking, time.
236.769  Locking, traffic.
236.770  Locomotive.
236.771  Machine, control.
236.772  Machine, interlocking.
236.773  Movements, conflicting.
236.774  Movement, facing.
236.775  Movement, switch-and-lock.
236.776  Movement, trailing.
236.777  Operator, control.
236.778  Piece, driving.
236.779  Plate, top.
236.780  Plunger, facing point lock.
236.781  [Reserved]
236.782  Point, controlled.
236.783  Point, stop-indication.
236.784  Position, deenergized.
236.785  Position, false restrictive.
236.786  Principle, closed circuit.
236.787  Protection, cross.
236.788  Receiver.
236.789  Relay, timing.
236.790  Release, time.
236.791  Release, value.
236.792  Reservoir, equalizing.
236.793  Rod, lock.
236.794  Rod, up-and-down.
236.795  Route.
236.796  Routes, conflicting.
236.797  Route, interlocked.
236.798  Section, dead.
236.799  Section, fouling.
236.800  Sheet, locking.
236.801  Shoe, latch.
236.802  Shunt.
236.802a  Siding.
236.803  Signal, approach.
236.804  Signal, block.
236.805  Signal, cab.
236.806  Signal, home.
236.807  Signal, interlocking.
236.808  Signals, opposing.
236.809  Signal, slotted mechanical.
236.810  Spectacle, semaphore arm.
236.811  Speed, medium.
236.812  Speed, restricted.

[[Page 406]]

236.813  Speed, slow.
236.813a  State, most restrictive.
236.814  Station, control.
236.815  Stop.
236.816  Superiority of trains.
236.817  Switch, electro-pneumatic.
236.818  Switch, facing point.
236.819  Switch, hand operated.
236.820  Switch, interlocked.
236.820a  Switch, power-operated.
236.821  Switch, sectionalizing.
236.822  Switch, spring.
236.823  Switch, trailing point.
236.824  System, automatic block signal.
236.825  System, automatic train control.
236.826  System, automatic train stop.
236.827  System, block signal.
236.828  System, traffic control.
236.829  Terminal, initial.
236.830  Time, acknowledging.
236.831  Time, delay.
236.831a  Track, main.
236.832  Train.
236.833  Train, opposing.
236.834  Trip.
236.835  Trunking.
236.836  Trunnion.
236.837  Valve, electro-pneumatic.
236.838  Wire, shunt.

Appendix A to Part 236--Civil Penalties

    Authority: 49 U.S.C. 20103, 20107 and 49 CFR 1.49.

    Source: 33 FR 19684, Dec. 25, 1968, unless otherwise noted.



Sec. 236.0  Applicability, minimum requirements, and civil penalties.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to railroads that operate on standard gage track which is part 
of the general railroad system of transportation.
    (b) This part does not apply to rail rapid transit operations 
conducted over track that is used exclusively for that purpose and that 
is not part of the general system of railroad transportation.
    (c) Where a passenger train is operated at a speed of 60 or more 
miles per hour, or a freight train is operated at a speed of 50 or more 
miles per hour, a block signal system complying with the provisions of 
this part shall be installed or a manual block system shall be placed 
permanently in effect which shall conform to the following conditions:
    (1) A passenger train shall not be admitted to a block occupied by 
another train except under flag protection;
    (2) No train shall be admitted to a block occupied by a passenger 
train except under flag protection;
    (3) No train shall be admitted to a block occupied by an opposing 
train except under flag protection; and
    (4) A freight train, including a work train, may be authorized to 
follow a freight train, including a work train, into a block but the 
following train must proceed prepared to stop within one-half the range 
of vision but not exceeding 20 miles per hour.
    (d) Where any train is operated at a speed of 80 or more miles per 
hour, an automatic cab signal, automatic train stop or automatic train 
control system complying with the provisions of this part shall be 
installed.
    (e) Nothing in this section authorizes the discontinuance of a block 
signal system, interlocking, traffic control system, automatic train 
stop, train control, or cab signal system without approval of the 
Federal Railroad Administration.
    (f) Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500 and not more than $11,000 per violation, except 
that: Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. See appendix A to this part for a 
statement of agency civil penalty policy.

[49 FR 3382, Jan. 26, 1984, as amended at 53 FR 52936, Dec. 29, 1988; 63 
FR 11624, Mar. 10, 1998]

[[Page 407]]



             Subpart A--Rules and Instructions: All Systems

                                 General



Sec. 236.1  Plans, where kept.

    As required for maintenance, plans shall be kept at all 
interlockings, automatic signals and controlled points. Plans shall be 
legible and correct.

[49 FR 3382, Jan. 26, 1984]



Sec. 236.2  Grounds.

    Each circuit, the functioning of which affects the safety of train 
operations, shall be kept free of any ground or combination of grounds 
which will permit a flow of current equal to or in excess of 75 percent 
of the release value of any relay or other electromagnetic device in the 
circuit, except circuits which include any track rail and except the 
common return wires of single-wire, single-break, signal control 
circuits using a grounded common, and alternating current power 
distribution circuits which are grounded in the interest of safety.



Sec. 236.3  Locking of signal apparatus housings.

    Signal apparatus housings shall be secured against unauthorized 
entry.

[49 FR 3382, Jan. 26, 1984]



Sec. 236.4  Interference with normal functioning of device.

    The normal functioning of any device shall not be interfered with in 
testing or otherwise without first taking measures to provide for safety 
of train operation which depends on normal functioning of such device.

[49 FR 3382, Jan. 26, 1984]



Sec. 236.5  Design of control circuits on closed circuit principle.

    All control circuits the functioning of which affects safety of 
train operation shall be designed on the closed circuit principle, 
except circuits for roadway equipment of intermittent automatic train 
stop system.



Sec. 236.6  Hand-operated switch equipped with switch circuit controller.

    Hand-operated switch equipped with switch circuit controller 
connected to the point, or with facing-point lock and circuit 
controller, shall be so maintained that when point is open one-fourth 
inch or more on facing-point switch and three-eights inch or more on 
trailing-point switch, track or control circuits will be opened or 
shunted or both, and if equipped with facing-point lock with circuit 
controller, switch cannot be locked. On such hand-operated switch, 
switch circuit controllers, facing-point locks, switch-and-lock 
movements, and their connections shall be securely fastened in place, 
and contacts maintained with an opening of not less than one-sixteenth 
inch when open.



Sec. 236.7  Circuit controller operated by switch-and-lock movement.

    Circuit controller operated by switch-and-lock movement shall be 
maintained so that normally open contacts will remain closed and 
normally closed contacts will remain open until the switch is locked.



Sec. 236.8  Operating characteristics of electromagnetic, electronic, or electrical apparatus.

    Signal apparatus, the functioning of which affects the safety of 
train operation, shall be maintained in accordance with the limits 
within which the device is designed to operate.

[49 FR 3382, Jan. 26, 1984]



Sec. 236.9  Selection of circuits through indicating or annunciating instruments.

    Signal control and electric locking circuits shall not be selected 
through the contacts of instruments designed primarily for indicating or 
annunciating purposes in which an indicating element attached to the 
armature is arranged so that it can in itself cause improper operation 
of the armature.

[[Page 408]]



Sec. 236.10  Electric locks, force drop type; where required.

    Electric locks on new installations and new electric locks applied 
to existing installations shall be of the forced drop type.



Sec. 236.11  Adjustment, repair, or replacement of component.

    When any component of a signal system, the proper functioning of 
which is essential to the safety of train operation, fails to perform 
its intended signaling function or is not in correspondence with known 
operating conditions, the cause shall be determined and the faulty 
component adjusted, repaired or replaced without undue delay.

[49 FR 3382, Jan. 26, 1984]



Sec. 236.12  Spring switch signal protection; where required.

    Signal protection shall be provided for facing and trailing 
movements through spring switch within interlocking limits and through 
spring switch installed in automatic block signal, train stop, train 
control or cab signal territory where train movements over the switch 
are made at a speed exceeding 20 miles per hour, except that signal 
protection shall be required only with the current of traffic on track 
signaled for movement in only one direction.

    Note: Does not apply to spring switch installed prior to October 1, 
1950 in automatic block signal, automatic train stop, or automatic train 
control territory.


[49 FR 3383, Jan. 26, 1984]



Sec. 236.13  Spring switch; selection of signal control circuits through circuit controller.

    The control circuits of signals governing facing movements over a 
main track spring switch shall be selected through the contacts of a 
switch circuit controller, or through the contacts of relay repeating 
the position of such circuit controller, which, when normally closed 
switch point is open one-fourth inch or more, will cause such signals to 
display their most restrictive aspects, except that where a separate 
aspect is displayed for facing movements over the switch in the reverse 
position the signal shall display its most restrictive aspect when the 
switch points are open one-fourth inch or more from either the normal or 
reverse position.



Sec. 236.14  Spring switch signal protection; requirements.

    (a) The indication of signal governing movements from siding to main 
track with the current of traffic on track signaled for movements in 
only one direction through a spring switch in automatic block signal 
territory shall be not less restrictive than ``Proceed at Restricted 
Speed' when the block, into which movements are governed by the signal, 
is occupied, and shall be ``Stop'' when the main track is occupied by a 
train approaching the switch within at least 1,500 feet in approach of 
the approach signal located stopping distance from the main track signal 
governing trailing movements over switch, except that the indication may 
be caused to be less restrictive if approach or time locking is used.
    (b) The indication of signal governing movements against the current 
of traffic from the reverse main of main tracks to a single track, or 
signal governing movements from a siding to a main track signaled for 
movements in either direction, through a spring switch, in automatic 
block signal territory, shall be not less restrictive than ``Proceed at 
Restricted Speed'' when the block, into which movements are governed by 
the signal, is occupied by a preceding train, and shall be ``Stop'' when 
the block on the single track into which the signal governs is occupied 
by an opposing train.
    (c) The indication of signal governing movements against the current 
of traffic from the reverse main of main tracks to a single track or 
signal governing movements from a siding to a main track signaled for 
movements in either direction through a spring switch in automatic block 
signal territory shall be ``Stop'' when the normal direction main track 
of the double track or the single track signaled for movements in both 
directions is occupied by a train approaching the switch within at least 
1,500 feet in approach of the approach signal located stopping distance 
from the main track signal governing trailing movements over

[[Page 409]]

switch, except that indication may be caused to be less restrictive if 
approach or time locking is used.



Sec. 236.15  Timetable instructions.

    Automatic block, traffic control, train stop, train control and cab 
signal territory shall be designated in timetable instructions.



Sec. 236.16  Electric lock, main track releasing circuit.

    When an electric lock releasing circuit is provided on the main 
track to permit a train or an engine to diverge from the main track 
without time delay, the circuit shall be of such length to permit 
occupancy of the circuit to be seen by a crew member stationed at the 
switch. When the releasing circuit extends into the fouling circuit, a 
train or engine on the siding shall be prevented from occupying the 
releasing circuit by a derail either pipe-connected to switch point or 
equipped with an independently operated electric lock.

[49 FR 3383, Jan. 26, 1984]



Sec. 236.17  Pipe for operating connections, requirements.

    (a) Steel or wrought-iron pipe one inch or larger, or members of 
equal strength, shall be used for operating connections for switches, 
derails, movable-point frogs, facing-point locks, rail-locking devices 
of movable bridge protected by interlocking, and mechanically operated 
signals, except up-and-down rod which may be three-fourths inch pipe or 
solid rod. Pipe shall be fully screwed into coupling and both ends of 
each pipe shall be riveted to pipe plug with 2 rivets.
    (b) Pipeline shall not be out of alignment sufficiently to interfere 
with proper operation, shall be properly compensated for temperature 
changes, and supported on carriers spaced not more than 8 feet apart on 
tangent and curve of less than 2 deg. and not more than 7 feet apart on 
curve of 2 deg. or more. With lever in any position, couplings in pipe 
line shall not foul carriers.

[49 FR 3383, Jan. 26, 1984]

                     Roadway Signals and Cab Signals



Sec. 236.21  Location of roadway signals.

    Each roadway signal shall be positioned and aligned so that its 
aspects can be clearly associated with the track it governs.

[49 FR 3383, Jan. 26, 1984]



Sec. 236.22  Semaphore signal arm; clearance to other objects.

    At least one-half inch clearance shall be provided between semaphore 
signal arm, and any object that may interfere with its operation.



Sec. 236.23  Aspects and indications.

    (a) Aspects shall be shown by the position of semaphore blades, 
color of lights, position of lights, flashing of lights, or any 
combination thereof. They may be qualified by marker plate, number 
plate, letter plate, marker light, shape and color of semaphore blades 
or any combination thereof, subject to the following conditions:
    (1) Night aspects of roadway signals, except qualifying 
appurtenances, shall be shown by lights; day aspects by lights or 
semaphore arms. A single white light shall not be used.
    (2) Reflector lenses or buttons or other devices which depend for 
visibility upon reflected light from an external source shall not be 
used hereafter in night aspects, except qualifying appurtenances.
    (b) The aspects of cab signals shall be shown by lights or by 
illuminated letters or numbers.
    (c) Each aspect displayed by a signal shall be identified by a name 
and shall indicate action to be taken. Only one name and indication 
shall apply to those aspects indicating the same action to be taken; the 
same aspect shall not be used with any other name and indication.
    (d) The fundamental indications of signal aspects shall conform to 
the following:
    (1) A red light, a series of horizontal lights or a semaphore blade 
in a horizontal position shall be used to indicate stop.
    (2) A yellow light, a lunar light, or a series of lights or a 
semaphore blade in the upper or lower quadrant at an angle of 
approximately 45 degrees to

[[Page 410]]

the vertical, shall be used to indicate that speed is to be restricted 
and stop may be required.
    (3) A green light, a series of vertical lights, or a semaphore blade 
in a vertical position in the upper quadrant or 60 deg. or 90 deg. in 
the lower quadrant shall be used to indicate proceed at authorized 
speed.
    (e) The names, indications, and aspects of roadway and cab signals 
shall be defined in the carrier's Operating Rule Book or Special 
Instructions. Modifications shall be filed with the FRA within thirty 
days after such modifications become effective.
    (f) The absence of a qualifying appurtenance, the failure of a lamp 
in a light signal, or a false restrictive position of an arm of a 
semaphore signal shall not cause the display of a less restrictive 
aspect than intended.

[33 FR 19684, Dec. 25, 1968, as amended at 49 FR 3383, Jan. 26, 1984]



Sec. 236.24  Spacing of roadway signals.

    Each roadway signal shall be located with respect to the next signal 
or signals in advance which govern train movements in the same direction 
so that the indication of a signal displaying a restrictive aspect can 
be complied with by means of a brake application, other than an 
emergency application, initiated at such signal, either by stopping at 
the signal where a stop is required, or by a reduction in speed to the 
rate prescribed by the next signal in advance where reduced speed is 
required.



Sec. 236.25  [Reserved]



Sec. 236.26  Buffing device, maintenance.

    Buffing device shall be maintained so as not to cause the signal to 
display a less restrictive aspect than intended.

                             Track Circuits



Sec. 236.51  Track circuit requirements.

    Track relay controlling home signals shall be in deenergized 
position, or device that functions as a track relay controlling home 
signals shall be in its most restrictive state, and the track circuit of 
an automatic train stop, train control, or cab signal system shall be 
deenergized in the rear of the point where any of the following 
conditions exist:
    (a) When a rail is broken or a rail or switch-frog is removed except 
when a rail is broken or removed in the shunt fouling circuit of a 
turnout or crossover, provided, however, that shunt fouling circuit may 
not be used in a turnout through which permissible speed is greater than 
45 miles per hour. It shall not be a violation of this requirement if a 
track circuit is energized:
    (1) When a break occurs between the end of rail and track circuit 
connector; within the limits of rail-joint bond, appliance or other 
protective device, which provides a bypath for the electric current, or
    (2) As result of leakage current or foreign current in the rear of a 
point where a break occurs.
    (b) When a train, locomotive, or car occupies any part of a track 
circuit, including fouling section of turnout except turnouts of hand-
operated main track crossover. It shall not be a violation of this 
requirement where the presence of sand, rust, dirt, grease, or other 
foreign matter prevents effective shunting, except that where such 
conditions are known to exist adequate measures to safeguard train 
operation must be taken.
    (c) Where switch shunting circuit is used:
    (1) Switch point is not closed in normal position.
    (2) A switch is not locked where facing-point lock with circuit 
controller is used.
    (3) An independently operated fouling-point derail equipped with 
switch circuit controller is not in derailing position.

[33 FR 19684, Dec. 25, 1968, as amended at 49 FR 3383, Jan. 26, 1984]



Sec. 236.52  Relayed cut-section.

    Where relayed cut-section is used in territory where noncoded 
direct-current track circuits are in use the energy circuit to the 
adjoining track shall be open and the track circuit shunted when the 
track relay at such cut-section is in deenergized position.

[[Page 411]]



Sec. 236.53  Track circuit feed at grade crossing.

    At grade crossing with an electric railroad where foreign current is 
present, the electric energy for noncoded direct current track circuit 
shall feed away from the crossing.



Sec. 236.54  Minimum length of track circuit.

    When a track circuit shorter than maximum inner wheelbase of any 
locomotive or car operated over such track circuit is used for control 
of signaling facilities, other means shall be used to provide the 
equivalent of track circuit protection.

[49 FR 3383, Jan. 26, 1984]



Sec. 236.55  Dead section; maximum length.

    Where dead section exceeds 35 feet, a special circuit shall be 
installed. Where shortest outer wheelbase of a locomotive operating over 
such dead section is less than 35 feet, the maximum length of the dead 
section shall not exceed the length of the outer wheelbase of such 
locomotive unless special circuit is used.

[49 FR 3383, Jan. 26, 1984]



Sec. 236.56  Shunting sensitivity.

    Each track circuit controlling home signal or approach locking shall 
be so maintained that track relay is in deenergized position, or device 
that functions as a track relay shall be in its most restrictive state 
if, when track circuit is dry, a shunt of 0.06 ohm resistance is 
connected across the track rails of the circuit, including fouling 
sections of turnouts.

[49 FR 3383, Jan. 26, 1984]



Sec. 236.57  Shunt and fouling wires.

    (a) Except as provided in paragraph (b) of this section, shunt wires 
and fouling wires hereafter installed or replaced shall consist of at 
least two discrete conductors, and each shall be of sufficient 
conductivity and maintained in such condition that the track relay will 
be in deenergized position, or device that functions as a track relay 
will be in its most restrictive state, when the circuit is shunted.
    (b) This rule does not apply to shunt wires where track or control 
circuit is opened by the switch circuit controller.

[49 FR 3383, Jan. 26, 1984]



Sec. 236.58  Turnout, fouling section.

    Rail joints within the fouling section shall be bonded, and fouling 
section shall extend at least to a point where sufficient tract centers 
and allowance for maximum car overhang and width will prevent 
interference with train, locomotive, or car movement on the adjacent 
track.

[49 FR 3383, Jan. 26, 1984]



Sec. 236.59  Insulated rail joints.

    Insulated rail joints shall be maintained in condition to prevent 
sufficient track circuit current from flowing between the rails 
separated by the insulation to cause a failure of any track circuit 
involved.



Sec. 236.60  Switch shunting circuit; use restricted.

    Switch shunting circuit shall not be hereafter installed, except 
where tract or control circuit is opened by the circuit controller.

[49 FR 3384, Jan. 26, 1984]

                            Wires and Cables



Sec. 236.71  Signal wires on pole line and aerial cable.

    Signal wire on pole line shall be securely tied in on insulator 
properly fastened to crossarm or bracket supported by pole or other 
support. Signal wire shall not interfere with, or be interfered by, 
other wires on the pole line. Aerial cable shall be supported by 
messenger.

[49 FR 3384, Jan. 26, 1984]



Sec. 236.72  [Reserved]



Sec. 236.73  Open-wire transmission line; clearance to other circuits.

    Open-wire transmission line operating at voltage of 750 volts or 
more shall be placed not less than 4 feet above the nearest crossarm 
carrying signal or communication circuits.

[[Page 412]]



Sec. 236.74  Protection of insulated wire; splice in underground wire.

    Insulated wire shall be protected from mechanical injury. The 
insulation shall not be punctured for test purposes. Splice in 
underground wire shall have insulation resistance at least equal to the 
wire spliced.



Sec. 236.75  [Reserved]



Sec. 236.76  Tagging of wires and interference of wires or tags with signal apparatus.

    Each wire shall be tagged or otherwise so marked that it can be 
identified at each terminal. Tags and other marks of identification 
shall be made of insulating material and so arranged that tags and wires 
do not interfere with moving parts of apparatus.

[49 FR 3384, Jan. 26, 1984]

                   Inspections and Tests; All Systems



Sec. 236.101  Purpose of inspection and tests; removal from service of relay or device failing to meet test requirements.

    The following inspections and tests shall be made in accordance with 
specifications of the carrier, subject to approval of the FRA, to 
determine if the apparatus and/or equipment is maintained in condition 
to perform its intended function. Electronic device, relay, or other 
electromagnetic device which fails to meet the requirements of specified 
tests shall be removed from service, and shall not be restored to 
service until its operating characteristics are in accordance with the 
limits within which such device or relay is designed to operate.

[49 FR 3384, Jan. 26, 1984]



Sec. 236.102  Semaphore or searchlight signal mechanism.

    (a) Semaphore signal mechanism shall be inspected at least once 
every six months, and tests of the operating characteristics of all 
parts shall be made at least once every two years.
    (b) Searchlight signal mechanism shall be inspected, and the 
mechanical movement shall be observed while operating the mechanism to 
all positions, at least once every six months. Tests of the operating 
characteristics shall be made at least once every two years.

[49 FR 3384, Jan. 26, 1984]



Sec. 236.103  Switch circuit controller or point detector.

    Switch circuit controller, circuit controller, or point detector 
operated by hand-operated switch or by power-operated or mechanically-
operated switch-and-lock movement shall be inspected and tested at least 
once every three months.

[49 FR 3384, Jan. 26, 1984]



Sec. 236.104  Shunt fouling circuit.

    Shunt fouling circuit shall be inspected and tested at least once 
every three months.



Sec. 236.105  Electric lock.

    Electric lock, except forced-drop type, shall be tested at least 
once every two years.



Sec. 236.106  Relays.

    Each relay, the functioning of which affects the safety of train 
operations, shall be tested at least once every four years except:
    (a) Alternating current centrifugal type relay shall be tested at 
least once every 12 months;
    (b) Alternating current vane type relay and direct current polar 
type relay shall be tested at least once every 2 years; and
    (c) Relay with soft iron magnetic structure shall be tested at least 
once every 2 years.

[49 FR 3384, Jan. 26, 1984]



Sec. 236.107  Ground tests.

    (a) Except as provided in paragraph (b) of this section, a test for 
grounds on each energy bus furnishing power to circuits, the functioning 
of which affects the safety of train operation, shall be made when such 
energy bus is placed in service, and shall be made at least once every 
three months thereafter.
    (b) The provisions of this rule shall not apply to track circuit 
wires, common return wires of grounded common single-break circuits, or 
alternating

[[Page 413]]

current power distribution circuits grounded in the interest of safety.

[49 FR 3384, Jan. 26, 1984]



Sec. 236.108  Insulation resistance tests, wires in trunking and cables.

    (a) Insulation resistance of wires and cables, except wires 
connected directly to track rails, shall be tested when wires, cables, 
and insulation are dry. Insulation resistance tests shall be made 
between all conductors and ground, and between conductors in each 
multiple conductor cable, and between conductors in trunking, when wires 
or cables are installed and at least once every ten years thereafter.
    (b) Then insulation resistance of wire or cable is found to be less 
than 500,000 ohms, prompt action shall be taken to repair or replace the 
defective wire or cable and until such defective wire or cable is 
replaced, insulation resistance test shall be made annually.
    (c) In no case shall a circuit be permitted to function on a 
conductor having an insulation resistance to ground or between 
conductors of less than 200,000 ohms during the period required for 
repair or replacement.

[49 FR 3384, Jan. 26, 1984]



Sec. 236.109  Time releases, timing relays and timing devices.

    Time releases, timing relays and timing devices shall be tested at 
least once every twelve months. The timing shall be maintained at not 
less than 90 percent of the predetermined time interval, which shall be 
shown on the plans or marked on the time release, timing relay, or 
timing device.

[49 FR 3384, Jan. 26, 1984]



Sec. 236.110  Results of tests.

    Results of tests made in compliance with Secs. 236.109 to 236.102, 
inclusive; 236.376 to 236.387, inclusive; 236.576; 236.577; and 236.586 
to 236.589, inclusive, shall be recorded on preprinted or computerized 
forms provided by the railroad. Such forms shall show the name of the 
railroad, place and date, equipment tested, results of tests, repairs, 
replacements, adjustments made, and condition in which the apparatus was 
left. Each record shall be signed by the employee making the test and 
shall be filed in the office of a supervisory official having 
jurisdiction. Results of tests made in compliance with Sec. 236.587 
shall be retained for 92 days. Results of all other tests listed in this 
section shall be retained until the next record is filed but in no case 
less than one year.

[53 FR 37313, Sept. 26, 1988]



                Subpart B--Automatic Block Signal Systems

                                Standards



Sec. 236.201  Track-circuit control of signals.

    The control circuits for home signal aspects with indications more 
favorable than ``proceed at restricted speed'' shall be controlled 
automatically by track circuits extending through the entire block.



Sec. 236.202  Signal governing movements over hand-operated switch.

    Signal governing movements over hand-operated switch in the facing 
direction shall display its most restrictive aspect when the points are 
open one-fourth inch or more and, in the trailing direction, three-
eighths inch or more, except that where a separate aspect is displayed 
for facing movements over the switch in the normal and in the reverse 
position, the signal shall display its most restrictive aspect when the 
switch points are open one-fourth inch or more from either the normal or 
reverse position.



Sec. 236.203  Hand operated crossover between main tracks; protection.

    At hand-operated crossover between main tracks, protection shall be 
provided by one of the following:
    (a) An arrangement of one or more track circuits and switch circuit 
controllers,
    (b) Facing point locks on both switches of the crossover, with both 
locks operated by a single lever, or
    (c) Electric locking of the switches of the crossover. Signals 
governing movements over either switch shall display their most 
restrictive aspect when any of the following conditions exist:
    (1) Where protection is provided by one or more track circuits and 
switch

[[Page 414]]

circuit controllers, and either switch is open or the crossover is 
occupied by a train, locomotive or car in such a manner as to foul the 
main track. It shall not be a violation of this requirement where the 
presence of sand, rust, dirt, grease or other foreign matter on the rail 
prevents effective shunting;
    (2) Where facing point locks with a single lever are provided, and 
either switch is unlocked;
    (3) Where the switches are electrically locked, before the electric 
locking releases.



Sec. 236.204  Track signaled for movements in both directions, requirements.

    On track signaled for movements in both directions, a train shall 
cause one or more opposing signals immediately ahead of it to display 
the most restrictive aspect, the indication of which shall be not more 
favorable than ``proceed at restricted speed.'' Signals shall be so 
arranged and controlled that if opposing trains can simultaneously pass 
signals displaying proceed aspects and the next signal in advance of 
each such signal then displays an aspect requiring a stop, or its most 
restrictive aspect, the distance between opposing signals displaying 
such aspects shall be not less than the aggregate of the stopping 
distances for movements in each direction. Where such opposing signals 
are spaced stopping distance apart for movements in one direction only, 
signals arranged to display restrictive aspects shall be provided in 
approach to at least one of the signals. Where such opposing signals are 
spaced less than stopping distance apart for movements in one direction, 
signals arranged to display restrictive aspects shall be provided in 
approach to both such signals. In absolute permissive block signaling, 
when a train passes a head block signal, it shall cause the opposing 
head block signal to display an aspect with an indication not more 
favorable than ``stop.''

[33 FR 19684, Dec. 25, 1968, as amended at 49 FR 3384, Jan. 26, 1984]



Sec. 236.205  Signal control circuits; requirements.

    The circuits shall be so installed that each signal governing train 
movements into a block will display its most restrictive aspect when any 
of the following conditions obtain within the block:
    (a) Occupancy by a train, locomotive, or car,
    (b) When points of a switch are not closed in proper position,
    (c) When an independently operated fouling point derail equipped 
with switch circuit controller is not in derailing position,
    (d) When a track relay is in de-energized position or a device which 
functions as a track relay is in its most restrictive state; or when 
signal control circuit is deenergized.

[33 FR 19684, Dec. 25, 1968, as amended at 49 FR 3385, Jan. 26, 1984]



Sec. 236.206  Battery or power supply with respect to relay; location.

    The battery or power supply for each signal control relay circuit, 
where an open-wire circuit or a common return circuit is used, shall be 
located at the end of the circuit farthest from the relay.



Sec. 236.207  Electric lock on hand-operated switch; control.

    Electric lock on hand-operated switch shall be controlled so that it 
cannot be unlocked until control circuits of signals governing movements 
over such switch have been opened. Approach or time locking shall be 
provided.

[49 FR 3385, Jan. 26, 1984]



                         Subpart C--Interlocking

                                Standards



Sec. 236.301  Where signals shall be provided.

    Signals shall be provided to govern train movements into and through 
interlocking limits, except that a signal shall not be required to 
govern movements over a hand-operated switch into interlocking limits if 
the switch is provided with an electric lock and a derail at the 
clearance point, either pipe-connected to the switch or independently 
locked, electrically. Electric locks installed under this rule

[[Page 415]]

must conform to the time and approach locking requirements of Rule 314 
(without reference to the 20-mile exceptions), and those of either Rule 
760 or Rule 768, as may be appropriate.



Sec. 236.302  Track circuits and route locking.

    Track circuits and route locking shall be provided and shall be 
effective when the first pair of wheels of a locomotive or a car passes 
a point not more than 13 feet in advance of the signal governing its 
movement, measured from the center of the mast, or if there is no mast, 
from the center of the signal.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.303  Control circuits for signals, selection through circuit controller operated by switch points or by switch locking mechanism.

    The control circuit for each aspect with indication more favorable 
than ``proceed at restricted speed'' of power operated signal governing 
movements over switches, movable-point frogs and derails shall be 
selected through circuit controller operated directly by switch points 
or by switch locking mechanism, or through relay controlled by such 
circuit controller, for each switch, movable-point frog, and derail in 
the routes governed by such signal. Circuits shall be arranged so that 
such signal can display an aspect more favorable than ``proceed at 
restricted speed,'' only when each switch, movable-point frog, and 
derail in the route is in proper position.



Sec. 236.304  Mechanical locking or same protection effected by circuits.

    Mechanical locking, or the same protection effected by means of 
circuits, shall be provided.



Sec. 236.305  Approach or time locking.

    Approach or time locking shall be provided in connection with 
signals displaying aspects with indications more favorable than 
``proceed at restricted speed.''



Sec. 236.306  Facing point lock or switch-and-lock movement.

    Facing point lock or switch-and-lock movement shall be provided for 
mechanically operated switch, movable-point frog, or split-point derail.



Sec. 236.307  Indication locking.

    Indication locking shall be provided for operative approach signals 
of the semaphore type, power-operated home signals, power-operated 
switches, movable-point frogs and derails, and for all approach signals 
except light signals, all aspects of which are controlled by polar or 
coded track circuits or line circuits so arranged that a single fault 
will not permit a more favorable aspect than intented to be displayed.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.308  Mechanical or electric locking or electric circuits; requisites.

    Mechanical or electric locking or electric circuits shall be 
installed to prevent signals from displaying aspects which permit 
conflicting movements except that opposing signals may display an aspect 
indicating proceed at restricted speed at the same time on a track used 
for switching movements only, by one train at a time. Manual 
interlocking in service as of the date of this part at which opposing 
signals on the same track are permitted simultaneously to display 
aspects authorizing conflicting movements when interlocking is 
unattended, may be continued, provided that simultaneous train movements 
in opposite directions on the same track between stations on either side 
of the interlocking are not permitted.

    Note: Relief from the requirement of this section will be granted 
upon an adequate showing by an individual carrier to allow opposing 
signals on the same track simultaneously to display aspects to proceed 
through an interlocking which is unattended, provided that train 
movements in opposite directions on the same track between stations on 
either site of the interlocking are not permitted at the same time.



Sec. 236.309  Loss of shunt protection; where required.

    (a) A loss of shunt of 5 seconds or less shall not permit an 
established route to be changed at an automatic interlocking.
    (b) A loss of shunt of 5 seconds or less shall not permit the 
release of the

[[Page 416]]

route locking circuit of each power-operated switch hereafter installed.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.310  Signal governing approach to home signal.

    A signal shall be provided on main track to govern the approach with 
the current of traffic to any home signal except where the home signal 
is the first signal encountered when leaving yards or stations and 
authorized speed approaching such signal is not higher than slow speed. 
When authorized speed between home signals on route governed is 20 miles 
per hour or less, an inoperative signal displaying an aspect indicating 
``approach next signal prepared to stop'' may be used to govern the 
approach to the home signal.



Sec. 236.311  Signal control circuits, selection through track relays or devices functioning as track relays and through signal mechanism contacts and time 
          releases at automatic interlocking.

    (a) The control circuits for aspects with indications more favorable 
than ``proceed at restricted speed'' shall be selected through track 
relays, or through devices that function as track relays, for all track 
circuits in the route governed.
    (b) At automatic interlocking, signal control circuits shall be 
selected (1) through track relays, or devices that function as track 
relays, for all track circuits in the route governed and in all 
conflicting routes within the interlocking; (2) through signal mechanism 
contacts or relay contacts closed when signals for such conflicting 
routes display ``stop'' aspects; and (3) through normal contacts of time 
releases, time element relays, or timing devices for such conflicting 
routes, or contacts of relays repeating the normal position or normal 
state of such time releases, time element relays, or timing devices.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.312  Movable bridge, interlocking of signal appliances with bridge devices.

    When movable bridge is protected by interlocking the signal 
appliances shall be so interlocked with bridge devices that before a 
signal governing movements over the bridge can display an aspect to 
proceed the bridge must be locked and the track alined, with the bridge 
locking members within one inch of their proper positions and with the 
track rail on the movable span within three-eighths inch of correct 
surface and alinement with rail seating device on bridge abutment or 
fixed span. Emergency bypass switches and devices shall be locked or 
sealed.

[33 FR 19684, Dec. 25, 1968, as amended at 49 FR 3385, Jan. 26, 1984]



Sec. 236.313  [Reserved]



Sec. 236.314  Electric lock for hand-operated switch or derail.

    Electric lock shall be provided for each hand-operated switch or 
derail within interlocking limits, except where train movements are made 
at not exceeding 20 miles per hour. At manually operated interlocking it 
shall be controlled by operator of the machine and shall be unlocked 
only after signals governing movements over such switch or derail 
display aspects indicating stop. Approach or time locking shall be 
provided.

                         Rules and Instructions



Sec. 236.326  Mechanical locking removed or disarranged; requirement for permitting train movements through interlocking.

    When mechanical locking of interlocking machine is being changed or 
is removed from the machine, or locking becomes disarranged or broken, 
unless protection equivalent to mechanical locking is provided by 
electric locking or electric circuits, train movements through the 
interlocking shall not be permitted until each switch, movable-point 
frog or derail in the route is spiked, clamped or blocked in proper 
position so that it cannot be moved by its controlling lever, and then 
train movements shall not exceed restricted speed until the interlocking 
is restored to normal operation. It will not be necessary to comply with 
this requirement at interlockings where protection is in service in 
accordance with section 303, provided that the signal controls are 
arranged so that the signals cannot display an aspect the indication of

[[Page 417]]

which is less restrictive than ``proceed at restricted speed.''



Sec. 236.327  Switch, movable-point frog or split-point derail.

    Switch, movable-point frog, or split-point derail equipped with lock 
rod shall be maintained so that it can not be locked when the point is 
open three-eighths inch or more.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.328  Plunger of facing-point lock.

    Plunger of lever operated facing-point lock shall have at least 8-
inch stroke. When lock lever is in unlocked position the end of the 
plunger shall clear the lock rod not more than one inch.



Sec. 236.329  Bolt lock.

    Bolt lock shall be so maintained that signal governing movements 
over switch or derail and displaying an aspect indicating stop cannot be 
operated to display a less restrictive aspect while derail is in 
derailing position, or when switch point is open one-half inch or more.



Sec. 236.330  Locking dog of switch-and-lock movement.

    Locking dog of switch-and-lock movement shall extend through lock 
rod one-half inch or more in either normal or reverse position.



Secs. 236.331-236.333  [Reserved]



Sec. 236.334  Point detector.

    Point detector shall be maintained so that when switch mechanism is 
locked in normal or reverse position, contacts cannot be opened by 
manually applying force at the closed switch point. Point detector 
circuit controller shall be maintained so that the contacts will not 
assume the position corresponding to switch point closure if the switch 
point is prevented by an obstruction, from closing to within one-fourth 
inch where latch-out device is not used, and to within three-eighths 
inch where latch-out device is used.



Sec. 236.335  Dogs, stops and trunnions of mechanical locking.

    Driving pieces, dogs, stops and trunnions shall be rigidly secured 
to locking bars. Swing dogs shall have full and free movement. Top 
plates shall be maintained securely in place.



Sec. 236.336  Locking bed.

    The various parts of the locking bed, locking bed supports, and 
tappet stop rail shall be rigidly secured in place and alined to permit 
free operation of locking.



Sec. 236.337  Locking faces of mechanical locking; fit.

    Locking faces shall fit squarely against each other with a minimum 
engagement when locked of at least one-half the designed locking face.



Sec. 236.338  Mechanical locking required in accordance with locking sheet and dog chart.

    Mechanical locking shall be in accordance with locking sheet and dog 
chart currently in effect.



Sec. 236.339  Mechanical locking, maintenance requirements.

    Locking and connections shall be maintained so that, when a lever or 
latch is mechanically locked the following will be prevented:
    (a) Mechanical machine. (1) Latch-operated locking. Raising lever 
latch block so that bottom thereof is within three-eighths inch of top 
of quadrant.
    (2) Lever-operated locking. Moving lever latch block more than 
three-eighths inch on top of quadrant.
    (b) Electromechanical machine. (1) Lever moving in horizontal plant. 
Moving lever more than five-sixteenths inch when in normal position or 
more than nine-sixteenths inch when in reverse position.
    (2) Lever moving in arc. Moving lever more than 5 degrees.
    (c) Power machine. (1) Latch-operated locking. Raising lever latch 
block to that bottom thereof is within seven thirty-seconds inch of top 
of quadrant.
    (2) Lever moving in horizontal plane. Moving lever more than five-
sixteenths inch when in normal position or more than nine-sixteenths 
inch when in reverse position.
    (3) Lever moving in arc. Moving lever more than 5 degrees.

[[Page 418]]



Sec. 236.340  Electromechanical interlocking machine; locking between electrical and mechanical levers.

    In electro-mechanical interlocking machine, locking between electric 
and mechanical levers shall be maintained so that mechanical lever 
cannot be operated except when released by electric lever.



Sec. 236.341  Latch shoes, rocker links, and quadrants.

    Latch shoes, rocker links, and quadrants of Saxby and farmer 
machines shall be maintained so that locking will not release if a 
downward force not exceeding a man's weight is exerted on the rocker 
while the lever is in the mid-stroke position.



Sec. 236.342  Switch circuit controller.

    Switch circuit controller connected at the point to switch, derail, 
or movable-point frog, shall be maintained so that its contacts will not 
be in position corresponding to switch point closure when switch point 
is open one-fourth inch or more.

                          Inspection and Tests



Sec. 236.376  Mechanical locking.

    Mechanical locking in interlocking machine shall be tested when new 
locking is installed; and thereafter when change in locking is made, or 
locking becomes disarranged, or tested at least once every two years, 
whichever shall occur first.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.377  Approach locking.

    Approach locking shall be tested when placed in service and 
thereafter when modified, disarranged, or at least once every two years, 
whichever shall occur first.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.378  Time locking.

    Time locking shall be tested when placed in service and thereafter 
when modified, disarranged, or at least once every two years, whichever 
shall occur first.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.379  Route locking.

    Route locking or other type of switch locking shall be tested when 
placed in service and thereafter when modified, disarranged, or at least 
once every two years, whichever shall occur first.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.380  Indication locking.

    Indication locking shall be tested when placed in service and 
thereafter when modified, disarranged, or at least once every two years, 
whichever shall occur first.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.381  Traffic locking.

    Traffic locking shall be tested when placed in service and 
thereafter when modified, disarranged, or at least once every two years, 
whichever shall occur first.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.382  Switch obstruction test.

    Switch obstruction test of lock rod of each power-operated switch 
and lock rod of each hand-operated switch equipped with switch-and-lock-
movement shall be made when lock rod is placed in service or changed 
out, but not less than once each month.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.383  Valve locks, valves, and valve magnets.

    Valve locks on valves of the non-cut-off type shall be tested at 
least once every three months, and valves and valve magnets shall be 
tested at least once every year.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.384  Cross protection.

    Cross protection shall be tested at least once every six months.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.385  [Reserved]



Sec. 236.386  Restoring feature on power switches.

    Restoring feature on power switches shall be tested at least once 
every three months.

[[Page 419]]



Sec. 236.387  Movable bridge locking.

    Movable bridge locking shall be tested at least once a year.



                   Subpart D--Traffic Control Systems
                                Standards



Sec. 236.401  Automatic block signal system and interlocking standards applicable to traffic control systems.

    The standards prescribed in Secs. 236.201, to 236.203, inclusive, 
Secs. 236.205, 236.206, 236.303, 236.307 and 236.309 to 236.311, 
inclusive, shall apply to traffic control systems.

[49 FR 3385, Jan. 26, 1984]



Sec. 236.402  Signals controlled by track circuits and control operator.

    The control circuits for home signal aspects with indications more 
favorable than ``proceed at restricted speed'' shall be controlled by 
track circuits extending through entire block. Also in addition, at 
controlled point they may be controlled by control operator, and, at 
manually operated interlocking, they shall be controlled manually in 
cooperation with control operator.



Sec. 236.403  Signals at controlled point.

    Signals at controlled point shall be so interconnected that aspects 
to proceed cannot be displayed simultaneously for conflicting movements, 
except that opposing signals may display an aspect indicating ``proceed 
at restricted speed'' at the same time on a track used for switching 
movements only, by one train at a time.

[49 FR 3386, Jan. 26, 1984]



Sec. 236.404  Signals at adjacent control points.

    Signals at adjacent controlled points shall be so interconnected 
that aspects to proceed on tracks signaled for movements at greater than 
restricted speed cannot be displayed simultaneously for conflicting 
movements.



Sec. 236.405  Track signaled for movements in both directions, change of direction of traffic.

    On track signaled for movements in both directions, occupancy of the 
track between opposing signals at adjacent controlled points shall 
prevent changing the direction of traffic from that which obtained at 
the time the track became occupied, except that when a train having left 
one controlled point reaches a section of track immediately adjacent to 
the next controlled point at which switching is to be performed, an 
aspect permitting movement at not exceeding restricted speed may be 
displayed into the occupied block.



Sec. 236.406  [Reserved]



Sec. 236.407  Approach or time locking; where required.

    Approach or time locking shall be provided for all controlled 
signals where route or direction of traffic can be changed.

[49 FR 3386, Jan. 26, 1984]



Sec. 236.408  Route locking.

    Route locking shall be provided where switches are power-operated. 
Route locking shall be effective when the first pair of wheels of a 
locomotive or car passes a point not more than 13 feet in advance of the 
signal governing its movement, measured from the center of the signal 
mast or, if there is no mast, from the center of the signal.

[49 FR 3386, Jan. 26, 1984]



Sec. 236.409  [Reserved]



Sec. 236.410  Locking, hand-operated switch; requirements.

    (a) Each hand-operated switch in main track shall be locked either 
electrically or mechanically in normal position, except:
    (1) Where train speeds over the switch do not exceed 20 miles per 
hour;
    (2) Where trains are not permitted to clear the main track;
    (3) Where a signal is provided to govern train movements from the 
auxiliary track to the signaled track; or
    (4) On a signaled siding without intermediate signals where the 
maximum authorized speed on the siding does not exceed 30 miles per 
hour.
    (b) Approach or time locking shall be provided and locking may be 
released either automatically, or by the control operator, but only 
after the control circuits of signals governing movement in either 
direction over the switch and

[[Page 420]]

which display aspects with indications more favorable than ``proceed at 
restricted speed'' have been opened directly or by shunting of track 
circuit.

    Note: Each carrier subject to this rule is hereby authorized to 
remove electrical or mechanical locks now installed within the purview 
of Sec. 236.410 when either exception (1) or (2) of the present rule is 
satisfied, subject to the condition that the following procedures and 
actions be accomplished:
    1. Each carrier intending to remove a lock under the findings made 
herein and based on the existence of one or more of the circumstances as 
set forth in exception (1) or (2) as contained in the revised section, 
shall:
    (a) Notify the FRA by letter setting forth the location of the lock 
involved and the specific exception on which removal is based.
    (b) Include in the letter to the FRA an assurance that the excepting 
circumstance relied upon will not be changed without either 
reinstallation of the electric or mechanical lock, or approval by the 
FRA of the changed circumstances.
    (c) Publish in its Time Table the not-to-exceed 20 miles per hour 
speed limit covering the area of the switch, when that is the exception 
relied upon; or, where exception (2) is relied upon, publish either in 
the Special Instructions part of its Time Table or in separate printed 
Special Instructions the location of each hand-operated switch where 
electric or mechanical lock is removed and, where train movements are 
made in excess of twenty (20) miles per hour, concurrently issuing 
specific instructions, by stating therein, that trains are not to be 
permitted to clear the main track at such switch.
    2. Following the foregoing, and upon acknowledgment of the letter to 
the FRA, such acknowledgment to be made promptly as an administrative 
action by the FRA's Bureau of Railroad Safety, and such acknowledging 
letter to be retained by the carrier as authority for the removal and as 
a record of the exception on which relied, the lock may then be removed.

    (c) Where a signal is used in lieu of electric or mechanical lock to 
govern movements from auxiliary track to signaled track, the signal 
shall not display an aspect to proceed until after the control circuits 
of signals governing movement on main track in either direction over the 
switch have been opened, and either the approach locking circuits to the 
switch are unoccupied or a predetermined time interval has expired.

    Note: Railroads shall bring all hand-operated switches that are not 
electrically or mechanically locked and that do not conform to the 
requirements of this section on the effective date of this part into 
conformity with this section in accordance with the following schedule:

    Not less than 33% during calendar year 1984.
    Not less than 66% during calendar year 1985.
    The remainder during calendar year 1986.

[33 FR 19684, Dec. 25, 1968, as amended at 49 FR 3386, Jan. 26, 1984]

                         Rules and Instructions



Sec. 236.426  Interlocking rules and instructions applicable to traffic control systems.

    The rules and instructions prescribed in Secs. 236.327 and 236.328, 
Sec. 236.330 to Sec. 236.334, inclusive, and Sec. 236.342 shall apply to 
traffic control systems.

                          Inspection and Tests



Sec. 236.476  Interlocking inspections and tests applicable to traffic control systems.

    The inspections and tests prescribed in Secs. 236.377 to 236.380, 
inclusive, and Secs. 236.382, 236.383, and 236.386 shall apply to 
traffic control systems.

[49 FR 3386, Jan. 26, 1984]



  Subpart E--Automatic Train Stop, Train Control and Cab Signal Systems

                                Standards



Sec. 236.501  Forestalling device and speed control.

    (a) An automatic train stop system may include a device by means of 
which the automatic application of the brakes can be forestalled.
    (b) Automatic train control system shall include one or more of the 
following features:
    (1) Low-speed restriction, requiring the train to proceed under slow 
speed after it has either been stopped by an automatic application of 
the brakes, or under control of the engineman, its speed has been 
reduced to slow speed, until the apparatus is automatically restored to 
normal because the condition which caused the restriction no longer 
affects the movement of the train.

[[Page 421]]

    (2) Medium-speed restriction, requiring the train to proceed under 
medium speed after passing a signal displaying an approach aspect or 
when approaching a signal requiring a stop, or a stop indication point, 
in order to prevent an automatic application of the brakes.

    Note: Relief from the requirements of paragraphs (b) (1) and (2) of 
this section will be granted, insofar as speed limits fixed by 
definitions of Slow and Medium speeds are concerned, upon an adequate 
showing by an individual carrier where automatic train control systems 
now in service enforce speed restrictions higher than those required by 
definitions in Secs. 236.700 to 236.838 inclusive.

    (3) Maximum-speed restriction, effecting an automatic brake 
application whenever the predetermined maximum speed limit is exceeded.



Sec. 236.502  Automatic brake application, initiation by restrictive block conditions stopping distance in advance.

    An automatic train-stop or train-control system shall operate to 
initiate an automatic brake application at least stopping distance from 
the entrance to a block, wherein any condition described in Sec. 236.205 
obtains, and at each main track signal requiring a reduction in speed.



Sec. 236.503  Automatic brake application; initiation when predetermined rate of speed exceeded.

    An automatic train control system shall operate to initiate an 
automatic brake application when the speed of the train exceeds the 
predetermined rate as required by the setting of the speed control 
mechanism.



Sec. 236.504  Operation interconnected with automatic block-signal system.

    (a) A continuous inductive automatic train stop or train control 
system shall operate in connection with an automatic block signal system 
and shall be so interconnected with the signal system as to perform its 
intended function in event of failure of the engineer to acknowledge or 
obey a restrictive wayside signal or a more restrictive cab signal.
    (b) An intermittent inductive automatic train stop system shall 
operate in connection with an automatic block signal system and shall be 
so interconnected with the signal system that the failure of the 
engineer to acknowledge a restrictive wayside signal will cause the 
intermittent inductive automatic train stop system to perform its 
intended function.

[49 FR 3386, Jan. 26, 1984]



Sec. 236.505  Proper operative relation between parts along roadway and parts on locomotive.

    Proper operative relation between the parts along the roadway and 
the parts on the locomotive shall obtain under all conditions of speed, 
weather, wear, oscillation, and shock.



Sec. 236.506  Release of brakes after automatic application.

    The automatic train stop or train control apparatus shall prevent 
release of the brakes after automatic application until a reset device 
has been operated, or the speed of the train has been reduced to a 
predetermined rate, or the condition that caused the brake application 
no longer affects the movement of the train. If reset device is used it 
shall be arranged so that the brakes cannot be released until the train 
has been stopped, or it shall be located so that it cannot be operated 
by engineman without leaving his accustomed position in the cab.



Sec. 236.507  Brake application; full service.

    The automatic train stop or train control apparatus shall, when 
operated, cause a full service application of the brakes.



Sec. 236.508  Interference with application of brakes by means of brake valve.

    The automatic train stop, train control, or cab signal apparatus 
shall be so arranged as not to interfere with the application of the 
brakes by means of the brake valve and not to impair the efficiency of 
the brake system.

[49 FR 3386, Jan. 26, 1984]



Sec. 236.509  Two or more locomotives coupled.

    The automatic train stop, train control or cab signal apparatus 
shall be arranged so that when two or more locomotives are coupled, or a 
pushing or

[[Page 422]]

helping locomotive is used, it can be made operative only on the 
locomotive from which the brakes are controlled.



Sec. 236.510  [Reserved]



Sec. 236.511  Cab signals controlled in accordance with block conditions stopping distance in advance.

    The automatic cab signal system shall be arranged so that cab 
signals will be continuously controlled in accordance with conditions 
described in Sec. 236.205 that obtain at least stopping distance in 
advance.



Sec. 236.512  Cab signal indication when locomotive enters block where restrictive conditions obtain.

    The automatic cab signal system shall be arranged so that when a 
locomotive enters or is within a block, wherein any condition described 
in Sec. 236.205 obtains, the cab signals shall indicate ``Proceed at 
Restricted Speed.''



Sec. 236.513  Audible indicator.

    (a) The automatic cab signal system shall be so arranged that when 
the cab signal changes to display a more restrictive aspect, an audible 
indicator will sound continuously until silenced by manual operation of 
an acknowledging device.
    (b) The audible cab indicator of automatic cab signal, automatic 
train stop, or automatic train control system shall have a distinctive 
sound and be clearly audible throughout the cab under all operating 
conditions.

[49 FR 3386, Jan. 26, 1984]



Sec. 236.514  Interconnection of cab signal system with roadway signal system.

    The automatic cab signal system shall be interconnected with the 
roadway-signal system so that the cab signal indication will not 
authorize operation of the train at a speed higher than that authorized 
by the indication of the roadway signal that governed the movement of a 
train into a block except when conditions affecting movement of trains 
in the block change after the train passes the signal.



Sec. 236.515  Visibility of cab signals.

    The cab signals shall be plainly visible to member or members of the 
locomotive crew from their stations in the cab.

[49 FR 3386, Jan. 26, 1984]



Sec. 236.516  Power supply.

    Automatic cab signal, train stop, or train control device hereafter 
installed shall operate from a separate or isolated power supply.

[49 FR 3386, Jan. 26, 1984]

                     Rules and Instructions; Roadway



Sec. 236.526  Roadway element not functioning properly.

    When a roadway element except track circuit of automatic train stop, 
train control or cab signal system is not functioning as intended, the 
signal associated with such roadway element shall be caused manually to 
display its most restrictive aspect until such element has been restored 
to normal operative condition.



Sec. 236.527  Roadway element insulation resistance.

    Insulation resistance between roadway inductor and ground shall be 
maintained at not less than 10,000 ohms.

[49 FR 3386, Jan. 26, 1984]



Sec. 236.528  Restrictive condition resulting from open hand-operated switch; requirement.

    When a facing point hand-operated switch is open one-fourth inch or 
more, a trailing point hand-operated switch three-eighths inch or more, 
or hand-operated switch is not locked where facing point lock with 
circuit controller is used, the resultant restrictive condition of an 
automatic train stop or train control device of the continuous type or 
the resultant restrictive cab signal indication of an automatic cab 
signal device on an approaching locomotive shall be maintained to within 
300 feet of the points of the switch.



Sec. 236.529  Roadway element inductor; height and distance from rail.

    Inductor of the inert roadway element type shall be maintained with 
the

[[Page 423]]

inductor pole faces at a height above the plane of the tops of the 
rails, and with its inner edge at a hmrizontal distance from the gage 
side of the nearest running rail, in accordance with specifications of 
the carrier.

[49 FR 3386, Jan. 26, 1984]



Sec. 236.530  [Reserved]



Sec. 236.531  Trip arm; height and distance from rail.

    Trip arm of automatic train stop device when in the stop position 
shall be maintained at a height above the plane of the tops of the 
rails, and at a horizontal distance from its center line to gage side of 
the nearest running rail, in accordance with specifications of the 
carrier.

[49 FR 3386, Jan. 26, 1984]



Sec. 236.532  Strap iron inductor; use restricted.

    No railroad shall use strap iron inductor or other roadway element 
with characteristics differing from its standard type on track where 
speed higher than restricted speed is permitted.

[49 FR 3386, Jan. 26, 1984]



Sec. 236.533  [Reserved]



Sec. 236.534  Entrance to equipped territory; requirements.

    Where trains are not required to stop at the entrance to equipped 
territory, except when leaving yards and stations and speed until 
entering equipped territory does not exceed restricted speed, the 
automatic train stop, train control, or cab signal device shall be 
operative at least stopping distance from the entrance to such territory 
except where the approach thereto is governed by automatic approach 
signal.

                   Rules and Instructions; Locomotives



Sec. 236.551  Power supply voltage; requirement.

    The voltage of power supply shall be maintained within 10 percent of 
rated voltage.



Sec. 236.552  Insulation resistance; requirement.

    When periodic test prescribed in Sec. 236.588 is performed, 
insulation resistance between wiring and ground of continuous inductive 
automatic cab signal system, automatic train control system, or 
automatic train stop system shall be not less than one megohm, and that 
of an intermittent inductive automatic train stop system, not less than 
250,000 ohms. Insulation resistance values between periodic tests shall 
be not less than 250,000 ohms for a continuous inductive automatic cab 
signal system, automatic train control system, or automatic train stop 
system, and 20,000 ohms for an intermittent inductive automatic train 
stop system.

[49 FR 3387, Jan. 26, 1984]



Sec. 236.553  Seal, where required.

    Seal shall be maintained on any device other than brake-pipe cut-out 
cock (double-heading cock), by means of which the operation of the 
pneumatic portion of automatic train-stop or train-control apparatus can 
be cut out.



Sec. 236.554  Rate of pressure reduction; equalizing reservoir or brake pipe.

    The equalizing-reservoir pressure or brake-pipe pressure reduction 
during an automatic brake application shall be at a rate not less than 
that which results from a manual service application.



Sec. 236.555  Repaired or rewound receiver coil.

    Receiver coil which has been repaired or rewound shall have the same 
operating characteristics which it possessed originally or as currently 
specified for new equipment.



Sec. 236.556  Adjustment of relay.

    Change in adjustment of relay shall be made only in a shop equipped 
for that purpose except when receiver coils, electro-pneumatic valve, or 
other essential part of the equipment is replaced. Irregularities in 
power-supply voltage or other variable factors in the circuit shall not 
be compensated for by adjustment of the relay.

[[Page 424]]



Sec. 236.557  Receiver; location with respect to rail.

    (a) Receiver of intermittent inductive automatic train stop device 
of the inert roadway element type shall be maintained with bottom of the 
receiver at a height above the plane of the tops of the rails, and with 
its outer edge at a horizontal distance from the gage side of the 
nearest rail, in accordance with specifications of the carrier.
    (b) Receiver of continuous inductive automatic cab signal, train 
stop, or train control device of locomotive equipped with onboard test 
equipment, shall be maintained with the bottom of the receiver at a 
height above the plane of the tops of the rails, and with its outer edge 
at a horizontal distance from the gage side of the nearest rail, in 
accordance with specifications of the carrier.

[49 FR 3387, Jan. 26, 1984]



Secs. 236.558-236.559  [Reserved]



Sec. 236.560  Contact element, mechanical trip type; location with respect to rail.

    Contact element of automatic train stop device of the mechanical 
trip type shall be maintained at a height above the plane of the tops of 
the rails, and at a horizontal distance from the gage side of the rail, 
in accordance with specifications of the carrier.

[49 FR 3387, Jan. 26, 1984]



Sec. 236.561  [Reserved]



Sec. 236.562  Minimum rail current required.

    The minimum rail current required to restore the locomotive 
equipment of continuous inductive automatic train stop or train control 
device to normal condition or to obtain a proceed indication of 
automatic cab signal device (pick-up) shall be in accordance with 
specifications of the carrier.

[49 FR 3387, Jan. 26, 1984]



Sec. 236.563  Delay time.

    Delay time of automatic train stop or train control system shall not 
exceed 8 seconds and the spacing of signals to meet the requirements of 
Sec. 236.24 shall take into consideration the delay time.



Sec. 236.564  Acknowledging time.

    Acknowledging time of intermittent automatic train-stop device shall 
be not more than 30 seconds.



Sec. 236.565  Provision made for preventing operation of pneumatic brake-applying apparatus by double-heading cock; requirement.

    Where provision is made for preventing the operation of the 
pneumatic brake-applying appartus of an automatic train stop or train 
control device when the double-heading cock is placed in double-heading 
position, the automatic train stop or train control device shall not be 
cut out before communication is closed between the engineman's automatic 
brake valve and the brake pipe, when operating double-heading cock 
toward double-heading position.



Sec. 236.566  Locomotive of each train operating in train stop, train control or cab signal territory; equipped.

    The locomotive from which brakes are controlled, of each train 
operating in automatic train stop, train control, or cab signal 
territory shall be equipped with apparatus responsive to the roadway 
equipment installed on all or any part of the route traversed, and such 
apparatus shall be in operative condition.



Sec. 236.567  Restrictions imposed when device fails and/or is cut out en route.

    Where an automatic train stop, train control, or cab signal device 
fails and/or is cut out enroute, train may proceed at restricted speed 
or if an automatic block signal system is in operation according to 
signal indication but not to exceed medium speed, to the next available 
point of communication where report must be made to a designated 
officer. Where no automatic block signal system is in use train shall be 
permitted to proceed at restricted speed or where automatic block signal 
system is in operation according to signal indication but not to exceed 
medium speed to a point where absolute block can be established. Where 
an absolute block is established in advance of the train on which the

[[Page 425]]

device is inoperative train may proceed at not to exceed 79 miles per 
hour.



Sec. 236.568  Difference between speeds authorized by roadway signal and cab signal; action required.

    If for any reason a cab signal authorizes a speed different from 
that authorized by a roadway signal, when a train enters the block 
governed by such roadway signal, the lower speed shall not be exceeded.

                      Inspection and Tests; Roadway



Sec. 236.576  Roadway element.

    Roadway elements, except track circuits, including those for test 
purposes, shall be gaged monthly for height and alinement, and shall be 
tested at least every 6 months.



Sec. 236.577  Test, acknowledgement, and cut-in circuits.

    Test, acknowledgement, and cut-in circuits shall be tested at least 
once every twelve months.

[49 FR 3387, Jan. 26, 1984]

                    Inspection and Tests; Locomotive



Sec. 236.586  Daily or after trip test.

    (a) Except where tests prescribed by Sec. 236.588 are performed at 
intervals of not more than 2 months, each locomotive equipped with an 
automatic cab signal or train stop or train control device operating in 
equipped territory shall be inspected for damage to the equipment and 
tested at least once each calendar day or within 24 hours before 
departure upon each trip.
    (b) Each equipped locomotive shall be tested to determine the 
locomotive equipment is responsive to the wayside equipment and shall be 
cycled to determine the device functions as intended.
    (c) Each locomotive equipped with intermittent inductive automatic 
train stop or non-coded continuous inductive automatic train stop or 
non-coded continuous inductive automatic train control device shall be 
tested to determine that the pickup of the device is within specified 
limits.

[49 FR 3387, Jan. 26, 1984]



Sec. 236.587  Departure test.

    (a) The automatic train stop, train control, or cab signal apparatus 
on each locomotive, except a locomotive or a multiple-unit car equipped 
with mechanical trip stop, shall be tested using one of the following 
methods:
    (1) Operation over track elements;
    (2) Operation over test circuit;
    (3) Use of portable test equipment; or
    (4) Use of onboard test device.
    (b) The test shall be made on departure of the locomotive from its 
initial terminal unless that apparatus will be cut out between the 
initial terminal and the equipped territory. If the apparatus is cut out 
between the initial terminal and the equipped territory the test shall 
be made prior to entering equipped territory.
    (c) If a locomotive makes more than one trip in any 24-hour period, 
only one departure test is required in such 24-hour period.
    (d)(1) Whoever performs the test shall certify in writing that such 
test was properly performed. The certification and the test results 
shall be posted in the cab of the locomotive and a copy of the 
certification and test results left at the test location for filing in 
the office of the supervisory official having jurisdiction.
    (2) If it is impractical to leave a copy of the certification and 
test results at the location f the test, the test results shall be 
transmitted to either (i) the dispatcher or (ii) one other designated 
individual at each location, who shall keep a written record of the test 
results and the name of the person performing the test. These records 
shall be retained for at least 92 days.

[49 FR 3387, Jan. 26, 1984, as amended at 53 FR 37313, Sept. 26, 1988]

    Effective Date Note: At 49 FR 3387, Jan. 26, 1984, Sec. 236.587 was 
revised. This section contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.



Sec. 236.588  Periodic test.

    Except as provided in Sec. 236.586, periodic test of the automatic 
train stop, train control, or cab signal apparatus shall be made at 
least once every 92

[[Page 426]]

days, and on multiple-unit cars as specified by the carrier, subject to 
approval by the FRA.

[49 FR 3387, Jan. 26, 1984]



Sec. 236.589  Relays.

    (a) Each relay shall be removed from service, subjected to thorough 
test, necessary repairs and adjustments made, and shall not be replaced 
in service unless its operating characteristics are in accordance with 
the limits within which such relay is designed to operate, as follows:
    (1) Master or primary relays of torque type depending on spring 
tension to return contacts to deenergized position in noncoded 
continuous inductive automatic train stop or train control system, at 
least once every two years; and
    (2) All other relays, at least once every six years.
    (b) [Reserved]

[49 FR 3387, Jan. 26, 1984]



Sec. 236.590  Pneumatic apparatus.

    Automatic train stop, train control, or cab signal pneumatic 
apparatus shall be inspected, cleaned, and the results of such 
inspection recorded as provided by Sec. 229.29(a). When a locomotive 
with automatic train stop, train control, or cab signal pneumatic 
apparatus receives out-of-use credit pursuant to Sec. 229.33, the 
automatic train stop, train control, or cab signal apparatus shall be 
tested in accordance with Sec. 236.588 prior to the locomotive being 
placed in service.

[61 FR 33873, July 1, 1996]



  Subpart F--Dragging Equipment and Slide Detectors and Other Similar 
                           Protective Devices

                                Standards



Sec. 236.601  Signals controlled by devices; location.

    Signals controlled by devices used to provide protection against 
unusual contingencies, such as landslides, dragging equipment, burned 
bridges or trestles and washouts shall be located so that stopping 
distance will be provided between the signal and the point where it is 
necessary to stop the train.



                         Subpart G--Definitions



Sec. 236.700  Definitions.

    For the purpose of these rules, standards, and instructions, the 
following definitions will apply.



Sec. 236.701  Application, brake; full service.

    An application of the brakes resulting from a continuous or a split 
reduction in brake pipe pressure at a service rate until maximum brake 
cylinder pressure is developed. As applied to an automatic or electro-
pneumatic brake with speed governor control, an application other than 
emergency which develops the maximum brake cylinder pressure, as 
determined by the design of the brake equipment for the speed at which 
the train is operating.



Sec. 236.702  Arm, semaphore.

    The part of a semaphore signal displaying an aspect. It consists of 
a blade fastened to a spectacle.



Sec. 236.703  Aspect.

    The appearance of a roadway signal conveying an indication as viewed 
from the direction of an approaching train; the appearance of a cab 
signal conveying an indication as viewed by an observer in the cab.



Sec. 236.704  [Reserved]



Sec. 236.705  Bar, locking.

    A bar in an interlocking machine to which the locking dogs are 
attached.



Sec. 236.706  Bed, locking.

    That part of an interlocking machine that contains or holds the 
tappets, locking bars, crosslocking, dogs and other apparatus used to 
interlock the levers.



Sec. 236.707  Blade, semaphore.

    The extended part of a semaphore arm which shows the position of the 
arm.

[[Page 427]]



Sec. 236.708  Block.

    A length of track of defined limits, the use of which by trains is 
governed by block signals, cab signals, or both.



Sec. 236.709  Block, absolute.

    A block in which no train is permitted to enter while it is occupied 
by another train.



Sec. 236.710  Block, latch.

    The lower extremity of a latch rod which engages with a square 
shoulder of the segment or quadrant to hold the lever in position.



Sec. 236.711  Bond, rail joint.

    A metallic connection attached to adjoining rails to insure 
electrical conductivity.



Sec. 236.712  Brake pipe.

    A pipe running from the engineman's brake valve through the train, 
used for the transmission of air under pressure to charge and actuate 
the automatic brake equipment and charge the reservoirs of the electro-
pneumatic brake equipment on each vehicle of the train.



Sec. 236.713  Bridge, movable.

    That section of a structure bridging a navigable waterway so 
designed that it may be displaced to permit passage of traffic on the 
waterway.



Sec. 236.714  Cab.

    The compartment of a locomotive from which the propelling power and 
power brakes of the train are manually controlled.



Secs. 236.715-236.716  [Reserved]



Sec. 236.717  Characteristics, operating.

    The measure of electrical values at which electrical or electronic 
apparatus operate (e.g., drop-away, pick-up, maximum and minimum 
current, and working value).

[49 FR 3387, Jan. 26, 1984]



Sec. 236.718  Chart, dog.

    A diagrammatic representation of the mechanical locking of an 
interlocking machine, used as a working plan in making up, assembling 
and fitting the locking.



Sec. 236.719  Circuit, acknowledgment.

    A circuit consisting of wire or other conducting material installed 
between the track rails at each signal in territory where an automatic 
train stop system or cab signal system of the continuous inductive type 
with 2-indication cab signals is in service, to enforce acknowledgement 
by the engineman at each signal displaying an aspect requiring a stop.



Sec. 236.720  Circuit, common return.

    A term applied where one wire is used for the return of more than 
one electric circuit.



Sec. 236.721  Circuit, control.

    An electrical circuit between a source of electric energy and a 
device which it operates.



Sec. 236.722  Circuit, cut-in.

    A roadway circuit at the entrance to automatic train stop, train 
control or cab signal territory by means of which locomotive equipment 
of the continuous inductive type is actuated so as to be in operative 
condition.



Sec. 236.723  Circuit, double wire; line.

    An electric circuit not employing a common return wire; a circuit 
formed by individual wires throughout.



Sec. 236.724  Circuit, shunt fouling.

    The track circuit in the fouling section of a turnout, connected in 
multiple with the track circuit in the main track.



Sec. 236.725  Circuit, switch shunting.

    A shunting circuit which is closed through contacts of a switch 
circuit controller.



Sec. 236.726  Circuit, track.

    An electrical circuit of which the rails of the track form a part.



Sec. 236.727  Circuit, track; coded.

    A track circuit in which the energy is varied or interrupted 
periodically.



Sec. 236.728  Circuit, trap.

    A term applied to a circuit used where it is desirable to provide a 
track

[[Page 428]]

circuit but where it is impracticable to maintain a track circuit.



Sec. 236.729  Cock, double heading.

    A manually operated valve by means of which the control of brake 
operation is transferred to the leading locomotive.



Sec. 236.730  Coil, receiver.

    Concentric layers of insulated wire wound around the core of a 
receiver of an automatic train stop, train control or cab signal device 
on a locomotive.



Sec. 236.731  Controller, circuit.

    A device for opening and closing electric circuits.



Sec. 236.732  Controller, circuit; switch.

    A device for opening and closing electric circuits, operated by a 
rod connected to a switch, derail or movable-point frog.



Sec. 236.733  Current, foreign.

    A term applied to stray electric currents which may affect a 
signaling system, but which are not a part of the system.



Sec. 236.734  Current of traffic.

    The movement of trains on a specified track in a designated 
direction.



Sec. 236.735  Current, leakage.

    A stray electric current of relatively small value which flows 
through or across the surface of insulation when a voltage is impressed 
across the insulation.



Sec. 236.736  Cut-section.

    A location other than a signal location where two adjoining track 
circuits end within a block.



Sec. 236.737  Cut-section, relayed.

    A cut-section where the energy for one track circuit is supplied 
through front contacts or through front and polar contacts of the track 
relay for the adjoining track circuit.



Sec. 236.738  Detector, point.

    A circuit controller which is part of the switch operating mechanism 
and operated by a rod connected to a switch, derail or movable point 
frog to indicate that the point is within a specified distance of the 
stock rail.



Sec. 236.739  Device, acknowledging.

    A manually operated electric switch or pneumatic valve by means of 
which, on a locomotive equipped with an automatic train stop or train 
control device, an automatic brake application can be forestalled, or by 
means of which, on a locomotive equipped with an automatic cab signal 
device, the sounding of the cab indicator can be silenced.



Sec. 236.740  Device, reset.

    A device whereby the brakes may be released after an automatic train 
control brake application.



Sec. 236.741  Distance, stopping.

    The maximum distance on any portion of any railroad which any train 
operating on such portion of railroad at its maximum authorized speed, 
will travel during a full service application of the brakes, between the 
point where such application is initiated and the point where the train 
comes to a stop.



Sec. 236.742  Dog, locking.

    A steel block attached to a locking bar or tappet of an interlocking 
machine, by means of which locking between levers is accomplished.



Sec. 236.743  Dog, swing.

    A locking dog mounted in such a manner that it is free to rotate on 
a trunnion which is riveted to a locking bar.

    Cross Reference: Element, contact. See receiver, Sec. 236.788.



Sec. 236.744  Element, roadway.

    That portion of the roadway apparatus of automatic train stop, train 
control, or cab signal system, such as electric circuit, inductor, or 
trip arm to which the locomotive apparatus of such system is directly 
responsive.

[49 FR 3387, Jan. 26, 1984]



Sec. 236.745  Face, locking.

    The locking surface of a locking dog, tappet or cross locking of an 
interlocking machine.

[[Page 429]]



Sec. 236.746  Feature, restoring.

    An arrangement on an electro-pneumatic switch by means of which 
power is applied to restore the switch movement to full normal or to 
full reverse position, before the driving bar creeps sufficiently to 
unlock the switch, with control level in normal or reverse position.

[49 FR 3388, Jan. 26, 1984]



Sec. 236.747  Forestall.

    As applied to an automatic train stop or train control device, to 
prevent an automatic brake application by operation of an acknowledging 
device or by manual control of the speed of the train.



Sec. 236.748  [Reserved]



Sec. 236.749  Indication.

    The information conveyed by the aspect of a signal.

    Cross Reference: Inductor, see Sec. 236.744.



Sec. 236.750  Interlocking, automatic.

    An arrangement of signals, with or without other signal appliances, 
which functions through the exercise of inherent powers as distinguished 
from those whose functions are controlled manually, and which are so 
interconnected by means of electric circuits that their movements must 
succeed each other in proper sequence, train movements over all routes 
being governed by signal indication.



Sec. 236.751  Interlocking, manual.

    An arrangement of signals and signal appliances operated from an 
interlocking machine and so interconnected by means of mechanical and/or 
electric locking that their movements must succeed each other in proper 
sequence, train movements over all routes being governed by signal 
indication.



Sec. 236.752  Joint, rail, insulated.

    A joint in which electrical insulation is provided between adjoining 
rails.



Sec. 236.753  Limits, interlocking.

    The tracks between the opposing home signals of an interlocking.



Sec. 236.754  Line, open wire.

    An overhead wire line consisting of single conductors as opposed to 
multiple-conductor cables.



Sec. 236.755  Link, rocker.

    That portion of an interlocking machine which transmits motion 
between the latch and the universal link.



Sec. 236.756  Lock, bolt.

    A mechanical lock so arranged that if a switch, derail or movable-
point frog is not in the proper position for a train movement, the 
signal governing that movement cannot display an aspect to proceed; and 
that will prevent a movement of the switch, derail or movable-point frog 
unless the signal displays its most restrictive aspect.



Sec. 236.757  Lock, electric.

    A device to prevent or restrict the movement of a lever, a switch or 
a movable bridge, unless the locking member is withdrawn by an 
electrical device, such as an electromagnet, solenoid or motor.



Sec. 236.758  Lock, electric, forced drop.

    An electric lock in which the locking member is mechanically forced 
down to the locked position.



Sec. 236.759  Lock, facing point.

    A mechanical lock for a switch, derail, or movable-point frog, 
comprising a plunger stand and a plunger which engages a lock rod 
attached to the switch point to lock the operated unit.



Sec. 236.760  Locking, approach.

    Electric locking effective while a train is approaching, within a 
specified distance, a signal displaying an aspect to proceed, and which 
prevents, until after the expiration of a predetermined time interval 
after such signal has been caused to display its most restrictive 
aspect, the movement of any interlocked or electrically locked switch, 
movable-point frog, or derail in the route governed by the signal, and 
which prevents an aspect to proceed from being displayed for any 
conflicting route.

[[Page 430]]



Sec. 236.761  Locking, electric.

    The combination of one or more electric locks and controlling 
circuits by means of which levers of an interlocking machine, or 
switches or other units operated in connection with signaling and 
interlocking, are secured against operation under certain conditions.



Sec. 236.762  Locking, indication.

    Electric locking which prevents manipulation of levers that would 
result in an unsafe condition for a train movement if a signal, switch, 
or other operative unit fails to make a movement corresponding to that 
of its controlling lever, or which directly prevents the operation of a 
signal, switch, or other operative unit, in case another unit which 
should operate first fails to make the required movement.



Sec. 236.763  Locking, latch operated.

    The mechanical locking of an interlocking machine which is actuated 
by means of the lever latch.



Sec. 236.764  Locking, lever operated.

    The mechanical locking of an interlocking machine which is actuated 
by means of the lever.



Sec. 236.765  Locking, mechanical.

    An arrangement of locking bars, dogs, tappets, cross locking and 
other apparatus by means of which interlocking is effected between the 
levers of an interlocking machine and so interconnected that their 
movements must succeed each other in a predetermined order.



Sec. 236.766  Locking, movable bridge.

    The rail locks, bridge locks, bolt locks, circuit controllers, and 
electric locks used in providing interlocking protection at a movable 
bridge.



Sec. 236.767  Locking, route.

    Electric locking, effective when a train passes a signal displaying 
an aspect for it to proceed, which prevents the movement of any switch, 
movable-point frog, or derail in advance of the train within the route 
entered. It may be so arranged that as a train clears a track section of 
the route, the locking affecting that section is released.



Sec. 236.768  Locking, time.

    A method of locking, either mechanical or electrical, which, after a 
signal has been caused to display an aspect to proceed, prevents, until 
after the expiration of a predetermined time interval after such signal 
has been caused to display its most restrictive aspect, the operation of 
any interlocked or electrically locked switch, movable-point frog, or 
derail in the route governed by that signal, and which prevents an 
aspect to proceed from being displayed for any conflicting route.



Sec. 236.769  Locking, traffic.

    Electric locking which prevents the manipulation of levers or other 
devices for changing the direction of traffic on a section of track 
while that section is occupied or while a signal displays an aspect for 
a movement to proceed into that section.



Sec. 236.770  Locomotive.

    A self-propelled unit of equipment which can be used in train 
service.



Sec. 236.771  Machine, control.

    An assemblage of manually operated devices for controlling the 
functions of a traffic control system; it may include a track diagram 
with indication lights.



Sec. 236.772  Machine, interlocking.

    An assemblage of manually operated levers or other devices for the 
control of signals, switches or other units.

    Cross Reference: Magnet, track, see Sec. 236.744.



Sec. 236.773  Movements, conflicting.

    Movements over conflicting routes.



Sec. 236.774  Movement, facing.

    The movement of a train over the points of a switch which face in a 
direction opposite to that in which the train is moving.



Sec. 236.775  Movement, switch-and-lock.

    A device, the complete operation of which performs the three 
functions of unlocking, operating and locking a switch, movable-point 
frog or derail.

[[Page 431]]



Sec. 236.776  Movement, trailing.

    The movement of a train over the points of a switch which face in 
the direction in which the train is moving.



Sec. 236.777  Operator, control.

    An employee assigned to operate the control machine of a traffic 
control system.



Sec. 236.778  Piece, driving.

    A crank secured to a locking shaft by means of which horizontal 
movement is imparted to a longitudinal locking bar.



Sec. 236.779  Plate, top.

    A metal plate secured to a locking bracket to prevent the cross 
locking from being forced out of the bracket.



Sec. 236.780  Plunger, facing point lock.

    That part of a facing point lock which secures the lock rod to the 
plunger stand when the switch is locked.



Sec. 236.781  [Reserved]



Sec. 236.782  Point, controlled.

    A location where signals and/or other functions of a traffic control 
system are controlled from the control machine.



Sec. 236.783  Point, stop-indication.

    As applied to an automatic train stop or train control system 
without the use of roadway signals, a point where a signal displaying an 
aspect requiring a stop would be located.



Sec. 236.784  Position, deenergized.

    The position assumed by the moving member of an electromagnetic 
device when the device is deprived of its operating current.



Sec. 236.785  Position, false restrictive.

    A position of a semaphore arm that is more restrictive than it 
should be.



Sec. 236.786  Principle, closed circuit.

    The principle of circuit design where a normally energized electric 
circuit which, on being interrupted or deenergized, will cause the 
controlled function to assume its most restrictive condition.



Sec. 236.787  Protection, cross.

    An arrangement to prevent the improper operation of a signal, 
switch, movable-point frog, or derail as the result of a cross in 
electrical circuits.

    Cross Reference: Ramp, see Sec. 236.744.



Sec. 236.788  Receiver.

    A device on a locomotive, so placed that it is in position to be 
influenced inductively or actuated by an automatic train stop, train 
control or cab signal roadway element.



Sec. 236.789  Relay, timing.

    A relay which will not close its front contacts or open its back 
contacts, or both, until the expiration of a definite time intervals 
after the relay has been energized.



Sec. 236.790  Release, time.

    A device used to prevent the operation of an operative unit until 
after the expiration of a predetermined time interval after the device 
has been actuated.



Sec. 236.791  Release, value.

    The electrical value at which the movable member of an 
electromagnetic device will move to its deenergized portion.



Sec. 236.792  Reservoir, equalizing.

    An air reservoir connected with and adding volume to the top portion 
of the equalizing piston chamber of the automatic brake valve, to 
provide uniform service reductions in brake pipe pressure regardless of 
the length of the train.

    Cross Reference: Rocker, see Sec. 236.755.



Sec. 236.793  Rod, lock.

    A rod, attached to the front rod or lug of a switch, movable-point 
frog or derail, through which a locking plunger may extend when the 
switch points or derail are in the normal or reverse position.

[[Page 432]]



Sec. 236.794  Rod, up-and-down.

    A rod used for connecting the semaphore arm to the operating 
mechanism of a signal.



Sec. 236.795  Route.

    The course or way which is, or is to be, traveled.



Sec. 236.796  Routes, conflicting.

    Two or more routes, opposing, converging or intersecting, over which 
movements cannot be made simultaneously without possibility of 
collision.



Sec. 236.797  Route, interlocked.

    A route within interlocking limits.



Sec. 236.798  Section, dead.

    A section of track, either within a track circuit or between two 
track circuits, the rails of which are not part of a track circuit.



Sec. 236.799  Section, fouling.

    The section of track between the switch points and the clearance 
point in a turnout.



Sec. 236.800  Sheet, locking.

    A description in tabular form of the locking operations in an 
interlocking machine.



Sec. 236.801  Shoe, latch.

    The casting by means of which the latch rod and the latch block are 
held to a lever of a mechanical interlocking machine.



Sec. 236.802  Shunt.

    A by-path in an electrical circuit.



Sec. 236.802a  Siding.

    An auxiliary track for meeting or passing trains.



Sec. 236.803  Signal, approach.

    A roadway signal used to govern the approach to another signal and 
if operative so controlled that its indication furnishes advance 
information of the indication of the next signal.



Sec. 236.804  Signal, block.

    A roadway signal operated either automatically or manually at the 
entrance to a block.



Sec. 236.805  Signal, cab.

    A signal located in engineman's compartment or cab, indicating a 
condition affecting the movement of a train and used in conjunction with 
interlocking signals and in conjunction with or in lieu of block 
signals.



Sec. 236.806  Signal, home.

    A roadway signal at the entrance to a route or block to govern 
trains in entering and using that route or block.



Sec. 236.807  Signal, interlocking.

    A roadway signal which governs movements into or within interlocking 
limits.



Sec. 236.808  Signals, opposing.

    Roadway signals which govern movements in opposite directions on the 
same track.



Sec. 236.809  Signal, slotted mechanical.

    A mechanically operated signal with an electromagnetic device 
inserted in its operating connection to provide a means of controlling 
the signal electrically, as well as mechanically.



Sec. 236.810  Spectacle, semaphore arm.

    That part of a semaphore arm which holds the roundels and to which 
the blade is fastened.



Sec. 236.811  Speed, medium.

    A speed not exceeding 40 miles per hour.



Sec. 236.812  Speed, restricted.

    A speed that will permit stopping within one-half the range of 
vision, but not exceeding 20 miles per hour.

[49 FR 3388, Jan. 26, 1984]



Sec. 236.813  Speed, slow.

    A speed not exceeding 20 miles per hour.

[[Page 433]]



Sec. 236.813a  State, most restrictive.

    The mode of an electric or electronic device that is equivalent to a 
track relay in its deenergized position.

[49 FR 3388, Jan. 26, 1984]



Sec. 236.814  Station, control.

    The place where the control machine of a traffic control system is 
located.



Sec. 236.815  Stop.

    As applied to mechanical locking, a device secured to a locking bar 
to limit its movement.



Sec. 236.816  Superiority of trains.

    The precedence conferred upon one train over other trains by train 
order or by reason of its class or the direction of its movement.



Sec. 236.817  Switch, electro-pneumatic.

    A switch operated by an electro-pneumatic switch-and-lock movement.



Sec. 236.818  Switch, facing point.

    A switch, the points of which face traffic approaching in the 
direction for which the track is signaled.



Sec. 236.819  Switch, hand operated.

    A non-interlocked switch which can only be operated manually.



Sec. 236.820  Switch, interlocked.

    A switch within the interlocking limits the control of which is 
interlocked with other functions of the interlocking.



Sec. 236.820a  Switch, power-operated.

    A switch operated by an electrically, hydraulically, or 
pneumatically driven switch-and-lock movement.

[49 FR 3388, Jan. 26, 1984]



Sec. 236.821  Switch, sectionalizing.

    A switch for disconnecting a section of a power line from the source 
of energy.



Sec. 236.822  Switch, spring.

    A switch equipped with a spring device which forces the points to 
their original position after being trailed through and holds them under 
spring compression.



Sec. 236.823  Switch, trailing point.

    A switch, the points of which face away from traffic approaching in 
the direction for which the track is signaled.



Sec. 236.824  System, automatic block signal.

    A block signal system wherein the use of each block is governed by 
an automatic block signal, cab signal, or both.



Sec. 236.825  System, automatic train control.

    A system so arranged that its operation will automatically result in 
the following:
    (a) A full service application of the brakes which will continue 
either until the train is brought to a stop, or, under control of the 
engineman, its speed is reduced to a predetermined rate.
    (b) When operating under a speed restriction, an application of the 
brakes when the speed of the train exceeds the predetermined rate and 
which will continue until the speed is reduced to that rate.



Sec. 236.826  System, automatic train stop.

    A system so arranged that its operation will automatically result in 
the application of the brakes until the train has been brought to a 
stop.



Sec. 236.827  System, block signal.

    A method of governing the movement of trains into or within one or 
more blocks by block signals or cab signals.



Sec. 236.828  System, traffic control.

    A block signal system under which train movements are authorized by 
block signals whose indications supersede the superiority of trains for 
both opposing and following movements on the same track.



Sec. 236.829  Terminal, initial.

    The starting point of a locomotive for a trip.



Sec. 236.830  Time, acknowledging.

    As applied to an intermittent automatic train stop system, a 
predetermined time within which an automatic

[[Page 434]]

brake application may be forestalled by means of the acknowledging 
device.



Sec. 236.831  Time, delay.

    As applied to an automatic train stop or train control system, the 
time which elapses after the onboard apparatus detects a more 
restrictive indication until the brakes start to apply.

[49 FR 3388, Jan. 26, 1984]



Sec. 236.831a  Track, main.

    A track, other than auxiliary track, extending through yards and 
between stations, upon which trains are operated by timetable or train 
orders, or both, or the use of which is governed by block signals.



Sec. 236.832  Train.

    A locomotive or more than one locomotive coupled, with or without 
cars.



Sec. 236.833  Train, opposing.

    A train, the movement of which is in a direction opposite to and 
toward another train on the same track.



Sec. 236.834  Trip.

    A movement of a locomotive over all or any portion of automatic 
train stop, train control or cab signal territory between the terminals 
for that locomotive; a movement in one direction.

    Cross Reference: Trip-arm, see Sec. 236.744.



Sec. 236.835  Trunking.

    A casing used to protect electrical conductors.



Sec. 236.836  Trunnion.

    A cylindrical projection supporting a revolving part.



Sec. 236.837  Valve, electro-pneumatic.

    A valve electrically operated which, when operated, will permit or 
prevent passage of air.



Sec. 236.838  Wire, shunt.

    A wire forming part of a shunt circuit.

               Appendix A to Part 236--Civil Penalties \1\
------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
             Subpart A--Rules and Instructions--All Systems
 
------------------------------------------------------------------------
General:
236.0  Applicability, minimum requirements....       $2,500       $5,000
236.1  Plans, where kept......................        1,000        2,000
236.2  Grounds................................        1,000        2,000
236.3  Locking of signal apparatus housings:
    (a) Power interlocking machine cabinet not        2,500        5,000
     secured against unauthorized entry.......
    (b) other violations......................        1,000        2,000
236.4  Interference with normal functioning of        5,000        7,500
 device.......................................
236.5  Design of control circuits on closed           1,000        2,000
 circuit principle............................
236.6  Hand-operated switch equipped with             1,000        2,000
 switch circuit controller....................
236.7  Circuit controller operated by switch-         1,000        2,000
 and-lock movement............................
236.8  Operating characteristics of electro-          1,000        2,000
 magnetic, electronic, or electrical apparatus
236.9  Selection of circuits through                  1,000        2,000
 indicating or annunciating instruments.......
236.10  Electric locks, force drop type; where        1,000        2,000
 required.....................................
236.11  Adjustment, repair, or replacement of         2,500        5,000
 component....................................
236.12  Spring switch signal protection; where        1,000        2,000
 required.....................................
236.13  Spring switch; selection of signal            1,000        2,000
 control circuits through circuit controller..
236.14  Spring switch signal protection;              1,000        2,000
 requirements.................................
236.15  Timetable instructions................        1,000        2,000
236.16  Electric lock, main track releasing
 circuit:
    (a) Electric lock releasing circuit on            2,500        5,000
     main track extends into fouling circuit
     where turnout not equipped with derail at
     clearance point either pipe-connected to
     switch or independently locked,
     electrically.............................
    (b) other violations......................        1,000        2,000
236.17  Pipe for operating connections,               1,000        2,000
 requirements
 
Roadway Signals and Cab Signals--
 
236.21  Location of roadway signals...........        1,000        2,000
236.22  Semaphore signal arm; clearance to            1,000        2,000
 other objects................................
236.23  Aspects and indications...............        1,000        2,000
236.24  Spacing of roadway signals............        2,500        5,000
236.26  Buffing device, maintenance...........        1,000        2,000
 

[[Page 435]]

 
Track Circuits--
 
236.51  Track circuit requirements:
    (a) Shunt fouling circuit used where              2,500        5,000
     permissible speed through turnout greater
     than 45 m.p.h............................
    (b) Track relay not in de-energized               2,500        5,000
     position or device that functions as
     track relay not in its most restrictive
     state when train, locomotive, or car
     occupies any part of track circuit,
     except fouling section of turnout of hand-
     operated main-track crossover............
    (c) other violations......................        1,000        2,000
236.52  Relayed cut-section...................        1,000        2,000
236.53  Track circuit feed at grade crossing..        1,000        2,000
236.54  Minimum length of track circuit.......        1,000        2,000
236.55  Dead section; maximum length..........        1,000        2,000
236.56  Shunting sensitivity..................        2,500        5,000
236.57  Shunt and fouling wires:
    (a) Shunt or fouling wires do not consist         2,500        5,000
     of at least two discrete conductors......
    (b) other violations......................        1,000        2,000
236.58  Turnout, fouling section:
    (a) Rail joint in shunt fouling section           2,500        5,000
     not bonded...............................
    (b) other violations......................        1,000        2,000
236.59  Insulated rail joints.................        1,000        2,000
236.60  Switch shunting circuit; use                  2,500        5,000
 restricted...................................
 
Wires and Cables--
 
236.71  Signal wires on pole line and aerial          1,000        2,000
 cable........................................
236.73  Open-wire transmission line; clearance        1,000        2,000
 to other circuits............................
236.74  Protection of insulated wire; splice          1,000        2,000
 in underground wire..........................
236.76  Tagging of wires and interference of          1,000        2,000
 wires or tags with signal apparatus..........
 
Inspections and Tests; All Systems--
 
236.101  Purpose of inspection and tests;             2,500        5,000
 removal from service or relay or device
 failing to meet test requirements............
236.102  Semaphore or search-light signal             1,000        2,000
 mechanism....................................
236.103  Switch circuit controller or point           1,000        2,000
 detector.....................................
236.104  Shunt fouling circuit................        1,000        2,000
236.105  Electric lock........................        1,000        2,000
236.106  Relays...............................        1,000        2,000
236.107  Ground tests.........................        1,000        2,000
236.108  Insulation resistance tests, wires in
 trunking and cables:
    (a) Circuit permitted to function on a            2,500        5,000
     conductor having insulation resistance
     value less than 200,000 ohms.............
    (b) other violations......................        1,000        2,000
236.109  Time releases, timing relays and             1,000        2,000
 timing devices...............................
236.110  Results of tests.....................        1,000        2,000
 
------------------------------------------------------------------------
                Subpart B--Automatic Block Signal Systems
 
------------------------------------------------------------------------
236.201  Track circuit control of signals.....        1,000        2,000
236.202  Signal governing movements over hand-        1,000        2,000
 operated switch..............................
236.203  Hand-operated crossover between main         1,000        2,000
 tracks; protection...........................
236.204  Track signaled for movements in both         1,000        2,000
 directions, requirements.....................
236.205  Signal control circuits; requirements        1,000        2,000
236.206  Battery or power supply with respect         1,000        2,000
 to relay; location...........................
 
------------------------------------------------------------------------
                         Subpart C--Interlocking
 
------------------------------------------------------------------------
236.207  Electric lock on hand-operated
 switch; control:
    (a) Approach or time locking of electric          2,500        5,000
     lock on hand-operated switch can be
     defeated by unauthorized use of emergency
     device which is not kept sealed in the
     non-release position.....................
    (b) other violations......................        1,000        2,000
236.301  Where signals shall be provided......        1,000        2,000
236.302  Track circuits and route locking.....        1,000        2,000
236.303  Control circuits for signals,                1,000        2,000
 selection through circuit controller operated
 by switch points or by switch locking
 mechanism....................................
236.304  Mechanical locking or same protection        1,000        2,000
 effected by circuits.........................
236.305  Approach or time locking.............        1,000        2,000
236.306  Facing point lock or switch-and-lock         1,000        2,000
 movement.....................................
236.307  Indication locking:
236.308  Mechanical or electric locking or            1,000        2,000
 electric circuits; requisites................

[[Page 436]]

 
236.309  Loss of shunt protection; where
 required:
    (a) Loss of shunt of five seconds or less         2,500        5,000
     permits release of route locking of power-
     operated switch, movable point frog, or
     derail...................................
    (b) Other violations......................        1,000        2,000
236.310  Signal governing approach to home            1,000        2,000
 signal.......................................
236.311  Signal control circuits, selection           1,000        2,000
 through track relays or devices functioning
 as track relays and through signal mechanism
 contacts and time releases at automatic
 interlocking.................................
236.312  Movable bridge, interlocking of
 signal appliances with bridge devices:
    (a) Emergency bypass switch or device not         2,500        5,000
     locked or sealed.........................
    (b) other violations......................        1,000        2,000
236.314  Electric lock for hand-operated
 switch or derail:
    (a) Approach or time locking of electric          2,500        5,000
     lock at hand-operated switch or derail
     can be defeated by unauthorized use of
     emergency device which is not kept sealed
     in non-release position..................
    (b) other violations......................        1,000        2,000
 
Rules and Instructions--
 
236.326  Mechanical locking removed or                1,000        2,000
 disarranged; requirement for permitting train
 movements through interlocking...............
236.327  Switch, movable-point frog or split-         1,000        2,000
 point derail.................................
236.328  Plunger of facing-point..............        1,000        2,000
236.329  Bolt lock............................        1,000        2,000
236.330  Locking dog of switch and lock               1,000        2,000
 movement.....................................
236.334  Point detector.......................        1,000        2,000
236.335  Dogs, stops and trunnions of                 1,000        2,000
 mechanical locking...........................
236.336  Locking bed..........................        1,000        2,000
236.337  Locking faces of mechanical locking;         1,000        2,000
 fit..........................................
236.338  Mechanical locking required in               1,000        2,000
 accordance with locking sheet and dog chart..
236.339  Mechanical locking; maintenance              1,000        2,000
 requirements.................................
236.340  Electromechanical interlocking               1,000        2,000
 machine; locking between electrical and
 mechanical levers............................
236.341  Latch shoes, rocker links, and               1,000        2,000
 quadrants....................................
236.342  Switch circuit controller............        1,000        2,000
 
Inspection and Tests--
 
236.376  Mechanical locking...................        1,000        2,000
236.377  Approach locking.....................        1,000        2,000
236.378  Time locking.........................        1,000        2,000
236.379  Route locking........................        1,000        2,000
236.380  Indication locking...................        1,000        2,000
236.381  Traffic locking......................        1,000        2,000
236.382  Switch obstruction test..............        1,000        2,000
236.383  Valve locks, valves, and valve               1,000        2,000
 magnets......................................
236.384  Cross protection
236.386  Restoring feature on power switches
236.387  Movable bridge locking...............        1,000        2,000
 
------------------------------------------------------------------------
              Subpart D--Traffic Control Systems Standards
 
------------------------------------------------------------------------
236.401  Automatic block signal system and
 interlocking standards applicable to traffic
 control systems:
236.402  Signals controlled by track circuits         1,000        2,000
 and control operator.........................
236.403  Signals at controlled point..........        1,000        2,000
236.404  Signals at adjacent control points...        1,000        2,000
236.405  Track signaled for movements in both         1,000        2,000
 directions, change of direction of traffic...
236.407  Approach or time locking; where              1,000        2,000
 required.....................................
236.408  Route locking........................        1,000        2,000
236.410  Locking, hand-operated switch;
 requirements:
    (a) Hand-operated switch on main track not        2,500        5,000
     electrically or mechanically locked in
     normal position where signal not provided
     to govern movement to main track,
     movements made at speeds in excess of 20
     m.p.h., and train or engine movements may
     clear main track.........................
    (b) Hand-operated switch on signaled              2,500        5,000
     siding not electrically or mechanically
     locked in normal position where signal
     not provided to govern movements to
     signaled siding, train movements made at
     speeds in excess of 30 m.p.h., and train
     or engine movements may clear signaled
     siding...................................

[[Page 437]]

 
    (c) Approach or time locking of electric          2,500        5,000
     lock at hand-operated switch can be
     defeated by use of emergency release
     device of electric lock which is not kept
     sealed in non-release position...........
    (d) other violations......................        1,000        2,000
 
Rules and Instructions--
 
236.426  Interlocking rules and instructions          1,000        2,000
 applicable to traffic control systems........
236.476  Interlocking inspections and tests           1,000        2,000
 applicable to traffic control systems........
 
------------------------------------------------------------------------
  Subpart E--Automatic Train Stop, Train Control and Cab Signal Systems
                                Standards
 
------------------------------------------------------------------------
236.501  Forestalling device and speed control        1,000        2,000
236.502  Automatic brake application,                 1,000        2,000
 initiation by restrictive block conditions
 stopping distance in advance.................
236.503  Automatic brake application;                 1,000        2,000
 initiation when predetermined rate of speed
 exceeded.....................................
236.504  Operations interconnected with               1,000        2,000
 automatic block-signal system................
236.505  Proper operative relation between            1,000        2,000
 parts along roadway and parts on locomotive..
236.506  Release of brakes after automatic            1,000        2,000
 application..................................
236.507  Brake application; full service......        1,000        2,000
236.508  Interference with application of             1,000        2,000
 brakes by means of brake valve...............
236.509  Two or more locomotives coupled......        1,000        2,000
236.511  Cab signals controlled in accordance         1,000        2,000
 with block conditions stopping distance in
 advance......................................
236.512  Cab signal indication when locomotive        1,000        2,000
 enters blocks................................
236.513  Audible indicator....................        1,000        2,000
236.514  Interconnection of cab signal system         1,000        2,000
 with roadway signal system...................
236.515  Visibility of cab signals............        1,000        2,000
236.516  Power supply.........................        1,000        2,000
 
Rules and Instructions; Roadway--
 
236.526  Roadway element not functioning              2,500        5,000
 properly.....................................
236.527  Roadway element insulation resistance        1,000        2,000
236.528  Restrictive condition resulting from         1,000        2,000
 open hand-operated switch; requirement.......
236.529  Roadway element inductor; height and         1,000        2,000
 distance from rail...........................
236.531  Trip arm; height and distance from           1,000        2,000
 rail.........................................
236.532  Strap iron inductor; use restricted..        1,000        2,000
236.534  Rate of pressure reduction;                  1,000        2,000
 equalizing reservoir or brake pipe...........
236.551  Power supply voltage.................        1,000        2,000
236.552  Insulation resistance................        1,000        2,000
236.553  Seal, where required.................        2,500        5,000
236.554  Rate of pressure reduction;                  1,000        2,000
 equalizing reservoir or brake pipe...........
236.555  Repaired or rewound receiver coil....        1,000        2,000
236.556  Adjustment of relay..................        1,000        2,000
236.557  Receiver; location with respect to           1,000        2,000
 rail.........................................
236.560  Contact element, mechanical trip             1,000        2,000
 type; location with respect to rail..........
236.562  Minimum rail current required........        1,000        2,000
236.563  Delay time...........................        1,000        2,000
236.564  Acknowledging time...................        1,000        2,000
236.565  Provision made for preventing                1,000        2,000
 operation of pneumatic brake-applying
 apparatus by double-heading clock;
 requirement..................................
236.566  Locomotive of each train operating in        5,000        7,500
 train stop, train control or cab signal
 territory; equipped..........................
236.567  Restrictions imposed when device
 fails and/or is cut out en route:
    (a) Report not made to designated officer         5,000        7,500
     at next available point of communication
     after automatic train stop, train
     control, or cab signal device fails and/
     or is cut en route.......................
    (b) Train permitted to proceed at speed           5,000        7,500
     exceeding 79 m.p.h. where automatic train
     stop, train control, or cab signal device
     fails and/or is cut out en route when
     absolute block established in advance of
     train on which device is inoperative.....
    (c) other violations......................        1,000        2,000
236.568  Difference between speeds authorized         1,000        2,000
 by roadway signal and cab signal; action.....
 
Inspection and Tests; Roadway--
 
236.576  Roadway element......................        1,000        2,000

[[Page 438]]

 
236.577  Test, acknowledgement, and cut-in            1,000        2,000
 circuits.....................................
 
Inspection and Tests; Locomotive--
 
236.586  Daily or after trip test.............        2,500        5,000
236.587  Departure test:
    (a) Test of automatic train stop, train           5,000        7,500
     control, or cab signal apparatus on
     locomotive not made on departure of
     locomotive from initial terminal if
     equipment on locomotive not cut out
     between initial terminal and equipped
     territory................................
    (b) Test of automatic train stop, train           5,000        7,500
     control, or cab signal apparatus on
     locomotive not made immediately on
     entering equipped territory, if equipment
     on locomotive cut out between initial
     terminal and equipped territory..........
    (c) Automatic train stop, train control,          5,000        7,500
     or cab signal apparatus on locomotive
     making more than one trip within 24-hour
     period not given departure test within
     corresponding 24-hour period.............
    (d) other violations......................        2,500        5,000
236.588  Periodic test........................        2,500        5,000
236.589  Relays...............................        2,500        5,000
236.590  Pneumatic apparatus:
    (a) Automatic train stop, train control,          2,500        5,000
     or cab signal apparatus not inspected and
     cleaned at least once every 736 days.....
    (b) other violations......................        1,000        2,000
 
------------------------------------------------------------------------
   Subpart F--Dragging Equipment and Slide Detectors and Other Similar
                      Protective Devices; Standards
 
------------------------------------------------------------------------
236.601  Signals controlled by devices;               1,000        2,000
 location.....................................
------------------------------------------------------------------------
\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 $22,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.



[53 FR 52936, Dec. 29, 1988, as amended at 63 FR 11624, Mar. 10, 1998]



PART 238--PASSENGER EQUIPMENT SAFETY STANDARDS--Table of Contents




                           Subpart A--General

Sec.
238.1  Purpose and scope.
238.3  Applicability.
238.5  Definitions.
238.7  Waivers.
238.9  Responsibility for compliance.
238.11  Penalties.
238.13  Preemptive effect.
238.15  Movement of passenger equipment with power brake defects.
238.17  Movement of passenger equipment with other than power brake 
          defects.
238.19  Reporting and tracking defective passenger equipment.
238.21  Special approval procedure.
238.23  Information collection.

           Subpart B--Safety Planning and General Requirements

238.101  Scope.
238.103  Fire safety.
238.105  Train hardware and software safety.
238.107  Inspection, testing, and maintenance plan.
238.109  Training, qualification, and designation program.
238.111  Pre-revenue service acceptance testing plan.
238.113  Emergency window exits.
238.115  Emergency lighting.
238.117  Protection against personal injury.
238.119  Rim-stamped straight-plate wheels.

     Subpart C--Specific Requirements for Tier I Passenger Equipment

238.201  Scope/alternative compliance.
238.203  Static end strength.
238.205  Anti-climbing mechanism.
238.207  Link between coupling mechanism and car body.
238.209  Forward-facing end structure of locomotives.
238.211  Collision posts.
238.213  Corner posts.
238.215  Rollover strength.
238.217  Side structure.
238.219  Truck-to-car-body attachment.
238.221  Glazing.
238.223  Locomotive fuel tanks.
238.225  Electrical system.
238.227  Suspension system.
238.229  Safety appliances.
238.231  Brake system.
238.233  Interior fittings and surfaces.
238.235  Doors.
238.237  Automated monitoring.

[[Page 439]]

Subpart D--Inspection, Testing, and Maintenance Requirements for Tier I 
                           Passenger Equipment

238.301  Scope.
238.303  Exterior calendar day mechanical inspection of passenger 
          equipment.
238.305  Interior calendar day mechanical inspection of passenger cars.
238.307  Periodic mechanical inspection of passenger cars and unpowered 
          vehicles used in passenger trains.
238.309  Periodic brake equipment maintenance.
238.311  Single car test.
238.313  Class I brake test.
238.315  Class IA brake test.
238.317  Class II brake test.
238.319  Running brake test.

    Subpart E--Specific Requirements for Tier II Passenger Equipment

238.401  Scope.
238.403  Crash energy management.
238.405  Longitudinal static compressive strength.
238.407  Anti-climbing mechanism.
238.409  Forward end structures of power car cabs.
238.411  Rear end structures of power car cabs.
238.413  End structures of trailer cars.
238.415  Rollover strength.
238.417  Side loads.
238.419  Truck-to-car-body and truck component attachment.
238.421  Glazing.
238.423  Fuel tanks.
238.425  Electrical system.
238.427  Suspension system.
238.429  Safety appliances.
238.431  Brake system.
238.433  Draft system.
238.435  Interior fittings and surfaces.
238.437  Emergency communication.
238.439  Doors.
238.441  Emergency roof entrance location.
238.443  Headlights.
238.445  Automated monitoring.
238.447  Train operator's controls and power car cab layout.

Figure 1 to Subpart E--Power Car Cab Forward End Structure Conceptual 
          Implementation
Figure 2 to Subpart E--Power Car Cab Rear End Structure Conceptual 
          Implementation
Figure 3 to Subpart E--Trailer Car End Structure Conceptual 
          Implementation
Figure 4 to Subpart E--Trailer Car In-Board Vestibule End Structure 
          Conceptual Implementation

Subpart F--Inspection, Testing, and Maintenance Requirements for Tier II 
                           Passenger Equipment

238.501  Scope.
238.503  Inspection, testing, and maintenance requirements.
238.505  Program approval procedure.

 Subpart G--Specific Safety Planning Requirements for Tier II Passenger 
                                Equipment

238.601  Scope.
238.603  Safety planning requirements.

Appendix A to Part 238--Schedule of Civil Penalties
Appendix B--Test Methods and Performance Criteria for the Flammability 
          and Smoke Emission Characteristics of Materials Used in 
          Passenger Cars and Locomotive Cabs
Appendix C to Part 238--Suspension System Safety Performance Standards
Appendix D to Part 238--Requirements for External Fuel Tanks on Tier I 
          Locomotives
Appendix E to Part 238--General Principles of Reliability-Based 
          Maintenance Programs

    Authority: 49 U.S.C. 20103, 20107, 20133, 20141, 20302-03, 20306, 
and 20701-02; 49 CFR 1.49.

    Source: 64 FR 25660, May 12, 1999, unless otherwise noted.



                           Subpart A--General



Sec. 238.1  Purpose and scope.

    (a) The purpose of this part is to prevent collisions, derailments, 
and other occurrences involving railroad passenger equipment that cause 
injury or death to railroad employees, railroad passengers, or the 
general public; and to mitigate the consequences of such occurrences to 
the extent they cannot be prevented.
    (b) This part prescribes minimum Federal safety standards for 
railroad passenger equipment. This part does not restrict a railroad 
from adopting and enforcing additional or more stringent requirements 
not inconsistent with this part.
    (c) Railroads to which this part applies shall be responsible for 
compliance with all of the requirements contained in Secs. 238.15, 
238.17, 238.19, 238.107, 238.109, and subpart D of this part effective 
July 12, 2001.

[[Page 440]]

    (1) A railroad may request earlier application of the requirements 
contained in Secs. 238.15, 238.17, 238.19, 238.107, 238.109, and subpart 
D upon written notification to FRA's Associate Administrator for Safety. 
Such a request shall indicate the railroad's readiness and ability to 
comply with all of the provisions referenced in paragraph (c) 
introductory text of this section.
    (2) Except for paragraphs (b) and (c) of Sec. 238.309, a railroad 
may specifically request earlier application of the maintenance and 
testing provisions contained in Secs. 238.309 and 238.311 
simultaneously. In order to request earlier application of these two 
sections, the railroad shall indicate its readiness and ability to 
comply with all of the provisions contained in both of those sections.
    (3) Paragraphs (b) and (c) of Sec. 238.309 shall apply beginning 
September 9, 1999.



Sec. 238.3  Applicability.

    (a) Except as provided in paragraph (c) of this section, this part 
applies to all:
    (1) Railroads that operate intercity or commuter passenger train 
service on standard gage track which is part of the general railroad 
system of transportation; and
    (2) Railroads that provide commuter or other short-haul rail 
passenger train service in a metropolitan or suburban area as described 
by 49 U.S.C. 20102(1), including public authorities operating passenger 
train service.
    (b) Railroads that permit to be used or hauled on their lines 
passenger equipment subject to this part, in violation of a power brake 
provision of this part or a safety appliance provision of this part, are 
subject to the power brake and safety appliance provisions of this part 
with respect to such operations.
    (c) This part does not apply to:
    (1) Rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation;
    (2) A railroad that operates only on track inside an installation 
that is not part of the general railroad system of transportation;
    (3) Tourist, scenic, historic, or excursion operations, whether on 
or off the general railroad system of transportation; or
    (4) Circus trains.



Sec. 238.5  Definitions.

    As used in this part--
    AAR means the Association of American Railroads.
    APTA means the American Public Transit Association.
    Administrator means the Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Alerter means a device or system installed in the locomotive cab to 
promote continuous, active locomotive engineer attentiveness by 
monitoring select locomotive engineer-induced control activities. If 
fluctuation of a monitored locomotive engineer-induced control activity 
is not detected within a predetermined time, a sequence of audible and 
visual alarms is activated so as to progressively prompt a response by 
the locomotive engineer. Failure by the locomotive engineer to institute 
a change of state in a monitored control, or acknowledge the alerter 
alarm activity through a manual reset provision, results in a penalty 
brake application that brings the locomotive or train to a stop.
    Anti-climbing mechanism means the parts at the ends of adjoining 
vehicles in a train that are designed to engage when subjected to large 
buff loads to prevent the override of one vehicle by another.
    Bind means restrict the intended movement of one or more brake 
system components by obstruction, increased friction, or reduced 
clearance.
    k of cars means one car or multiple cars in a solid unit coupled 
together for the purpose of being added to, or removed from, a train as 
a solid unit.
    Brake, air or power brake means a combination of devices operated by 
compressed air, arranged in a system, and controlled manually, 
electrically, or pneumatically, by means of which the motion of a rail 
car or locomotive is retarded or arrested.

[[Page 441]]

    Brake, disc means a retardation system used on some rail vehicles, 
primarily passenger equipment, that utilizes flat metal discs as the 
braking surface instead of the wheel tread.
    Brake, dynamic means a train braking system whereby the kinetic 
energy of a moving train is used to generate electric current at the 
locomotive traction motors, which is then dissipated through banks of 
resistor grids or back into the catenary or third rail system.
    Brake, effective means a brake that is capable of producing its 
required design retarding force on the train. A rail car's air brake is 
not considered effective if its piston travel is in excess of the 
maximum prescribed limits.
    Brake indicator means a device, actuated by brake cylinder pressure, 
which indicates whether brakes are applied or released.
    Brake, inoperative means a primary brake that, for any reason, no 
longer applies or releases as intended or is otherwise ineffective.
    Brake, on-tread friction means a braking system that uses a brake 
shoe that acts on the tread of the wheel to retard the vehicle.
    Brake, parking or hand brake means a brake that can be applied and 
released by hand to prevent movement of a stationary rail car or 
locomotive.
    Brake pipe means the system of piping (including branch pipes, angle 
cocks, cutout cocks, dirt collectors, hoses, and hose couplings) used 
for connecting locomotives and all rail cars for the passage of air to 
control the locomotive and car brakes.
    Brake, power means ``air brake'' as that term is defined in this 
section.
    Brake, primary means those components of the train brake system 
necessary to stop the train within the signal spacing distance without 
thermal damage to friction braking surfaces.
    Brake, secondary means those components of the train brake system 
which develop supplemental brake retarding force that is not needed to 
stop the train within signal spacing distances or to prevent thermal 
damage to friction braking surfaces.
    Brake shoes or pads aligned with tread or disc means that the 
surface of the brake shoe or pad, respectively, engages the surface of 
the wheel tread or disc, respectively, to prevent localized thermal 
stress.
    Braking system, blended means a braking system where the primary 
brake and one or more secondary brakes are automatically combined to 
stop the train. If the secondary brakes are unavailable, the blended 
brake uses the primary brake alone to stop the train.
    Calendar day means a time period running from one midnight to the 
next midnight on a given date.
    Class I brake test means a complete passenger train brake system 
test and inspection (as further specified in Sec. 238.313) performed by 
a qualified maintenance person to ensure that the air brake system is 
100 percent effective.
    Class IA brake test means a test and inspection (as further 
specified in Sec. 238.315) performed by a qualified person of the air 
brake system on each car in a passenger train to ensure that the brakes 
apply and release on each car in the train in response to train line 
commands.
    Class II brake test means a test and inspection (as further 
specified in Sec. 238.317) performed by a qualified person of brake pipe 
integrity and continuity from the controlling locomotive to the rear 
unit of a passenger train.
    Collision posts means structural members of the end structures of a 
vehicle that extend vertically from the underframe to which they are 
securely attached and that provide protection to occupied compartments 
from an object penetrating the vehicle during a collision.
    Control valves means that part of the air brake equipment on each 
rail car or locomotive that controls the charging, application, and 
release of the air brakes, in response to train line commands.
    Corner posts means structural members located at the intersection of 
the front or rear surface with the side surface of a rail vehicle and 
which extend vertically from the underframe to the roof. Corner posts 
may be combined with collision posts to become part of the end 
structure.
    Crack means a fracture without complete separation into parts, 
except that, in a casting, a shrinkage crack or

[[Page 442]]

hot tear that does not significantly diminish the strength of the member 
is not a crack.
    Crash energy management means an approach to the design of rail 
passenger equipment which controls the dissipation of energy during a 
collision to protect the occupied volumes from crushing and to limit the 
decelerations on passengers and crewmembers in those volumes. This may 
be accomplished by designing energy-absorbing structures of low strength 
in the unoccupied volumes of a rail vehicle or passenger train to 
collapse in a controlled manner, while providing higher structural 
strength in the occupied volumes. Energy deflection can also be part of 
a crash energy management approach. Crash energy management can be used 
to help provide anti-climbing resistance and to reduce the risk of train 
buckling during a collision.
    Crash refuge means a volume with structural strength designed to 
maximize the survivability of crewmembers stationed in the locomotive 
cab during a collision.
    Crewmember means a railroad employee called to perform service 
covered by the Federal hours of service laws at 49 U.S.C. 21103 and 
subject to the railroad's operating rules and program of operational 
tests and inspections required in Sec. 217.9 and Sec. 217.11 of this 
chapter.
    Critical buckling stress means the minimum stress necessary to 
initiate buckling of a structural member.
    Emergency brake application means an irretrievable brake application 
resulting in the maximum retarding force available from the train brake 
system.
    Emergency window means that segment of a side-facing glazing panel 
which has been designed to permit rapid and easy removal in an emergency 
situation.
    End structure means the main support structure projecting upward 
from the underframe of a locomotive, passenger car, or other rail 
vehicle. The end structure is securely attached to the underframe at 
each end of a rail vehicle.
    50th-percentile adult male means a person weighing 164 pounds (plus 
or minus 3 pounds) and possessing the following dimensions: erect 
sitting height: 35.7 inches (plus or minus 0.1 inch); hip breadth 
(sitting): 14.7 inches (plus or minus 0.7 inch); hip circumference 
(sitting): 42 inches; waist circumference (sitting): 32 inches (plus or 
minus 0.6 inch); chest depth: 9.3 inches (plus or minus 0.2 inch); and 
chest circumference: 37.4 inches (plus or minus 0.6 inch).
    Foul means restrict the intended movement of one or more brake 
system components because the component is snagged, entangled, or 
twisted.
    FRA means the Federal Railroad Administration.
    Fuel tank, external means a fuel containment volume that extends 
outside the car body structure of a locomotive.
    Fuel tank, internal means a fuel containment volume that does not 
extend outside the car body structure of a locomotive.
    Full-height collision post, corner post, or side frame post means 
any vertical framing member in the rail car body structure that spans 
the distance between the underframe and the roof at the car body section 
where the post is located. For collision posts located at the 
approximate third points laterally of an end frame, the term ``full-
height'' applies to posts that extend and connect to supporting 
structural members in the roof at the location of the posts, or to a 
beam connected to the top of the end-frame and supported by the roof 
rails (or anti-telescoping plate), or to both.
    Full service application means a brake application which results in 
a brake cylinder pressure at the service limiting valve setting or 
equivalent.
    Glazing, end-facing means a glazing panel located where a line 
perpendicular to the exterior surface of the panel makes an angle of 50 
degrees or less with the longitudinal center line of the rail vehicle in 
which the panel is installed. A glazing panel that curves so as to meet 
the definition for both side-facing and end-facing glazing is considered 
end-facing glazing.
    Glazing, exterior means a glazing panel that is an integral part of 
the exterior skin of a rail vehicle and has a surface exposed to the 
outside environment.

[[Page 443]]

    Glazing, side-facing means a glazing panel located where a line 
perpendicular to the exterior surface of the panel makes an angle of 
more than 50 degrees with the longitudinal center line of the rail 
vehicle in which the panel is installed.
    Handrails means safety appliances installed on either side of a rail 
vehicle's exterior doors to assist passengers and crewmembers to safely 
board and depart the vehicle.
    Head end power means power generated on board the locomotive of a 
passenger train used for purposes other than propelling the train, such 
as cooking, heating, illumination, ventilation and air conditioning.
    In passenger service/in revenue service means a train or passenger 
equipment that is carrying, or available to carry, passengers. 
Passengers need not have paid a fare in order for the equipment to be 
considered in passenger or in revenue service.
    In service, when used in connection with passenger equipment, means:
    (1) Passenger equipment subject to this part that is in passenger or 
revenue service; and
    (2) All other passenger equipment subject to this part, unless the 
passenger equipment:
    (i) Is being handled in accordance with Secs. 238.15, 238.17, 
238.305(c)(5), or 238.503(f), as applicable;
    (ii) Is in a repair shop or on a repair track;
    (iii) Is on a storage track and is not carrying passengers; or
    (iv) Has been delivered in interchange but has not been accepted by 
the receiving railroad.
    Interior fitting means any component in the passenger compartment 
which is mounted to the floor, ceiling, sidewalls, or end walls and 
projects into the passenger compartment more than 25 mm (1 in.) from the 
surface or surfaces to which it is mounted. Interior fittings do not 
include side and end walls, floors, door pockets, or ceiling lining 
materials, for example.
    Lateral means the horizontal direction perpendicular to the 
direction of travel.
    Locomotive means a piece of on-track rail equipment, other than hi-
rail, specialized maintenance, or other similar equipment, which may 
consist of one or more units operated from a single control stand with 
one or more propelling motors designed for moving other passenger 
equipment; with one or more propelling motors designed to transport 
freight or passenger traffic, or both; or without propelling motors but 
with one or more control stands. This term does not include a locomotive 
propelled by steam power unless it is used to haul an intercity or 
commuter passenger train. Nor does this term include a freight 
locomotive when used to haul a passenger train due to failure of a 
passenger locomotive.
    Locomotive cab means the compartment or space on board a locomotive 
where the control stand is located and which is normally occupied by the 
engineer when the locomotive is operated.
    Locomotive, cab car means rail rolling equipment intended to provide 
transportation for members of the general public that is without 
propelling motors but equipped with one or more control stands.
    Locomotive, controlling means the locomotive from which the 
locomotive engineer exercises control over the train.
    Locomotive, MU means rail rolling equipment self-propelled by any 
power source and intended to provide transportation for members of the 
general public; however, this term does not include an MU locomotive 
propelled by steam power unless it is used to haul an intercity or 
commuter passenger train.
    Longitudinal means in a direction parallel to the normal direction 
of travel.
    Luminescent material means material that absorbs light energy when 
ambient levels of light are high and emits this stored energy when 
ambient levels of light are low, making the material appear to glow in 
the dark.
    L/V ratio means the ratio of the lateral force that any wheel exerts 
on an individual rail to the vertical force exerted by the same wheel on 
the rail.
    MIL-STD-882C means a military standard issued by the United States 
Department of Defense to provide uniform requirements for developing and 
implementing a system safety plan and

[[Page 444]]

program to identify and then eliminate the hazards of a system or reduce 
the associated risk to an acceptable level.
    Monocoque means a type of rail vehicle construction where the shell 
or skin acts as a single unit with the supporting frame to resist and 
transmit the loads acting on the rail vehicle.
    Mph means miles per hour.
    95th-percentile adult male means, except as used in 
Sec. 238.447(f)(2), a person weighing 215 pounds and possessing the 
following dimensions: erect sitting height: 38 inches; hip breadth 
(sitting): 16.5 inches; hip circumference (sitting): 47.2 inches; waist 
circumference (sitting): 42.5 inches; chest depth: 10.5 inches; and 
chest circumference 44.5 inches.
    Occupied volume means the volume of a rail vehicle or passenger 
train where passengers or crewmembers are normally located during 
service operation, such as the operating cab and passenger seating and 
sleeping areas. The entire width of a vehicle's end compartment that 
contains a control stand is an occupied volume. A vestibule is typically 
not considered occupied, except when it contains a control stand for use 
as a control cab.
    Ordered, as applied to acquisition of equipment, means that the 
acquiring entity has given a notice to proceed to manufacture the 
equipment that represents a firm financial commitment to compensate the 
manufacturer for the contract price of the equipment or for damages if 
the order is nullified. Equipment is not ordered if future exercise of a 
contract option is required to place the remanufacturing process in 
motion.
    Override means to climb over the normal coupling or side buffers and 
linking mechanism and impact the end of the adjoining rail vehicle or 
unit above the underframe.
    Passenger car means rail rolling equipment intended to provide 
transportation for members of the general public and includes a self-
propelled car designed to carry passengers, baggage, mail, or express. 
This term includes a passenger coach, cab car, and an MU locomotive. In 
the context of articulated equipment, ``passenger car'' means that 
segment of the rail rolling equipment located between two trucks. This 
term does not include a private car.
    Passenger coach means rail rolling equipment intended to provide 
transportation for members of the general public that is without 
propelling motors and without a control stand.
    Passenger equipment--means
    (1) All powered and unpowered passenger cars, locomotives used to 
haul a passenger car, and any other rail rolling equipment used in a 
train with one or more passenger cars. Passenger equipment includes--
    (i) A passenger coach,
    (ii) A cab car,
    (iii) A MU locomotive,
    (iv) A locomotive not intended to provide transportation for a 
member of the general public that is used to power a passenger train, 
and
    (v) Any non-self-propelled vehicle used in a passenger train, 
including an express car, baggage car, mail car, freight car, or a 
private car.
    (2) In the context of articulated equipment, ``passenger equipment'' 
means a segment of rail rolling equipment located between two trucks 
that is used in a train with one or more passenger cars. This term does 
not include a freight locomotive when used to haul a passenger train due 
to failure of a passenger locomotive.
    Passenger station means a location designated in a railroad's 
timetable where passengers are regularly scheduled to get on or off any 
train.
    Permanent deformation means the undergoing of a permanent change in 
shape of a structural member of a rail vehicle.
    Person means an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor.
    Piston travel means the amount of linear movement of the air brake 
hollow rod (or equivalent) or piston rod when forced outward by movement 
of the

[[Page 445]]

piston in the brake cylinder or actuator and limited by the brake shoes 
being forced against the wheel or disc.
    Power car means a rail vehicle that propels a Tier II passenger 
train or is the lead vehicle in a Tier II passenger train, or both.
    Pre-revenue service acceptance testing plan means a document, as 
further specified in Sec. 238.111, prepared by a railroad that explains 
in detail how pre-revenue service tests of passenger equipment 
demonstrate that the equipment meets Federal safety standards and the 
railroad's own safety requirements.
    Primary responsibility means the task that a person performs at 
least 50 percent of the time. The totality of the circumstances will be 
considered on a case-by-case basis in circumstances where an individual 
does not spend 50 percent of his or her day engaged in any one readily 
identifiable type of activity.
    Private car means rail rolling equipment that is used only for 
excursion, recreational, or private transportation purposes. A private 
car is not a passenger car.
    Public highway-rail grade crossing means a location where a public 
highway, road or street, including associated sidewalks or pathways, 
crosses one or more active railroad tracks at grade.
    Qualified maintenance person means a qualified person who has 
received, as a part of the training, qualification, and designation 
program required under Sec. 238.109, instruction and training that 
includes ``hands-on'' experience (under appropriate supervision or 
apprenticeship) in one or more of the following functions: 
troubleshooting, inspection, testing, maintenance, or repair of the 
specific train brake and other components and systems for which the 
person is assigned responsibility. This person shall also possess a 
current understanding of what is required to properly repair and 
maintain the safety-critical brake or mechanical components for which 
the person is assigned responsibility. Further, the qualified 
maintenance person shall be a person whose primary responsibility 
includes work generally consistent with the above-referenced functions 
and is designated to:
    (1) Conduct Class I brake tests under this part;
    (2) Conduct exterior calendar day mechanical inspections on MU 
locomotives or other passenger cars and unpowered vehicles under this 
part; or
    (3) Determine whether equipment not in compliance with this part may 
be moved as required by Sec. 238.17.
    Qualified person means a person determined by a railroad to have the 
knowledge and skills necessary to perform one or more functions required 
under this part. The railroad determines the qualifications and 
competencies for employees designated to perform various functions in 
the manner set forth in this part.
    Railroad means any form of nonhighway ground transportation that 
runs on rails or electromagnetic guideways and any entity providing such 
transportation, including--
    (i) Commuter or other short-haul railroad passenger service in a 
metropolitan or suburban area and commuter railroad service that was 
operated by the Consolidated Rail Corporation on January 1, 1979; and
    (ii) High speed ground transportation systems that connect 
metropolitan areas, without regard to whether those systems use new 
technologies not associated with traditional railroads; but does not 
include rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation.
    Refresher training means periodic retraining required by a railroad 
for employees or contractors to remain qualified to perform specific 
equipment inspection, testing, or maintenance functions.
    Repair point means a location designated by a railroad where repairs 
of the type necessary occur on a regular basis. A repair point has, or 
should have, the facilities, tools, and personnel qualified to make the 
necessary repairs. A repair point need not be staffed continuously.
    Respond as intended means to produce the result that a device or 
system is designed to produce.

[[Page 446]]

    Rollover strength means the strength provided to protect the 
structural integrity of a rail vehicle in the event the vehicle leaves 
the track and impacts the ground on its side or roof.
    Roof rail means the longitudinal structural member at the 
intersection of the side wall and the roof sheathing.
    Running brake test means a test (as further specified in 
Sec. 238.319) performed by a qualified person of a train system or 
component while the train is in motion to verify that the system or 
component functions as intended.
    Running gear defect means any condition not in compliance with this 
part which involves a truck component, a propulsion system component, a 
draft system component, a wheel, or a wheel component.
    Safety appliance means an appliance required under 49 U.S.C. chapter 
203, excluding power brakes. The term includes automatic couplers, hand 
brakes, sill steps, handholds, handrails, or ladder treads made of steel 
or a material of equal or greater mechanical strength used by the 
traveling public or railroad employees that provide a means for safely 
coupling, uncoupling, or ascending or descending passenger equipment.
    Safety-critical means a component, system, or task that, if not 
available, defective, not functioning, not functioning correctly, not 
performed, or not performed correctly, increases the risk of damage to 
passenger equipment or injury to a passenger, crewmember, or other 
person.
    Semi-permanently coupled means coupled by means of a drawbar or 
other coupling mechanism that requires tools to perform the uncoupling 
operation. Coupling and uncoupling of each semi-permanently coupled unit 
in a train can be performed safely only while at a maintenance or shop 
location where personnel can safely get under a unit or between units.
    Shear strength means the ability of a structural member to resist 
forces or components of forces acting perpendicular to compression or 
tension forces, or both, in the member.
    Shock absorbent material means material designed to prevent or 
mitigate injuries due to impact by yielding and absorbing much of the 
energy of impact.
    Side posts means main vertical structural elements in the sides of a 
rail vehicle.
    Side sill means that portion of the underframe or side at the bottom 
of the rail vehicle side wall.
    Single car test means a comprehensive test (as further specified in 
Sec. 238.311) of the functioning of all critical brake system components 
installed on an individual passenger car or unpowered vehicle, other 
than a self-propelled passenger car, used or allowed to be used in a 
passenger train.
    Single car test device means a device capable of controlling the 
application and release of the brakes on an individual passenger car or 
an unpowered vehicle, other than a self-propelled passenger car, through 
pneumatic or electrical means.
    Skin means the outer covering of a fuel tank and a rail vehicle. The 
skin may be covered with another coating of material such as fiberglass.
    Spall, glazing means small pieces of glazing that fly off the back 
surface of the glazing when an object strikes the front surface.
    Switching service means the classification of freight cars according 
to commodity or destination; assembling of cars for train movements; 
changing the position of cars for purposes of loading, unloading, or 
weighing; placing of locomotives and cars for repair or storage; or 
moving of rail equipment in connection with work service that does not 
constitute a train movement.
    Telescope means override an adjoining rail vehicle or unit and 
penetrate into the interior of that adjoining vehicle or unit because of 
compressive forces.
    Terminal means a starting point or ending point of a single 
scheduled trip for a train, where passengers may get on or off a train. 
Normally, this location is a point where the train would reverse 
direction or change destinations.
    Tier I means operating at speeds not exceeding 125 mph.
    Tier II means operating at speeds exceeding 125 mph but not 
exceeding 150 mph.
    Tourist, scenic, historic, or excursion operations means railroad 
operations

[[Page 447]]

that carry passengers, often using antiquated equipment, with the 
conveyance of the passengers to a particular destination not being the 
principal purpose.
    Trailer car means a rail vehicle that neither propels a Tier II 
passenger train nor is the leading unit in a Tier II passenger train. A 
trailer car is normally without a control stand and is normally occupied 
by passengers.
    Train means a locomotive unit or locomotive units coupled, with or 
without cars. For the purposes of the provisions of this part related to 
power brakes, the term ``train'' does not include such equipment when 
being used in switching service.
    Train brake communication line means the communication link between 
the locomotive and passenger equipment in a train by which the brake 
commands are transmitted. This may be a pneumatic pipe, electrical line, 
or radio signal.
    Train, commuter means a passenger train providing commuter service 
within an urban, suburban, or metropolitan area. The term includes a 
passenger train provided by an instrumentality of a State or a political 
subdivision of a State.
    Train, long-distance intercity passenger means a passenger train 
that provides service between large cities more than 125 miles apart and 
is not operated exclusively in the National Railroad Passenger 
Corporation's Northeast Corridor.
    Train, passenger means a train that transports or is available to 
transport members of the general public. If a train is composed of a 
mixture of passenger and freight equipment, that train is a passenger 
train for purposes of this part.
    Train, short-distance intercity passenger means a passenger train 
that provides service exclusively on the National Railroad Passenger 
Corporation's Northeast Corridor or between cities that are not more 
than 125 miles apart.
    Train, Tier II passenger means a short-distance or long-distance 
intercity passenger train providing service at speeds that include those 
exceeding 125 mph but not exceeding 150 mph.
    Trainset, passenger means a passenger train.
    Transverse means in a direction perpendicular to the normal 
direction of travel.
    Ultimate strength means the load at which a structural member 
fractures or ceases to resist any load.
    Uncoupling mechanism means the arrangement for operating the coupler 
by any means.
    Underframe means the lower horizontal support structure of a rail 
vehicle.
    Unit means passenger equipment of any type, except a freight 
locomotive when used to haul a passenger train due to failure of a 
passenger locomotive.
    Unoccupied volume means the volume of a rail vehicle or passenger 
train which does not contain seating and is not normally occupied by 
passengers or crewmembers.
    Vehicle, rail means passenger equipment of any type and includes a 
car, trailer car, locomotive, power car, tender, or similar vehicle. 
This term does not include a freight locomotive when used to haul a 
passenger train due to failure of a passenger locomotive.
    Vestibule means an area of a passenger car that normally does not 
contain seating and is used in passing from the seating area to the side 
exit doors.
    Witness plate means a thin foil placed behind a piece of glazing 
undergoing an impact test. Any material spalled or broken from the back 
side of the glazing will dent or mark the witness plate.
    Yard means a system of tracks within defined limits provided for the 
making up of trains, storing of cars, or other purposes.
    Yard air test means a train brake system test conducted using a 
source of compressed air other than a locomotive.
    Yield strength means the ability of a structural member to resist a 
change in length caused by a heavy load. Exceeding the yield strength 
may cause permanent deformation of the member.



Sec. 238.7  Waivers.

    (a) A person subject to a requirement of this part may petition the 
Administrator for a waiver of compliance with

[[Page 448]]

such requirement. The filing of such a petition does not affect the 
person's responsibility for compliance with that requirement while the 
petition is being considered.
    (b) Each petition for waiver under this section shall be filed in 
the manner and contain the information required by part 211 of this 
chapter.
    (c) If the Administrator finds that a waiver of compliance is in the 
public interest and is consistent with railroad safety, the 
Administrator may grant the waiver subject to any conditions the 
Administrator deems necessary.



Sec. 238.9  Responsibility for compliance.

    (a) A railroad subject to this part shall not--
    (1) Use, haul, permit to be used or hauled on its line, offer in 
interchange, or accept in interchange any train or passenger equipment, 
while in service,
    (i) That has one or more conditions not in compliance with a safety 
appliance or power brake provision of this part; or
    (ii) That has not been inspected and tested as required by a safety 
appliance or power brake provision of this part; or
    (2) Use, haul, offer in interchange, or accept in interchange any 
train or passenger equipment, while in service,
    (i) That has one or more conditions not in compliance with a 
provision of this part, other than the safety appliance and power brake 
provisions of this part, if the railroad has actual knowledge of the 
facts giving rise to the violation, or a reasonable person acting in the 
circumstances and exercising reasonable care would have that knowledge; 
or
    (ii) That has not been inspected and tested as required by a 
provision of this part, other than the safety appliance and power brake 
provisions of this part, if the railroad has actual knowledge of the 
facts giving rise to the violation, or a reasonable person acting in the 
circumstances and exercising reasonable care would have that knowledge; 
or
    (3) Violate any other provision of this part.
    (b) For purposes of this part, passenger equipment will be 
considered in use prior to departure but after it has received, or 
should have received, the inspection required under this part for 
movement and is deemed ready for passenger service.
    (c) Although the duties imposed by this part are generally stated in 
terms of the duty of a railroad, any person as defined in Sec. 238.5, 
including a contractor for a railroad, who performs any function covered 
by this part must perform that function in accordance with this part.



Sec. 238.11  Penalties.

    (a) Any person, as defined in Sec. 238.5, who violates any 
requirement of this part or causes the violation of any such requirement 
is subject to a civil penalty of at least $500 and not more than $11,000 
per violation, except that: Penalties may be assessed against 
individuals only for willful violations, and, where a grossly negligent 
violation or a pattern of repeated violations has created an imminent 
hazard of death or injury to persons, or has caused death or injury, a 
penalty not to exceed $22,000 per violation may be assessed. Each day a 
violation continues shall constitute a separate offense. See appendix A 
to this part for a statement of agency civil penalty policy.
    (b) Any person who knowingly and willfully falsifies a record or 
report required by this part may be subject to criminal penalties under 
49 U.S.C. 21311.



Sec. 238.13  Preemptive effect.

    Under 49 U.S.C. 20106, issuance of the regulations in this part 
preempts any State law, regulation, or order covering the same subject 
matter, except an additional or more stringent law, regulation, or order 
that is necessary to eliminate or reduce an essentially local safety 
hazard; that is not incompatible with a law, regulation, or order of the 
United States Government; and that does not unreasonably burden 
interstate commerce.



Sec. 238.15  Movement of passenger equipment with power brake defects.

    Beginning July 12, 2001 the following provisions of this section 
apply to railroads operating Tier I passenger equipment covered by this 
part. A railroad may request earlier application of

[[Page 449]]

these requirements upon written notification to FRA's Associate 
Administrator for Safety as provided in Sec. 238.1(c) of this part.
    (a) General. This section contains the requirements for moving 
passenger equipment with a power brake defect without liability for a 
civil penalty under this part. Railroads remain liable for the movement 
of passenger equipment under 49 U.S.C. 20303(c). For purposes of this 
section, Sec. 238.17, and Sec. 238.503, a ``power brake defect'' is a 
condition of a power brake component, or other primary brake component, 
that does not conform with this part. (Passenger cars and other 
passenger equipment classified as locomotives under part 229 of this 
chapter are also covered by the movement restrictions contained in 
Sec. 229.9 of this chapter for those defective conditions covered by 
part 229 of this chapter.)
    (b) Limitations on movement of passenger equipment containing a 
power brake defect found during a Class I or IA brake test. Except as 
provided in paragraph (c) of this section (which addresses brakes that 
become defective en route after a Class I or IA brake test was 
performed), a commuter or passenger train that has in its consist 
passenger equipment containing a power brake defect found during a Class 
I or IA brake test (or, for Tier II trains, the equivalent) may only be 
moved, without civil penalty liability under this part--
    (1) If all of the following conditions are met:
    (i) The train is moved for purposes of repair, without passengers;
    (ii) The applicable operating restrictions in paragraphs (d) and (e) 
of this section are observed; and
    (iii) The passenger equipment is tagged, or information is recorded, 
as prescribed in paragraph (c)(2) of this section; or
    (2) If the train is moved for purposes of scrapping or sale of the 
passenger equipment that has the power brake defect and all of the 
following conditions are met:
    (i) The train is moved without passengers;
    (ii) The movement is at a speed of 15 mph or less; and
    (iii) The movement conforms with the railroad's air brake or power 
brake instructions.
    (c) Limitations on movement of passenger equipment in passenger 
service that becomes defective en route after a Class I or IA brake 
test. Passenger equipment hauled or used in service in a commuter or 
passenger train that develops a power brake defect while en route to 
another location after receiving a Class I or IA brake test (or, for 
Tier II trains, the equivalent) may be hauled or used by a railroad for 
repair, without civil penalty liability under this part, if the 
applicable operating restrictions set forth in paragraphs (d) and (e) of 
this section are complied with and all of the following requisites are 
satisfied:
    (1) En route defect. At the time of the train's Class I or IA brake 
test, the passenger equipment in the train was properly equipped with 
power brakes that comply with this part. The power brakes on the 
passenger equipment become defective while it is en route to another 
location.
    (2) Record. At the place where the railroad first discovers the 
defect, a tag or card is placed on both sides of the defective passenger 
equipment, or an automated tracking system is provided, with the 
following information about the defective passenger equipment:
    (i) The reporting mark and car or locomotive number;
    (ii) The name of the inspecting railroad;
    (iii) The name of the inspector;
    (iv) The inspection location and date;
    (v) The nature of each defect;
    (vi) The destination of the equipment where it will be repaired; and
    (vii) The signature, if possible, and job title of the person 
reporting the defective condition.
    (3) Automated tracking system. Automated tracking systems used to 
meet the tagging requirements contained in paragraph (c)(2) of this 
section may be reviewed and monitored by FRA at any time to ensure the 
integrity of the system. FRA's Associate Administrator for Safety may 
prohibit or revoke a railroad's ability to utilize an automated tracking 
system in lieu of tagging if FRA finds that the automated

[[Page 450]]

tracking system is not properly secure, is inaccessible to FRA or a 
railroad's employees, or fails to adequately track or monitor the 
movement of defective equipment. Such a determination will be made in 
writing and will state the basis for such action.
    (4) Conditional requirement. In addition, if an en route failure 
causes power brakes to be cut out or renders the brake inoperative on 
passenger equipment, the railroad shall:
    (i) Determine the percentage of operative power brakes in the train 
based on the number of brakes known to be cut out or otherwise 
inoperative, using the formula specified in paragraph (d)(1) of this 
section;
    (ii) Notify the person responsible for the movement of trains of the 
percent of operative brakes and movement restrictions on the train 
imposed by paragraph (d) of this section;
    (iii) Notify the mechanical department of the failure; and
    (iv) Confirm the percentage of operative brakes by a walking 
inspection at the next location where the railroad reasonably judges 
that it is safe to do so.
    (d) Operating restrictions based on percent operative power brakes 
in train.
    (1) Computation of percent operative power brakes.
    (i) Except as specified in paragraphs (d)(1)(ii) and (iii) of this 
section, the percentage of operative power brakes in a train shall be 
determined by dividing the number of axles in the train with operative 
power brakes by the total number of axles in the train.
    (ii) For equipment with tread brake units (TBUs), the percentage of 
operative power brakes shall be determined by dividing the number of 
operative TBUs by the total number of TBUs.
    (iii) Each cut-out axle on a locomotive that weighs more than 
200,000 pounds shall be counted as two cut-out axles for the purposes of 
calculating the percentage of operative brakes. Unless otherwise 
specified by the railroad, the friction braking effort over all other 
axles shall be considered uniform.
    (iv) The following brake conditions not in compliance with this part 
are not considered inoperative power brakes for purposes of this 
section:
    (A) Failure or cutting out of secondary brake systems;
    (B) Inoperative or otherwise defective handbrakes or parking brakes;
    (C) Excessive piston travel that does not render the power brakes 
ineffective; and
    (D) Power brakes overdue for inspection, testing, maintenance, or 
stenciling under this part.
    (2) All passenger trains developing 50-74 percent operative power 
brakes. A passenger train that develops inoperative power brake 
equipment resulting in at least 50 percent but less than 75 percent 
operative power brakes may be used only as follows:
    (i) The train may be moved in passenger service only to the next 
forward passenger station;
    (ii) The speed of the train shall be restricted to 20 mph or less; 
and
    (iii) After all passengers are discharged, the defective equipment 
shall be moved to the nearest location where the necessary repairs can 
be made.
    (3) Commuter, short-distance intercity, and short-distance Tier II 
passenger trains developing 75-99 percent operative power brakes.
    (i) 75-84 percent operative brakes. Commuter, short-distance 
intercity, and short-distance Tier II passenger trains which develop 
inoperative power brake equipment resulting in at least 75 percent but 
less than 85 percent operative brakes may be used only as follows:
    (A) The train may be moved in passenger service only to the next 
forward location where the necessary repairs can be made; however, if 
the next forward location where the necessary repairs can be made does 
not have the facilities to handle the safe unloading of passengers, the 
train may be moved past the repair location in service only to the next 
forward passenger station in order to facilitate the unloading of 
passengers; and
    (B) The speed of the train shall be restricted to 50 percent of the 
train's maximum allowable speed or 40 mph, whichever is less; and
    (C) After all passengers are discharged, the defective equipment 
shall be moved to the nearest location where the necessary repairs can 
be made.
    (ii) 85-99 percent operative brakes. Commuter, short-distance 
intercity,

[[Page 451]]

and short-distance Tier II passenger trains which develop inoperative 
power brake equipment resulting in at least 85 percent but less than 100 
percent operative brakes may only be used as follows:
    (A) The train may be moved in passenger service only to the next 
forward location where the necessary repairs can be made; however, if 
the next forward location where the necessary repairs can be made does 
not have the facilities to handle the safe unloading of passengers, the 
train may be moved past the repair location in service only to the next 
forward passenger station in order to facilitate the unloading of 
passengers; and
    (B) After all passengers are discharged, the defective equipment 
shall be moved to the nearest location where the necessary repairs can 
be made.
    (4) Long-distance intercity and long-distance Tier II passenger 
trains developing 75-99 operative power brakes.
    (i) 75-84 percent operative brakes. Long-distance intercity and 
long-distance Tier II passenger trains which develop inoperative power 
brake equipment resulting in at least 75 percent but less than 85 
percent operative brakes may be used only if all of the following 
restrictions are observed:
    (A) The train may be moved in passenger service only to the next 
forward repair location identified for repair of that equipment by the 
railroad operating the equipment in the list required by Sec. 238.19(d); 
however, if the next forward repair location does not have the 
facilities to handle the safe unloading of passengers, the train may be 
moved past the designated repair location in service only to the next 
forward passenger station in order to facilitate the unloading of 
passengers; and
    (B) The speed of the train shall be restricted to 50 percent of the 
train's maximum allowable speed or 40 mph, whichever is less; and
    (C) After all passengers are discharged, the defective equipment 
shall be moved to the nearest location where the necessary repairs can 
be made.
    (ii) 85-99 percent operative brakes. Long-distance intercity and 
long-distance Tier II passenger trains which develop inoperative power 
brake equipment resulting in at least 85 percent but less than 100 
percent operative brakes may be used only if all of the following 
restrictions are observed:
    (A) The train may be moved in passenger service only to the next 
forward repair location identified for repair of that equipment by the 
railroad operating the equipment in the list required by Sec. 238.19(d); 
however, if the next forward repair location does not have the 
facilities to handle the safe unloading of passengers, the train may be 
moved past the designated repair location in service only to the next 
forward passenger station in order to facilitate the unloading of 
passengers; and
    (B) After all passengers are discharged, the defective equipment 
shall be moved to the nearest location where the necessary repairs can 
be made.
    (e) Operating restrictions on passenger trains with inoperative 
power brakes on the front or rear unit. If the power brakes on the front 
or rear unit in any passenger train are completely inoperative the 
following shall apply:
    (1) If the handbrake is located inside the interior of the car:
    (i) A qualified person shall be stationed at the handbrake on the 
unit;
    (ii) The car shall be locked-out and empty except for the railroad 
employee manning the handbrake; and
    (iii) Appropriate speed restrictions shall be placed on the train by 
a qualified person;
    (2) If the handbrake is located outside the interior of the car or 
is inaccessible to a qualified person:
    (i) The car shall be locked-out and empty;
    (ii) The train shall be operated at restricted speed not to exceed 
20 mph; and
    (iii) The car shall be removed from the train or repositioned in the 
train at the first location where it is possible to do so.
    (f) Special Notice for Repair. Nothing in this section authorizes 
the movement of passenger equipment subject to a Special Notice for 
Repair under part 216 of this chapter unless the movement is made in 
accordance with the restrictions contained in the Special Notice.

[[Page 452]]



Sec. 238.17  Movement of passenger equipment with other than power brake defects.

    Beginning July 12, 2001 the following provisions of this section 
apply to railroads operating Tier I passenger equipment covered by this 
part. A railroad may request earlier application of these requirements 
upon written notification to FRA's Associate Administrator for Safety as 
provided in Sec. 238.1(c) of this part.
    (a) General. This section contains the requirements for moving 
passenger equipment with other than a power brake defect. (Passenger 
cars and other passenger equipment classified as locomotives under part 
229 of this chapter are also covered by the movement restrictions 
contained in Sec. 229.9 of this chapter for those defective conditions 
covered by part 229 of this chapter.)
    (b) Limitations on movement of passenger equipment containing 
defects found at time of calendar day inspection. Except as provided in 
Secs. 238.303(e)(15) and 238.305(c)(5), passenger equipment containing a 
condition not in conformity with this part at the time of its calendar 
day mechanical inspection may be moved from that location for repair if 
all of the following conditions are satisfied:
    (1) If the condition involves a running gear defect, the defective 
equipment is not used in passenger service and is moved in a non-revenue 
train;
    (2) If the condition involves a non-running gear defect, the 
defective equipment may be used in passenger service in a revenue train 
provided that a qualified maintenance person determines that it is safe 
to do so, and if so, the car is locked out and empty, and all movement 
restrictions are observed except that the car may be occupied by a 
member of the train crew or a railroad employee to the extent necessary 
to safely operate the train;
    (3) The requirements of paragraphs (c)(3) and (c)(4) of this section 
are met; and
    (4) The special requirements of paragraph (e) of this section, if 
applicable, are met.
    (c) Usual limitations on movement of passenger equipment that 
develops defects en route. Except as provided in Secs. 238.303(e)(15) 
and 238.503(f), passenger equipment that develops en route to its 
destination, after its calendar day inspection was performed and before 
its next calendar day mechanical inspection is performed, any defect not 
in compliance with this part, other than a power brake defect, may be 
moved only if the railroad complies with all of the following 
requirements and, if applicable, the special requirements in paragraph 
(e) of this section:
    (1) Prior to movement of equipment with a potential running gear 
defect, a qualified maintenance person shall determine if it is safe to 
move the equipment in passenger service and, if so, the maximum speed 
and other restrictions necessary for safely conducting the movement. If 
appropriate, these determinations may be made based upon a description 
of the defective condition provided by a crewmember. If the 
determinations required by this paragraph are made by an off-site 
qualified maintenance person based on a description of the defective 
condition by on-site personnel, then a qualified maintenance person 
shall perform a physical inspection of the defective equipment, at the 
first location possible, to verify the description of the defect 
provided by the on-site personnel.
    (2) Prior to movement of equipment with a non-running gear defect, a 
qualified person or a qualified maintenance person shall determine if it 
is safe to move the equipment in passenger service and, if so, the 
maximum speed and other restrictions necessary for safely conducting the 
movement. If appropriate, these determinations may be made based upon a 
description of the defective condition provided by the on-site 
personnel.
    (3) Prior to movement of any defective equipment, the qualified 
person or qualified maintenance person shall notify the crewmember in 
charge of the movement of the defective equipment, who in turn shall 
inform all other crewmembers of the presence of the defective 
condition(s) and the maximum speed and other restrictions determined 
under paragraph (c)(1) or (c)(2) of this section. The movement shall be 
made in conformance with such restrictions.
    (4) The railroad shall maintain a record of all defects reported and 
their

[[Page 453]]

subsequent repair in the defect tracking system required in Sec. 238.19. 
In addition, prior to movement of the defective equipment, a tag or card 
placed on both sides of the defective equipment, or an automated 
tracking system, shall record the following information about the 
defective equipment:
    (i) The reporting mark and car or locomotive number;
    (ii) The name of the inspecting railroad;
    (iii) The name of the inspector, inspection location, and date;
    (iv) The nature of each defect;
    (v) Movement restrictions and safety restrictions, if any;
    (vi) The destination of the equipment where it will be repaired; and
    (vii) The signature, if possible, as well as the job title and 
location of the person making the determinations required by this 
section.
    (5) Automated tracking system. Automated tracking systems used to 
meet the tagging requirements contained in paragraph (c)(4) of this 
section may be reviewed and monitored by FRA at any time to ensure the 
integrity of the system. FRA's Associate Administrator for Safety may 
prohibit or revoke a railroad's ability to utilize an automated tracking 
system in lieu of tagging if FRA finds that the automated tracking 
system is not properly secure, is inaccessible to FRA or a railroad's 
employees, or fails to adequately track or monitor the movement of 
defective equipment. Such a determination will be made in writing and 
will state the basis for such action.
    (6) After a qualified maintenance person or a qualified person 
verifies that the defective equipment is safe to remain in service as 
required in paragraphs (c)(1) and (c)(2) of this section, the defective 
equipment that develops a condition not in compliance with this part 
while en route may continue in passenger service not later than the next 
calendar day mechanical inspection, if the requirements of this 
paragraph are otherwise fully met.
    (d) Inspection of roller bearings on equipment involved in a 
derailment.
    (1) A railroad shall not continue passenger equipment in service 
that has a roller bearing whose truck was involved in a derailment 
unless the bearing has been inspected and tested by:
    (i) Visual examination to determine whether it shows any sign of 
damage; and
    (ii) Spinning freely its wheel set or manually rotating the bearing 
to determine whether the bearing makes any unusual noise.
    (2) The roller bearing shall be disassembled from the axle and 
inspected internally if:
    (i) It shows any external sign of damage;
    (ii) It makes any unusual noise when its wheel set is spun freely or 
the bearing is manually rotated;
    (iii) Its truck was involved in a derailment at a speed of more than 
10 miles per hour; or
    (iv) Its truck was dragged on the ground for more than 200 feet.
    (e) Special requisites for movement of passenger equipment with 
safety appliance defects. Consistent with 49 U.S.C. 20303, passenger 
equipment with a safety appliance not in compliance with this part or 
with part 231 of this chapter, if applicable, may be moved--
    (1) If necessary to effect repair of the safety appliance;
    (2) From the point where the safety appliance defect was first 
discovered by the railroad to the nearest available location on the 
railroad where the necessary repairs required to bring the passenger 
equipment into compliance can be made or, at the option of the receiving 
railroad, the equipment may be received and hauled for repair to a point 
on the receiving railroad's line that is no farther than the point on 
the delivering railroad's line where the repair of the defect could have 
been made;
    (3) If a tag placed on both sides of the passenger equipment or an 
automated tracking system contains the information required under 
paragraph (c)(4) of this section; and
    (4) After notification of the crewmember in charge of the movement 
of the defective equipment, who in turn shall inform all other 
crewmembers of the presence of the defective condition(s).
    (f) Special Notice for Repair. Nothing in this section authorizes 
the movement of equipment subject to a Special

[[Page 454]]

Notice for Repair under part 216 of this chapter unless the movement is 
made in accordance with the restrictions contained in the Special 
Notice.



Sec. 238.19  Reporting and tracking defective passenger equipment.

    (a) General. Beginning July 12, 2001 each railroad shall have in 
place a reporting and tracking system for passenger equipment with a 
defect not in conformance with this part. A railroad may request earlier 
application of these requirements upon written notification to FRA's 
Associate Administrator for Safety as provided in Sec. 238.1(c) of this 
part. The reporting and tracking system shall record the following 
information:
    (1) The identification number of the defective equipment;
    (2) The date the defect occurred;
    (3) The nature of the defect;
    (4) The determination made by a qualified person or qualified 
maintenance person on whether the equipment is safe to run;
    (5) The name of the qualified person or qualified maintenance person 
making such a determination;
    (6) Any operating restrictions placed on the equipment; and
    (7) Repairs made and the date that they were made.
    (b) Retention of records. At a minimum, each railroad shall keep the 
records described in paragraph (a) of this section for one periodic 
maintenance interval for each specific type of equipment as described in 
the railroad's inspection, testing, and maintenance plan required by 
Sec. 238.107. FRA strongly encourages railroads to keep these records 
for longer periods of time because they form the basis for future 
reliability-based decisions concerning test and maintenance intervals 
that may be developed pursuant to Sec. 238.307(b).
    (c) Availability of records. Railroads shall make defect reporting 
and tracking records available to FRA upon request.
    (d) List of power brake repair points. Railroads operating long-
distance intercity and long-distance Tier II passenger equipment shall 
designate locations, in writing, where repairs to passenger equipment 
with a power brake defect will be made and shall provide the list to 
FRA's Associate Administrator for Safety and make it available to FRA 
for inspection and copying upon request. Railroads operating these 
trains shall designate a sufficient number of repair locations to ensure 
the safe and timely repair of passenger equipment. These designations 
shall not be changed without at least 30 days' advance written notice to 
FRA's Associate Administrator for Safety.



Sec. 238.21  Special approval procedure.

    (a) General. The following procedures govern consideration and 
action upon requests for special approval of alternative standards under 
Secs. 238.103, 238.223, 238.309, 238.311, 238.405, or 238.427; for 
approval of alternative compliance under Sec. 238.201; and for special 
approval of pre-revenue service acceptance testing plans as required by 
Sec. 238.111. (Requests for approval of programs for the inspection, 
testing, and maintenance of Tier II passenger equipment are governed by 
Sec. 238.505.)
    (b) Petitions for special approval of alternative standard. Each 
petition for special approval of an alternative standard shall contain--
    (1) The name, title, address, and telephone number of the primary 
person to be contacted with regard to review of the petition;
    (2) The alternative proposed, in detail, to be substituted for the 
particular requirements of this part;
    (3) Appropriate data or analysis, or both, establishing that the 
alternative will provide at least an equivalent level of safety; and
    (4) A statement affirming that the railroad has served a copy of the 
petition on designated representatives of its employees, together with a 
list of the names and addresses of the persons served.
    (c) Petitions for special approval of alternative compliance. Each 
petition for special approval of alternative compliance shall contain--
    (1) The name, title, address, and telephone number of the primary 
person to be contacted with regard to the petition;
    (2) The elements prescribed in Sec. 238.201(b); and

[[Page 455]]

    (3) A statement affirming that the railroad has served a copy of the 
petition on designated representatives of its employees, together with a 
list of the names and addresses of the persons served.
    (d) Petitions for special approval of pre-revenue service acceptance 
testing plan.
    (1) Each petition for special approval of a pre-revenue service 
acceptance testing plan shall contain--
    (i) The name, title, address, and telephone number of the primary 
person to be contacted with regard to review of the petition; and
    (ii) The elements prescribed in Sec. 238.111.
    (2) Three copies of each petition for special approval of the pre-
revenue service acceptance testing plan shall be submitted to the 
Associate Administrator for Safety, Federal Railroad Administration, 
1120 Vermont Ave., N.W., Mail Stop 25, Washington, D.C. 20590.
    (e) Federal Register notice. FRA will publish a notice in the 
Federal Register concerning each petition under paragraphs (b) and (c) 
of this section.
    (f) Comment. Not later than 30 days from the date of publication of 
the notice in the Federal Register concerning a petition under 
paragraphs (b) or (c) of this section, any person may comment on the 
petition.
    (1) Each comment shall set forth specifically the basis upon which 
it is made, and contain a concise statement of the interest of the 
commenter in the proceeding.
    (2) Three copies of each comment shall be submitted to the Associate 
Administrator for Safety, Federal Railroad Administration, 1120 Vermont 
Ave., Mail Stop 25, Washington, DC 20590.
    (3) The commenter shall certify that a copy of the comment was 
served on each petitioner.
    (g) Disposition of petitions.
    (1) FRA will conduct a hearing on a petition in accordance with the 
procedures provided in Sec. 211.25 of this chapter.
    (2) If FRA finds that the petition complies with the requirements of 
this section or that the proposed plan is acceptable or changes are 
justified, or both, the petition will be granted, normally within 90 
days of its receipt. If the petition is neither granted nor denied 
within 90 days, the petition remains pending for decision. FRA may 
attach special conditions to the approval of the petition. Following the 
approval of a petition, FRA may reopen consideration of the petition for 
cause stated.
    (3) If FRA finds that the petition does not comply with the 
requirements of this section, or that the proposed plan is not 
acceptable or that the proposed changes are not justified, or both, the 
petition will be denied, normally within 90 days of its receipt.
    (4) When FRA grants or denies a petition, or reopens consideration 
of the petition, written notice is sent to the petitioner and other 
interested parties.



Sec. 238.23  Information collection.

    (a) The information collection requirements of this part were 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et. seq.) and are 
assigned OMB control number 2130-0544.
    (b) The information collection requirements are found in the 
following sections: Secs. 238.1, 238.7, 238.11, 238.15, 238.17, 238.19, 
238.21, 238.103, 238.105, 238.107, 238.109, 238.111, 238.201, 238.203, 
238.211, 238.223, 238.231, 238.237, 238.301, 238.303, 238.305, 238.307, 
238.309, 238.311, 238.313, 238.315, 238.317, 238.403, 238.405, 238.421, 
238.423, 238.427, 238.431, 238.437, 238.441, 238.445, 238.447, 238.503, 
238.505, and 238.603.



           Subpart B--Safety Planning and General Requirements



Sec. 238.101  Scope.

    This subpart contains safety planning and general safety 
requirements for all railroad passenger equipment subject to this part.



Sec. 238.103  Fire safety.

    (a) Materials. (1) Materials used in constructing a passenger car or 
a cab of a locomotive ordered on or after September 8, 2000, or placed 
in service for the first time on or after September 9, 2002, shall meet 
the test performance criteria for flammability and smoke emission 
characteristics as specified in

[[Page 456]]

Appendix B to this part, or alternative standards issued or recognized 
by an expert consensus organization after special approval of FRA under 
Sec. 238.21.
    (2) On or after November 8, 1999, materials introduced in a 
passenger car or a locomotive cab, as part of any kind of rebuild, 
refurbishment, or overhaul of the car or cab, shall meet the test 
performance criteria for flammability and smoke emission characteristics 
as specified in Appendix B to this part, or alternative standards issued 
or recognized by an expert consensus organization after special approval 
of FRA under Sec. 238.21.
    (b) Certification. A railroad shall require certification that a 
representative sample of combustible materials to be--
    (1) Used in constructing a passenger car or a locomotive cab, or
    (2) Introduced in a passenger car or a locomotive cab, as part of 
any kind of rebuild, refurbishment, or overhaul of the car or cab, has 
been tested by a recognized independent testing laboratory and that the 
results show the representative sample complies with the requirements of 
paragraph (a) of this section at the time it was tested.
    (c) Fire safety analysis for procuring new passenger equipment. In 
procuring new passenger equipment, each railroad shall ensure that fire 
safety considerations and features in the design of the equipment reduce 
the risk of personal injury and equipment damage caused by fire to an 
acceptable level using MIL-STD-882C as a guide or an alternative, formal 
safety methodology. To this end, each railroad shall complete a written 
fire safety analysis for the passenger equipment being procured. In 
conducting the analysis, the railroad shall--
    (1) Take effective steps to design the equipment to be sufficiently 
fire resistant so that fire detection devices permit evacuation of all 
passengers and crewmembers before fire, smoke, or toxic fumes cause 
injury to any passenger or crewmember.
    (2) Identify, analyze, and prioritize the fire hazards inherent in 
the design of the equipment.
    (3) Reasonably ensure that a ventilation system in the equipment 
does not contribute to the lethality of a fire.
    (4) Identify in writing any train component that is a risk of 
initiating fire and which requires overheat protection. An overheat 
detector shall be installed in any component when the analysis 
determines that an overheat detector is necessary.
    (5) Identify in writing any unoccupied train compartment that 
contains equipment or material that poses a fire hazard, and analyze the 
benefit provided by including a fire or smoke detection system in each 
compartment so identified. A fire or smoke detector shall be installed 
in any unoccupied compartment when the analysis determines that such 
equipment is necessary to ensure sufficient time for the safe evacuation 
of passengers and crewmembers from the train. For purposes of this 
section, an unoccupied train compartment means any part of the equipment 
structure that is not normally occupied during operation of the train, 
including a closet, baggage compartment, food pantry, etc.
    (6) Determine whether any occupied or unoccupied space requires a 
portable fire extinguisher and, if so, the proper type and size of the 
fire extinguisher for each location. As required by Sec. 239.101 of this 
chapter, each passenger car is required to have a minimum of one 
portable fire extinguisher. If the analysis performed indicates that one 
or more additional portable fire extinguishers are needed, such shall be 
installed.
    (7) On a case-by-case basis, the railroad shall analyze the benefit 
provided by including a fixed, automatic fire-suppression system in any 
unoccupied train compartment that contains equipment or material that 
poses a fire hazard, and determine the proper type and size of the 
automatic fire-suppression system for each location. A fixed, automatic 
fire suppression system shall be installed in any unoccupied compartment 
when the analysis determines that such equipment is practical and 
necessary to ensure sufficient time for the safe evacuation of 
passengers and crewmembers from the train.
    (8) Describe the analysis and testing necessary to--
    (i) Demonstrate that the fire protection approach taken in the 
design of

[[Page 457]]

the equipment will meet the fire protection requirements of this part, 
and
    (ii) Select materials which help provide sufficient fire resistance 
to reasonably ensure adequate time to detect a fire and safely evacuate 
the passengers and crewmembers.
    (9) Explain how safety issues are resolved in relation to cost and 
performance issues in the design of the equipment to reduce the risk of 
each fire hazard.
    (d) Fire safety analysis for existing passenger equipment. (1) Not 
later than July 10, 2000, each passenger railroad shall complete a 
preliminary fire safety analysis for each category of existing rail 
equipment and current rail service.
    (2) Not later than July 10, 2001, each such railroad shall--
    (i) Complete a final fire safety analysis for any category of 
existing passenger equipment and service evaluated during the 
preliminary fire safety analysis as likely presenting an unacceptable 
risk of personal injury. In conducting the analysis, the railroad shall 
consider the extent to which materials comply with the test performance 
criteria for flammability and smoke emission characteristics as 
specified in Appendix B to this part or alternative standards approved 
by FRA under this part.
    (ii) Take remedial action to reduce the risk of personal injuries to 
an acceptable level in any such category, if the railroad finds the risk 
to be unacceptable. In considering remedial action, a railroad is not 
required to replace material found not to comply with the test 
performance criteria for flammability and smoke emission characteristics 
required by this part, if:
    (A) The risk of personal injuries from the material is negligible 
based on the railroad's operating environment and the material's size, 
or location, or both; or
    (B) The railroad takes alternative action which reduces the risk of 
personal injuries to an acceptable level.
    (3) Not later than July 10, 2003, each such railroad shall--
    (i) Complete a fire safety analysis for all categories of equipment 
and service. In completing this analysis, the railroad shall, as far as 
practicable, determine the extent to which remaining materials comply 
with the test performance criteria for flammability and smoke emission 
characteristics as specified in Appendix B to this part or alternative 
standards approved by FRA under this part.
    (ii) Take remedial action to reduce the risk of personal injuries to 
an acceptable level in any such category, if the railroad finds the risk 
to be unacceptable. In considering remedial action, a railroad is not 
required to replace material found not to comply with the test 
performance criteria for flammability and smoke emission characteristics 
required by this part, if:
    (A) The risk of personal injuries from the material is negligible 
based on the railroad's operating environment and the material's size, 
or location, or both; or
    (B) The railroad takes alternative action which reduces the risk of 
personal injuries to an acceptable level.
    (4) Where possible prior to transferring existing equipment to a new 
category of service, but in no case more than 90 days following such a 
transfer, the passenger railroad shall complete a new fire safety 
analysis taking into consideration the change in railroad operations and 
shall effect prompt action to reduce any identified risk to an 
acceptable level.
    (5) As used in this paragraph, ``category of rail equipment and 
current rail service'' shall be determined by the railroad based on 
relevant fire safety risks, including available ignition sources, 
presence or absence of heat/smoke detection systems, known variations 
from the required material test performance criteria or alternative 
standards approved by FRA, and availability of rapid and safe egress to 
the exterior of the vehicle under conditions secure from fire, smoke, 
and other hazards.
    (e) Inspection, testing, and maintenance. Each railroad shall 
develop and adopt written procedures for the inspection, testing, and 
maintenance of all fire safety systems and fire safety equipment on the 
passenger equipment it operates. The railroad shall comply

[[Page 458]]

with those procedures that it designates as mandatory for the safety of 
the equipment and its occupants.



Sec. 238.105  Train hardware and software safety.

    These requirements of this section apply to hardware and software 
used to control or monitor safety functions in passenger equipment 
ordered on or after September 8, 2000, and such components implemented 
or materially modified in new or existing passenger equipment on or 
after September 9, 2002.
    (a) The railroad shall develop and maintain a written hardware and 
software safety program to guide the design, development, testing, 
integration, and verification of computer software and hardware that 
controls or monitors equipment safety functions.
    (b) The hardware and software safety program shall be based on a 
formal safety methodology that includes a Failure Modes, Effects, 
Criticality Analysis (FMECA); verification and validation testing for 
all hardware and software components and their interfaces; and 
comprehensive hardware and software integration testing to ensure that 
the software functions as intended.
    (c) Under the hardware and software safety program, software that 
controls or monitors safety functions shall be considered safety-
critical unless a completely redundant, failsafe, non-software means 
ensuring the same function is provided. The hardware and software safety 
program shall include a description of how the following will be 
accomplished, achieved, carried out, or implemented to ensure software 
safety and reliability:
    (1) The software design process;
    (2) The software design documentation;
    (3) The software hazard analysis;
    (4) Software safety reviews;
    (5) Software hazard monitoring and tracking;
    (6) Hardware and software integration safety tests; and
    (7) Demonstration of overall software safety as part of the pre-
revenue service tests of equipment.
    (d) Hardware and software that controls or monitors passenger 
equipment safety functions shall include design feature(s) that result 
in a safe condition in the event of a computer hardware or software 
failure.
    (e) The railroad shall comply with the elements of its hardware and 
software safety program that affect the safety of the passenger 
equipment.



Sec. 238.107  Inspection, testing, and maintenance plan.

    (a) General. Beginning July 12, 2001 the following provisions of 
this section apply to railroads operating Tier I passenger equipment 
covered by this part. A railroad may request earlier application of 
these requirements upon written notification to FRA's Associate 
Administrator for Safety as provided in Sec. 238.1(c).
    (b) Each railroad shall develop, and provide to FRA upon request, a 
detailed inspection, testing, and maintenance plan consistent with the 
requirements of this part. This plan shall include a detailed 
description of the following:
    (1) Inspection procedures, intervals, and criteria;
    (2) Test procedures and intervals;
    (3) Scheduled preventive maintenance intervals;
    (4) Maintenance procedures; and
    (5) Special testing equipment or measuring devices required to 
perform inspections and tests.
    (c) The inspection, testing, and maintenance plan required by this 
section is not intended to address and should not include procedures to 
address employee working conditions that arise in the course of 
conducting the inspections, tests, and maintenance set forth in the 
plan. When requesting a copy of the railroad's plan, FRA does not intend 
to review any portion of the plan that relates to employee working 
conditions.
    (d) The inspection, testing, and maintenance plan required by this 
section shall be reviewed by the railroad annually.



Sec. 238.109  Training, qualification, and designation program.

    (a) Beginning July 12, 2001 each railroad shall have adopted a 
training, qualification, and designation program for employees and 
contractors that perform safety-related inspections,

[[Page 459]]

tests, or maintenance of passenger equipment, and trained such employees 
and contractors in accordance with the program. A railroad may request 
earlier application of these requirements upon written notification to 
FRA's Associate Administrator for Safety as provided in Sec. 238.1(c). 
For purposes of this section, a ``contractor'' is defined as a person 
under contract with the railroad or an employee of a person under 
contract with the railroad to perform any of the tasks required by this 
part.
    (b) As part of this program, the railroad shall, at a minimum:
    (1) Identify the tasks related to the inspection, testing, and 
maintenance that must be performed on each type of equipment that the 
railroad operates;
    (2) Develop written procedures for the performance of the tasks 
identified;
    (3) Identify the skills and knowledge necessary to perform each 
task;
    (4) Develop or incorporate a training curriculum that includes 
classroom and ``hands-on'' lessons designed to impart the skills and 
knowledge identified as necessary to perform each task. The developed or 
incorporated training curriculum shall specifically address the Federal 
regulatory requirements contained in this part that are related to the 
performance of the tasks identified;
    (5) Require all employees and contractors to successfully complete 
the training course that covers the equipment and tasks for which they 
are responsible as well as the specific Federal regulatory requirements 
contained in this part related to equipment and tasks for which they are 
responsible;
    (6) Require all employees and contractors to pass a written 
examination covering the equipment and tasks for which they are 
responsible as well as the specific Federal regulatory requirements 
contained in this part related to equipment and tasks for which they are 
responsible;
    (7) Require all employees and contractors to individually 
demonstrate ``hands-on'' capability to successfully perform the tasks 
required to be performed as part of their duties on the type equipment 
to which they are assigned;
    (8) Require supervisors to complete the program that covers the 
employees whom they supervise, including refresher training;
    (9) Require supervisors to exercise oversight to ensure that all the 
identified tasks are performed in accordance with the railroad's written 
procedures;
    (10) Designate in writing that each employee and contractor has the 
knowledge and skills necessary to perform the safety-related tasks that 
are part of his or her job;
    (11) Require periodic refresher training at an interval not to 
exceed three years that includes classroom and ``hands-on'' training, as 
well as testing;
    (12) Add new equipment to the qualification and designation program 
prior to its introduction to revenue service; and
    (13) Maintain records adequate to demonstrate that each employee and 
contractor performing safety-related tasks on passenger equipment is 
currently qualified to do so. These records shall be adequate to 
distinguish the qualifications of the employee or contractor as a 
qualified person or as a qualified maintenance person.



Sec. 238.111  Pre-revenue service acceptance testing plan.

    (a) Passenger equipment that has previously been used in revenue 
service in the United States. For passenger equipment that has 
previously been used in revenue service in the United States, each 
railroad shall test the equipment on its system prior to placing such 
equipment in revenue service for the first time on its railroad to 
ensure the compatibility of the equipment with the railroad's operating 
system (including the track, and signal system). A description of such 
testing shall be retained by the railroad and made available to FRA for 
inspection and copying upon request. For purposes of this paragraph, 
passenger equipment that has previously been used in revenue service in 
the United States means:
    (1) The actual equipment used in such service;
    (2) Equipment manufactured identically to that actual equipment; and
    (3) Equipment manufactured similarly to that actual equipment with 
no

[[Page 460]]

material differences in safety-critical components or systems.
    (b) Passenger equipment that has not been used in revenue service in 
the United States. Before using passenger equipment for the first time 
on its system that has not been used in revenue service in the United 
States, each railroad shall:
    (1) Prepare a pre-revenue service acceptance testing plan for the 
equipment which contains the following elements:
    (i) An identification of any waivers of FRA or other Federal safety 
regulations required for the testing or for revenue service operation of 
the equipment;
    (ii) A clear statement of the test objectives. One of the principal 
test objectives shall be to demonstrate that the equipment meets the 
safety requirements specified in this part when operated in the 
environment in which it is to be used;
    (iii) A planned schedule for conducting the testing;
    (iv) A description of the railroad property or facilities to be used 
to conduct the testing;
    (v) A detailed description of how the testing is to be conducted, 
including a description of the criteria to be used to evaluate the 
equipment's performance;
    (vi) A description of how the test results are to be recorded;
    (vii) A description of any special instrumentation to be used during 
the tests;
    (viii) A description of the information or data to be obtained;
    (ix) A description of how the information or data obtained is to be 
analyzed or used;
    (x) A description of any criteria to be used as safety limits during 
the testing;
    (xi) A description of the criteria to be used to measure or 
determine the success or failure of the tests. If acceptance is to be 
based on extrapolation of less than full-level testing results, the 
analysis to be done to justify the validity of the extrapolation shall 
be described;
    (xii) Quality control procedures to ensure that the inspection, 
testing, and maintenance procedures are followed;
    (xiii) Criteria to be used for the revenue service operation of the 
equipment; and
    (xiv) A description of any testing of the equipment that has 
previously been performed.
    (2) Submit a copy of the plan to FRA at least 30 days prior to 
testing the equipment and include with that submission notification of 
the times and places of the pre-revenue service tests to permit FRA 
observation of such tests. For Tier II passenger equipment, the railroad 
shall obtain FRA approval of the plan under the procedures specified in 
Sec. 238.21.
    (3) Comply with the plan, including fully executing the tests 
required by the plan.
    (4) Document in writing the results of the tests. For Tier II 
passenger equipment, the railroad shall report the results of the tests 
to the FRA Associate Administrator for Safety at least 90 days prior to 
its intended operation of the equipment in revenue service.
    (5) Correct any safety deficiencies identified in the design of the 
equipment or in the inspection, testing, and maintenance procedures, 
uncovered during the testing. If safety deficiencies cannot be corrected 
by design changes, the railroad shall impose operational limitations on 
the revenue service operation of the equipment that are designed to 
ensure that the equipment can operate safely. For Tier II passenger 
equipment, the railroad shall comply with any operational limitations 
imposed by the FRA Associate Administrator for Safety on the revenue 
service operation of the equipment for cause stated following FRA review 
of the results of the test program. This section does not restrict a 
railroad from petitioning FRA for a waiver of a safety regulation under 
the procedures specified in part 211 of this chapter.
    (6) Make the plan and documentation kept pursuant to that plan 
available for inspection and copying by FRA upon request.
    (7) For Tier II passenger equipment, obtain approval from the FRA 
Associate Administrator for Safety prior to placing the equipment in 
revenue service. The Associate Administrator

[[Page 461]]

grants such approval upon a showing of the railroad's compliance with 
the applicable requirements of this part.
    (c) If a railroad plans a major upgrade or introduction of new 
technology on Tier II passenger equipment that has been used in revenue 
service in the United States and that affects a safety system on such 
equipment, the railroad shall follow the procedures specified in 
paragraph (b) of this section prior to placing the equipment in revenue 
service with such a major upgrade or introduction of new technology.



Sec. 238.113  Emergency window exits.

    (a) The following requirements apply on or after Novermber 8, 1999--
    (1) Each passenger car shall have a minimum of four emergency window 
exits, either in a staggered configuration where practical or with one 
exit located in each end of each side of the passenger car. If the 
passenger car has multiple levels, each main level shall have a minimum 
of four emergency window exits, either in a staggered configuration 
where practical or with one exit located in each end of each side on 
each level.
    (2) Each sleeping car, and any similarly designed car having a 
number of separate compartments intended to be occupied by passengers or 
train crewmembers, shall have at least one emergency window exit in each 
compartment.
    (3) Each emergency window exit shall be designed to permit rapid and 
easy removal during an emergency situation without requiring the use of 
a tool or other implement.
    (b) Each emergency window exit in a passenger car, including a 
sleeper car, ordered on or after September 8, 2000, or placed in service 
for the first time on or after September 9, 2002, shall have a minimum 
unobstructed opening with dimensions of 26 inches horizontally by 24 
inches vertically.
    (c) Marking and instructions. [Reserved]



Sec. 238.115  Emergency lighting.

    (a) This section applies to each passenger car ordered on or after 
September 8, 2000, or placed in service for the first time on or after 
September 9, 2002. This section applies to each level of a multi-level 
passenger car.
    (b) Emergency lighting shall be provided in each passenger car and 
shall include the following:
    (1) A minimum, average illumination level of 1 foot-candle measured 
at floor level adjacent to each exterior door and each interior door 
providing access to an exterior door (such as a door opening into a 
vestibule);
    (2) A minimum, average illumination level of 1 foot-candle measured 
25 inches above floor level along the center of each aisle and 
passageway;
    (3) A minimum illumination level of 0.1 foot-candle measured 25 
inches above floor level at any point along the center of each aisle and 
passageway; and
    (4) A back-up power system capable of:
    (i) Operating in all equipment orientations within 45 degrees of 
vertical;
    (ii) Operating after the initial shock of a collision or derailment 
resulting in the following individually applied accelerations:
    (A) Longitudinal: 8g;
    (B) Lateral: 4g; and
    (C) Vertical: 4g; and
    (iii) Operating all emergency lighting for a period of at least 90 
minutes without a loss of more than 40% of the minimum illumination 
levels specified in this paragraph (b).



Sec. 238.117  Protection against personal injury.

    On or after November 8, 1999, all moving parts, high voltage 
equipment, electrical conductors and switches, and pipes carrying hot 
fluids or gases on all passenger equipment shall be appropriately 
equipped with interlocks or guards to minimize the risk of personal 
injury. This section does not apply to the interior of a private car.



Sec. 238.119  Rim-stamped straight-plate wheels.

    (a)(1) Except as provided in paragraph (a)(2) of this section, on or 
after November 8, 1999, no railroad shall place or continue in service 
any vehicle, other than a private car, that is equipped with a rim-
stamped straight-plate wheel if a brake shoe acts on the

[[Page 462]]

tread of the wheel for the purpose of slowing the vehicle.
    (2) A commuter railroad may continue in service a vehicle equipped 
with a Class A, rim-stamped straight-plate wheel mounted on an inboard-
bearing axle until the railroad exhausts its replacement stock of wheels 
held as of May 12, 1999, provided the railroad does not modify the 
operation of the vehicle in any way that would result in increased 
thermal input to the wheel during braking.
    (b) A rim-stamped straight-plate wheel shall not be used as a 
replacement wheel on a private car that operates in a passenger train if 
a brake shoe acts on the tread of the wheel for the purpose of slowing 
the car.
    (c) The requirements of this section do not apply to a wheel that is 
periodically tread-braked for a short duration by automatic circuitry 
for the sole purpose of cleaning the wheel tread surface.



     Subpart C--Specific Requirements for Tier I Passenger Equipment



Sec. 238.201  Scope/alternative compliance.

    (a) Scope. (1) This subpart contains requirements for railroad 
passenger equipment operating at speeds not exceeding 125 miles per 
hour. As stated in Sec. 238.229, all such passenger equipment remains 
subject to the safety appliance requirements contained in Federal 
statute at 49 U.S.C. chapter 203 and in FRA regulations at part 231 and 
Sec. 232.2 of this chapter. Unless otherwise specified, these 
requirements only apply to passenger equipment ordered on or after 
September 8, 2000 or placed in service for the first time on or after 
September 9, 2002.
    (2) The structural standards of this subpart (Sec. 238.203B-static 
end strength; Sec. 238.205--anti-climbing mechanism; Sec. 238.207--link 
between coupling mechanism and car body; Sec. 238.209--forward-facing 
end structure of locomotives; Sec. 238.211--collision posts; 
Sec. 238.213--corner posts; Sec. 238.215--rollover strength; 
Sec. 238.217--side structure; Sec. 238.219--truck-to-car-body 
attachment; and Sec. 238.223--locomotive fuel tanks) do not apply to 
passenger equipment if used exclusively on a rail line:
    (i) With no public highway-rail grade crossings;
    (ii) On which no freight operations occur at any time;
    (iii) On which only passenger equipment of compatible design is 
utilized; and
    (iv) On which trains operate at speeds not exceeding 79 mph.
    (b) Alternative compliance. Passenger equipment of special design 
shall be deemed to comply with this subpart, other than Sec. 238.203, 
for the service environment in which the petitioner proposes to operate 
the equipment if the FRA Associate Administrator for Safety determines 
under paragraph (c) of this section that the equipment provides at least 
an equivalent level of safety in such environment with respect to the 
protection of its occupants from serious injury in the case of a 
derailment or collision. In making a determination under paragraph (c) 
the Associate Administrator shall consider, as a whole, all of those 
elements of casualty prevention or mitigation relevant to the integrity 
of the equipment that are addressed by the requirements of this subpart.
    (c)(1) The Associate Administrator may only make a finding of 
equivalent safety and compliance with this subpart, other than 
Sec. 238.203, based upon a submission of data and analysis sufficient to 
support that determination. The petition shall include:
    (i) The information required by Sec. 238.21(c);
    (ii) Information, including detailed drawings and materials 
specifications, sufficient to describe the actual construction of the 
equipment of special design;
    (iii) Engineering analysis sufficient to describe the likely 
performance of the equipment in derailment and collision scenarios 
pertinent to the safety requirements for which compliance is required 
and for which the equipment does not conform to the specific 
requirements of this subpart; and
    (iv) A quantitative risk assessment, incorporating the design 
information and engineering analysis described in this paragraph, 
demonstrating that the equipment, as utilized in the service environment 
for which recognition is sought, presents no greater hazard of

[[Page 463]]

serious personal injury than equipment that conforms to the specific 
requirements of this subpart.
    (2) Any petition made under this paragraph is subject to the 
procedures set forth in Sec. 238.21, and will be disposed of in 
accordance with Sec. 238.21(g).



Sec. 238.203  Static end strength.

    (a)(1) Except as further specified in this paragraph or in paragraph 
(d), on or after November 8, 1999 all passenger equipment shall resist a 
minimum static end load of 800,000 pounds applied on the line of draft 
without permanent deformation of the body structure.
    (2) For a passenger car or a locomotive, the static end strength of 
unoccupied volumes may be less than 800,000 pounds if:
    (i) Energy absorbing structures are used as part of a crash energy 
management design of the passenger car or locomotive, and
    (ii) The passenger car or locomotive resists a minimum static end 
load of 800,000 pounds applied on the line of draft at the ends of its 
occupied volume without permanent deformation of the body structure.
    (3) For a locomotive placed in service prior to November 8, 1999, as 
an alternative to resisting a minimum static end load of 800,000 pounds 
applied on the line of draft without permanent deformation of the body 
structure, the locomotive shall resist a horizontal load of 1,000,000 
pounds applied along the longitudinal center line of the locomotive at a 
point on the buffer beam construction 12 inches above the center line of 
draft without permanent deformation of the body structure. The 
application of this load shall not be distributed over an area greater 
than 6 inches by 24 inches. The alternative specified in this paragraph 
is not applicable to a cab car or an MU locomotive.
    (4) The requirements of this paragraph do not apply to:
    (i) A private car; or
    (ii) Unoccupied passenger equipment operating at the rear of a 
passenger train.
    (b) Passenger equipment placed in service before November 8, 1999 is 
presumed to comply with the requirements of paragraph (a)(1) of this 
section, unless the railroad operating the equipment has knowledge, or 
FRA makes a showing, that such passenger equipment was not built to the 
requirements specified in paragraph (a)(1).
    (c) When overloaded in compression, the body structure of passenger 
equipment shall be designed, to the maximum extent possible, to fail by 
buckling or crushing, or both, of structural members rather than by 
fracture of structural members or failure of structural connections.
    (d) Grandfathering of non-compliant equipment for use on a specified 
rail line or lines.
    (1) Grandfathering approval is equipment and line specific. 
Grandfathering approval of non-compliant equipment under this paragraph 
is limited to usage of the equipment on a particular rail line or lines. 
Before grandfathered equipment can be used on another rail line, a 
railroad must file and secure approval of a grandfathering petition 
under paragraph (d)(3) of this section.
    (2) Temporary usage of non-compliant equipment. Any passenger 
equipment placed in service on a rail line or lines before November 8, 
1999 that does not comply with the requirements of paragraph (a)(1) may 
continue to be operated on that particular line or (those particular 
lines) if the operator of the equipment files a petition seeking 
grandfathering approval under paragraph (d)(3) before November 8, 1999. 
Such usage may continue while the petition is being processed, but in no 
event later than May 8, 2000, unless the petition is approved.
    (3) Petitions for grandfathering. Petitions for grandfathering shall 
include:
    (i) The name, title, address, and telephone number of the primary 
person to be contacted with respect to the petition;
    (ii) Information, including detailed drawings and material 
specifications, sufficient to describe the actual construction of the 
equipment;
    (iii) Engineering analysis sufficient to describe the likely 
performance of the static end strength of the equipment and the likely 
performance of the equipment in derailment and collision scenarios 
pertinent to the equipment's static end strength;

[[Page 464]]

    (iv) A description of risk mitigation measures that will be employed 
in connection with the usage of the equipment on a specified rail line 
or lines to decrease the likelihood of accidents involving the use of 
the equipment; and
    (v) A quantitative risk assessment, incorporating the design 
information, engineering analysis, and risk mitigation measures 
described in this paragraph, demonstrating that the use of the 
equipment, as utilized in the service environment for which recognition 
is sought, is in the public interest and is consistent with railroad 
safety.
    (e) Service. Three copies of each petition shall be submitted to the 
Associate Administrator for Safety, Federal Railroad Administration, 
1120 Vermont Ave., Mail Stop 25, Washington, DC 20590.
    (f) Federal Register notice. FRA will publish a notice in the 
Federal Register concerning each petition under paragraph (d) of this 
section.
    (g) Comment. Not later than 30 days from the date of publication of 
the notice in the Federal Register concerning a petition under paragraph 
(d) of this section, any person may comment on the petition.
    (1) Each comment shall set forth specifically the basis upon which 
it is made, and contain a concise statement of the interest of the 
commenter in the proceeding.
    (2) Three copies of each comment shall be submitted to the Associate 
Administrator for Safety, Federal Railroad Administration, 1120 Vermont 
Ave., Mail Stop 25, Washington, DC 20590.
    (3) The commenter shall certify that a copy of the comment was 
served on each petitioner.
    (h) Disposition of petitions.
    (1) FRA will conduct a hearing on a petition in accordance with the 
procedures provided in Sec. 211.25 of this chapter.
    (2) If FRA finds that the petition complies with the requirements of 
this section and that the proposed usage is in the public interest and 
consistent with railroad safety, the petition will be granted, normally 
within 90 days of its receipt. If the petition is neither granted nor 
denied within 90 days, the petition remains pending for decision. FRA 
may attach special conditions to the approval of the petition. Following 
the approval of a petition, FRA may reopen consideration of the petition 
for cause stated.
    (3) If FRA finds that the petition does not comply with the 
requirements of this section or that the proposed usage is not in the 
public interest and consistent with railroad safety, the petition will 
be denied, normally within 90 days of its receipt.
    (4) When FRA grants or denies a petition, or reopens consideration 
of the petition, written notice is sent to the petitioner and other 
interested parties.



Sec. 238.205  Anti-climbing mechanism.

    (a) Except as provided in paragraph (b) of this section, all 
passenger equipment placed in service for the first time on or after 
September 8, 2000 shall have at both the forward and rear ends an anti-
climbing mechanism capable of resisting an upward or downward vertical 
force of 100,000 pounds without failure. When coupled together in any 
combination to join two vehicles, AAR Type H and Type F tight-lock 
couplers satisfy this requirement.
    (b) Each locomotive ordered on or after September 8, 2000, or placed 
in service for the first time on or after September 9, 2002, shall have 
an anti-climbing mechanism at its forward end capable of resisting an 
upward or downward vertical force of 200,000 pounds without failure, in 
lieu of the forward end anti-climbing mechanism requirements described 
in paragraph (a) of this section.



Sec. 238.207  Link between coupling mechanism and car body.

    All passenger equipment placed in service for the first time on or 
after September 8, 2000 shall have a coupler carrier at each end 
designed to resist a vertical downward thrust from the coupler shank of 
100,000 pounds for any normal horizontal position of the coupler, 
without permanent deformation. For passenger equipment that is connected 
by articulated joints that comply with the requirements of 
Sec. 238.205(a), such passenger equipment also complies with the 
requirements of this section.

[[Page 465]]



Sec. 238.209  Forward-facing end structure of locomotives.

    The skin covering the forward-facing end of each locomotive shall 
be:
    (a) Equivalent to a \1/2\ inch steel plate with a 25,000 pounds-per-
square-inch yield strength--material of a higher yield strength may be 
used to decrease the required thickness of the material provided at 
least an equivalent level of strength is maintained;
    (b) Designed to inhibit the entry of fluids into the occupied cab 
area of the equipment; and
    (c) Affixed to the collision posts or other main vertical structural 
members of the forward end structure so as to add to the strength of the 
end structure.
    (d) As used in this section, the term ``skin'' does not include 
forward-facing windows and doors.



Sec. 238.211  Collision posts.

    (a) Except as further specified in this paragraph and paragraphs (b) 
and (c) of this section--
    (1) All passenger equipment placed in service for the first time on 
or after September 8, 2000 shall have either:
    (i) Two full-height collision posts, located at approximately the 
one-third points laterally. Each collision post shall have an ultimate 
longitudinal shear strength of not less than 300,000 pounds at a point 
even with the top of the underframe member to which it is attached. If 
reinforcement is used to provide the shear value, the reinforcement 
shall have full value for a distance of 18 inches up from the underframe 
connection and then taper to a point approximately 30 inches above the 
underframe connection; or
    (ii) An equivalent end structure that can withstand the sum of 
forces that each collision post in paragraph (a)(1)(i) of this section 
is required to withstand. For analysis purposes, the required forces may 
be assumed to be evenly distributed at the end structure at the 
underframe joint.
    (2) The requirements of this paragraph do not apply to unoccupied 
passenger equipment operating in a passenger train.
    (b) Each locomotive, including a cab car and an MU locomotive, 
ordered on or after September 8, 2000, or placed in service for the 
first time on or after September 9, 2002, shall have at its forward end, 
in lieu of the structural protection described in paragraph (a) of this 
section, either:
    (1) Two forward collision posts, located at approximately the one-
third points laterally, each capable of withstanding:
    (i) A 500,000-pound longitudinal force at the point even with the 
top of the underframe, without exceeding the ultimate strength of the 
joint; and
    (ii) A 200,000-pound longitudinal force exerted 30 inches above the 
joint of the post to the underframe, without exceeding the ultimate 
strength; or
    (2) An equivalent end structure that can withstand the sum of the 
forces that each collision post in paragraph (b)(1)(i) of this section 
is required to withstand.
    (c) The end structure requirements in paragraphs (a) and (b) of this 
section apply only to the ends of a semi-permanently coupled consist of 
articulated units, provided that:
    (1) The railroad submits to the FRA Associate Administrator for 
Safety under the procedures specified in Sec. 238.21 a documented 
engineering analysis establishing that the articulated connection is 
capable of preventing disengagement and telescoping to the same extent 
as equipment satisfying the anti-climbing and collision post 
requirements contained in this subpart; and
    (2) FRA finds the analysis persuasive.



Sec. 238.213  Corner posts.

    (a) Each passenger car shall have at each end of the car, placed 
ahead of the occupied volume, two full-height corner posts capable of 
resisting:
    (1) A horizontal load of 150,000 pounds at the point of attachment 
to the underframe without failure;
    (2) A horizontal load of 20,000 pounds at the point of attachment to 
the roof structure without failure; and
    (3) A horizontal load of 30,000 pounds applied 18 inches above the 
top of the floor without permanent deformation.
    (b) For purposes of this section, the orientation of the applied 
horizontal loads shall range from longitudinal inward to transverse 
inward.

[[Page 466]]



Sec. 238.215  Rollover strength.

    (a) Each passenger car shall be designed to rest on its side and be 
uniformly supported at the top (``roof rail''), the bottom cords (``side 
sill'') of the side frame, and, if bi-level, the intermediate floor 
rail. The allowable stress in the structural members of the occupied 
volumes for this condition shall be one-half yield or one-half the 
critical buckling stress, whichever is less. Local yielding to the outer 
skin of the passenger car is allowed provided that the resulting 
deformations in no way intrude upon the occupied volume of the car.
    (b) Each passenger car shall also be designed to rest on its roof so 
that any damage in occupied areas is limited to roof sheathing and 
framing. Other than roof sheathing and framing, the allowable stress in 
the structural members of the occupied volumes for this condition shall 
be one-half yield or one-half the critical buckling stress, whichever is 
less. Deformation to the roof sheathing and framing is allowed to the 
extent necessary to permit the vehicle to be supported directly on the 
top chords of the side frames and end frames.



Sec. 238.217  Side structure.

    Each passenger car shall comply with the following:
    (a) Side posts and corner braces.
    (1) For modified girder, semi-monocoque, or truss construction, the 
sum of the section moduli in inches \3\--about a longitudinal axis, 
taken at the weakest horizontal section between the side sill and side 
plate--of all posts and braces on each side of the car located between 
the body corner posts shall be not less than 0.30 multiplied by the 
distance in feet between the centers of end panels.
    (2) For modified girder or semi-monocoque construction only, the sum 
of the section moduli in inches \3\--about a transverse axis, taken at 
the weakest horizontal section between the side sill and side plate--of 
all posts, braces and pier panels, to the extent available, on each side 
of the car located between body corner posts shall be not less than 0.20 
multiplied by the distance in feet between the centers of end panels.
    (3) The center of an end panel is the point midway between the 
center of the body corner post and the center of the adjacent side post.
    (4) The minimum section moduli or thicknesses specified in paragraph 
(a) of this section may be adjusted in proportion to the ratio of the 
yield strength of the material used to that of mild open-hearth steel 
for a car whose structural members are made of a higher strength steel.
    (b) Sheathing.
    (1) Outside sheathing of mild, open-hearth steel when used flat, 
without reinforcement (other than side posts) in a side frame of 
modified girder or semi-monocoque construction shall not be less than 1/
8 inch nominal thickness. Other metals may be used of a thickness in 
inverse proportion to their yield strengths.
    (2) Outside metal sheathing of less than \1/8\ inch thickness may be 
used only if it is reinforced so as to produce at least an equivalent 
sectional area at a right angle to reinforcements as that of the flat 
sheathing specified in paragraph (b)(1) of this section.
    (3) When the sheathing used for truss construction serves no load-
carrying function, the minimum thickness of that sheathing shall be not 
less than 40 percent of that specified in paragraph (b)(1) of this 
section.



Sec. 238.219  Truck-to-car-body attachment.

    Passenger equipment shall have a truck-to-car-body attachment with 
an ultimate strength sufficient to resist without failure a force of 2g 
vertical on the mass of the truck and a force of 250,000 pounds in any 
horizontal direction on the truck. For purposes of this section, the 
mass of the truck includes axles, wheels, bearings, the truck-mounted 
brake system, suspension system components, and any other components 
attached to the truck by design.



Sec. 238.221  Glazing.

    (a) Passenger equipment shall comply with the applicable Safety 
Glazing Standards contained in part 223 of this chapter, if required by 
that part.
    (b) Each exterior window on a locomotive cab and a passenger car 
shall remain in place when subjected to:
    (1) The forces described in part 223 of this chapter; and

[[Page 467]]

    (2) The forces due to air pressure differences caused when two 
trains pass at the minimum separation for two adjacent tracks, while 
traveling in opposite directions, each train traveling at the maximum 
authorized speed.



Sec. 238.223  Locomotive fuel tanks.

    (a) External fuel tanks. External locomotive fuel tanks shall comply 
with the requirements contained in Appendix D to this part, or an 
industry standard providing at least an equivalent level of safety if 
approved by FRA under Sec. 238.21.
    (b) Internal fuel tanks.
    (1) Internal locomotive fuel tanks shall be positioned in a manner 
to reduce the likelihood of accidental penetration from roadway debris 
or collision.
    (2) Internal fuel tank vent systems shall be designed so they do not 
become a path of fuel loss in any tank orientation due to a locomotive 
overturning.
    (3) Internal fuel tank bulkheads and skin shall at a minimum be 
equivalent to a \3/8\-inch thick steel plate with a 25,000 pounds-per-
square-inch yield strength. Material of a higher yield strength may be 
used to decrease the required thickness of the material provided at 
least an equivalent level of strength is maintained. Skid plates are not 
required.



Sec. 238.225  Electrical system.

    All passenger equipment shall comply with the following:
    (a) Conductors. Conductor sizes shall be selected on the basis of 
current-carrying capacity, mechanical strength, temperature, flexibility 
requirements, and maximum allowable voltage drop. Current-carrying 
capacity shall be derated for grouping and for operating temperature.
    (b) Main battery system.
    (1) The main battery compartment shall be isolated from the cab and 
passenger seating areas by a non-combustible barrier.
    (2) Battery chargers shall be designed to protect against 
overcharging.
    (3) If batteries are of the type to potentially vent explosive 
gases, the battery compartment shall be adequately ventilated to prevent 
the accumulation of explosive concentrations of these gases.
    (c) Power dissipation resistors.
    (1) Power dissipating resistors shall be adequately ventilated to 
prevent overheating under worst-case operating conditions as determined 
by the railroad.
    (2) Power dissipation grids shall be designed and installed with 
sufficient isolation to prevent combustion.
    (3) Resistor elements shall be electrically insulated from resistor 
frames, and the frames shall be electrically insulated from the supports 
that hold them.
    (d) Electromagnetic interference and compatibility.
    (1) The operating railroad shall ensure electromagnetic 
compatibility of the safety-critical equipment systems with their 
environment. Electromagnetic compatibility may be achieved through 
equipment design or changes to the operating environment.
    (2) The electronic equipment shall not produce electrical noise that 
affects the safe performance of train line control and communications or 
wayside signaling systems.
    (3) To contain electromagnetic interference emissions, suppression 
of transients shall be at the source wherever possible.
    (4) All electronic equipment shall be self-protected from damage or 
improper operation, or both, due to high voltage transients and long-
term over-voltage or under-voltage conditions. This includes protection 
from both power frequency and harmonic effects as well as protection 
from radio frequency signals into the microwave frequency range.



Sec. 238.227  Suspension system.

    On or after November 8, 1999--
    (a) All passenger equipment shall exhibit freedom from hunting 
oscillations at all operating speeds. If hunting oscillations do occur, 
a railroad shall immediately take appropriate action to prevent 
derailment. For purposes of this paragraph, hunting oscillations shall 
be considered lateral oscillations of trucks that could lead to a 
dangerous instability.

[[Page 468]]

    (b) All passenger equipment intended for service above 110 mph shall 
demonstrate stable operation during pre-revenue service qualification 
tests at all operating speeds up to 5 mph in excess of the maximum 
intended operating speed under worst-case conditions--including 
component wear--as determined by the operating railroad.
    (c) Nothing in this section shall affect the requirements of part 
213 of this chapter as they apply to passenger equipment as provided in 
that part.



Sec. 238.229  Safety appliances.

    Except as provided in this part, all passenger equipment continues 
to be subject to the safety appliance requirements contained in Federal 
statute at 49 U.S.C. chapter 203 and in Federal regulations at part 231 
and Sec. 232.2 of this chapter.



Sec. 238.231  Brake system.

    Except as otherwise provided in this section, on or after September 
9, 1999 the following requirements apply to all passenger equipment and 
passenger trains.
    (a) A passenger train's primary brake system shall be capable of 
stopping the train with a service application from its maximum 
authorized operating speed within the signal spacing existing on the 
track over which the train is operating.
    (b) The brake system design of passenger equipment ordered on or 
after September 8, 2000 or placed in service for the first time on or 
after September 9, 2002, shall not require an inspector to place himself 
or herself on, under, or between components of the equipment to observe 
brake actuation or release.
    (c) Passenger equipment shall be provided with an emergency brake 
application feature that produces an irretrievable stop, using a brake 
rate consistent with prevailing adhesion, passenger safety, and brake 
system thermal capacity. An emergency brake application shall be 
available at any time, and shall be initiated by an unintentional 
parting of the train.
    (d) A passenger train brake system shall respond as intended to 
signals from a train brake control line or lines. Control lines shall be 
designed so that failure or breakage of a control line will cause the 
brakes to apply or will result in a default to control lines that meet 
this requirement.
    (e) Introduction of alcohol or other chemicals into the air brake 
system of passenger equipment is prohibited.
    (f) The operating railroad shall require that the design and 
operation of the brake system results in wheels that are free of 
condemnable cracks.
    (g) Disc brakes shall be designed and operated to produce a surface 
temperature no greater than the safe operating temperature recommended 
by the disc manufacturer and verified by testing or previous service.
    (h) Hand brakes and parking brakes.
    (1) Except for a locomotive that is ordered before September 8, 2000 
or placed in service for the first time before Sepbember 9, 2002, and 
except for MU locomotives, all locomotives shall be equipped with a hand 
or parking brake that can:
    (i) Be applied or activated by hand;
    (ii) Be released by hand; and
    (iii) Hold the loaded unit on the maximum grade anticipated by the 
operating railroad.
    (2) Except for a private car and locomotives addressed in paragraph 
(h)(1) of this section, all other passenger equipment, including MU 
locomotives, shall be equipped with a hand brake that meets the 
requirements for hand brakes contained in part 231 of this chapter and 
that can:
    (i) Be applied or activated by hand;
    (ii) Be released by hand; and
    (iii) Hold the loaded unit on the maximum grade anticipated by the 
operating railroad.
    (i) Passenger cars shall be equipped with a means to apply the 
emergency brake that is accessible to passengers and located in the 
vestibule or passenger compartment. The emergency brake shall be clearly 
identified and marked.
    (j) Locomotives equipped with blended brakes shall be designed so 
that:
    (1) The blending of friction and dynamic brake to obtain the correct 
retarding force is automatic;
    (2) Loss of power or failure of the dynamic brake does not result in 
exceeding the allowable stopping distance;

[[Page 469]]

    (3) The friction brake alone is adequate to safely stop the train 
under all operating conditions; and
    (4) Operation of the friction brake alone does not result in thermal 
damage to wheels or disc rotor surface temperatures exceeding the 
manufacturer's recommendation.
    (k) For new designs of braking systems, the design process shall 
include computer modeling or dynamometer simulation of train braking 
that shows compliance with paragraphs (f) and (g) of this section over 
the range of equipment operating speeds. A new simulation is required 
prior to implementing a change in operating parameters.
    (l) Locomotives ordered on or after September 8, 2000 or placed in 
service for the first time on or after September 9, 2002, shall be 
equipped with effective air coolers or dryers that provide air to the 
main reservoir with a dew point at least 10 degrees F. below ambient 
temperature.
    (m) When a passenger train is operated in either direct or graduated 
release, the railroad shall ensure that all the cars in the train 
consist are set up in the same operating mode.



Sec. 238.233  Interior fittings and surfaces.

    (a) Each seat in a passenger car shall--
    (1) Be securely fastened to the car body so as to withstand an 
individually applied acceleration of 4g acting in the lateral direction 
and 4g acting in the upward vertical direction on the deadweight of the 
seat or seats, if held in tandem; and
    (2) Have an attachment to the car body of an ultimate strength 
capable of resisting simultaneously:
    (i) The longitudinal inertial force of 8g acting on the mass of the 
seat; and
    (ii) The load associated with the impact into the seatback of an 
unrestrained 95th-percentile adult male initially seated behind the 
seat, when the floor to which the seat is attached decelerates with a 
triangular crash pulse having a peak of 8g and a duration of 250 
milliseconds.
    (b) Overhead storage racks in a passenger car shall provide 
longitudinal and lateral restraint for stowed articles. Overhead storage 
racks shall be attached to the car body with sufficient strength to 
resist loads due to the following individually applied accelerations 
acting on the mass of the luggage stowed as determined by the railroad:
    (1) Longitudinal: 8g;
    (2) Vertical: 4g; and
    (3) Lateral: 4g.
    (c) Other interior fittings within a passenger car shall be attached 
to the car body with sufficient strength to withstand the following 
individually applied accelerations acting on the mass of the fitting:
    (1) Longitudinal: 8g;
    (2) Vertical: 4g; and
    (3) Lateral: 4g.
    (d) To the extent possible, all interior fittings in a passenger 
car, except seats, shall be recessed or flush-mounted.
    (e) Sharp edges and corners in a locomotive cab and a passenger car 
shall be either avoided or padded to mitigate the consequences of an 
impact with such surfaces.
    (f) Each seat provided for a crewmember regularly assigned to occupy 
the cab of a locomotive and each floor-mounted seat in the cab shall be 
secured to the car body with an attachment having an ultimate strength 
capable of withstanding the loads due to the following individually 
applied accelerations acting on the combined mass of the seat and a 
95th-percentile adult male occupying it:
    (1) Longitudinal: 8g;
    (2) Lateral: 4g; and
    (3) Vertical: 4g.
    (g) If, for purposes of showing compliance with the requirements of 
this section, the strength of a seat attachment is to be demonstrated 
through sled testing, the seat structure and seat attachment to the sled 
that is used in such testing must be representative of the actual seat 
structure in, and seat attachment to, the rail vehicle subject to the 
requirements of this section. If the attachment strength of any other 
interior fitting is to be demonstrated through sled testing, for 
purposes of showing compliance with the requirements of this section, 
such testing shall be conducted in a similar manner.

[[Page 470]]



Sec. 238.235  Doors.

    (a) By December 31, 1999, each powered, exterior side door in a 
vestibule that is partitioned from the passenger compartment of a 
passenger car shall have a manual override device that is:
    (1) Capable of releasing the door to permit it to be opened without 
power from inside the car;
    (2) Located adjacent to the door which it controls; and
    (3) Designed and maintained so that a person may readily access and 
operate the override device from inside the car without requiring the 
use of a tool or other implement.
    (b) Each passenger car ordered on or after September 8, 2000, or 
placed in service for the first time on or after September 9, 2002 shall 
have a minimum of two exterior side doors, each door providing a minimum 
clear opening with dimensions of 30 inches horizontally by 74 inches 
vertically.

    Note: The Americans with Disabilities Act (ADA) Accessibility 
Specifications for Transportation Vehicles also contain requirements for 
doorway clearance (See 49 CFR part 38).


Each powered, exterior side door on each such passenger car shall have a 
manual override device that is:
    (1) Capable of releasing the door to permit it to be opened without 
power from both inside and outside the car;
    (2) Located adjacent to the door which it controls; and
    (3) Designed and maintained so that a person may access the override 
device from both inside and outside the car without requiring the use of 
a tool or other implement.
    (c) A railroad may protect a manual override device used to open a 
powered, exterior door with a cover or a screen capable of removal 
without requiring the use of a tool or other implement.
    (d) Marking and instructions. [Reserved]



Sec. 238.237  Automated monitoring.

    (a) Except as further specified in this paragraph, on or after 
November 8, 1999 a working alerter or deadman control shall be provided 
in the controlling locomotive of each passenger train operating in other 
than cab signal, automatic train control, or automatic train stop 
territory. If the controlling locomotive is ordered on or after 
September 8, 2000, or placed into service for the first time on or after 
September 9, 2002, a working alerter shall be provided.
    (b) Alerter or deadman control timing shall be set by the operating 
railroad taking into consideration maximum train speed and capabilities 
of the signal system. The railroad shall document the basis for setting 
alerter or deadman control timing and make this documentation available 
to FRA upon request.
    (c) If the train operator does not respond to the alerter or 
maintain proper contact with the deadman control, it shall initiate a 
penalty brake application.
    (d) The following procedures apply if the alerter or deadman control 
fails en route:
    (1)(i) A second person qualified on the signal system and brake 
application procedures shall be stationed in the locomotive cab; or
    (ii) The engineer shall be in constant communication with a second 
crewmember until the train reaches the next terminal.
    (2)(i) A tag shall be prominently displayed in the locomotive cab to 
indicate that the alerter or deadman control is defective, until such 
device is repaired; and
    (ii) When the train reaches its next terminal or the locomotive 
undergoes its next calender day inspection, whichever occurs first, the 
alerter or deadman control shall be repaired or the locomotive shall be 
removed as the controlling locomotive in the train.



Subpart D--Inspection, Testing, and Maintenance Requirements for Tier I 
                           Passenger Equipment



Sec. 238.301  Scope.

    (a) This subpart contains requirements pertaining to the inspection, 
testing, and maintenance of passenger equipment operating at speeds not 
exceeding 125 miles per hour. The requirements in this subpart address 
the inspection, testing, and maintenance of

[[Page 471]]

the brake system as well as other mechanical and electrical components 
covered by this part.
    (b) Beginning July 12, 2001 the requirements contained in this 
subpart shall apply to railroads operating Tier I passenger equipment 
covered by this part. A railroad may request earlier application of the 
requirements contained in this subpart upon written notification to 
FRA's Associate Administrator for Safety as provided in Sec. 238.1(c).
    (c) Paragraphs (b) and (c) of Sec. 238.309 shall apply beginning 
September 9, 1999.



Sec. 238.303   Exterior calendar day mechanical inspection of passenger equipment.

    (a) General.
    (1) Except as provided in paragraph (f) of this section, each 
passenger car and each unpowered vehicle used in a passenger train shall 
receive an exterior mechanical inspection at least once each calendar 
day that the equipment is placed in service.
    (2) Except as provided in paragraph (f) of this section, all 
passenger equipment shall be inspected as required in this section at 
least once each calendar day that the equipment is placed in service to 
ensure that the equipment conforms with the requirement contained in 
paragraph (e)(15) of this section.
    (3) If a passenger care is also classified as a locomotive under 
part 229 of this chapter, the passenger car shall also receive a daily 
inspection pursuant to the requirements of Sec. 229.21 of this chapter.
    (b) Each passenger car and each unpowered vehicle added to a 
passenger train shall receive an exterior calendar day mechanical 
inspection at the time it is added to the train unless documentation is 
provided to the train crew that an exterior mechanical inspection was 
performed on the car the previous calendar day.
    (c) The exterior calendar day mechanical inspection shall be 
performed by a qualified maintenance person.
    (d) The exterior calendar day mechanical inspection required by this 
section shall be conducted to the extent possible without uncoupling the 
trainset and without placing the equipment over a pit or on an elevated 
track.
    (e) As part of the exterior calendar day mechanical inspection, the 
railroad shall verify conformity with the following conditions, and 
nonconformity with any such condition renders the passenger car or 
unpowered vehicle used in a passenger train defective whenever 
discovered in service:
    (1) Products of combustion are released entirely outside the cab and 
other compartments.
    (2) Each battery container is vented and each battery is kept from 
gassing excessively.
    (3) Each coupler is in the following condition:
    (i) Sidewall or pin bearing bosses and the pulling face of the 
knuckles are not broken or cracked;
    (ii) The coupler assembly is equipped with anti-creep protection;
    (iii) The coupler carrier is not broken or cracked; and
    (iv) The yoke is not broken or cracked.
    (4) A device is provided under the lower end of all drawbar pins and 
articulated connection pins to prevent the pin from falling out of place 
in case of breakage.
    (5) The suspension system, including the spring rigging, is in the 
following condition:
    (i) Protective construction or safety hangers are provided to 
prevent spring planks, spring seats, or bolsters from dropping to the 
track structure in event of a hanger or spring failure;
    (ii) The top (long) leaf or any of the other three leaves of the 
elliptical spring is not broken, except when a spring is part of a nest 
of three or more springs and none of the other springs in the nest has 
its top leaf or any of the other three leaves broken;
    (iii) The outer coil spring or saddle is not broken;
    (iv) The equalizers, hangers, bolts, gibs, or pins are not cracked 
or broken;
    (v) The coil spring is not fully compressed when the car is at rest;
    (vi) The shock absorber is not broken or leaking oil or other fluid; 
and
    (vii) Each air bag or other pneumatic suspension system component 
inflates

[[Page 472]]

or deflates, as applicable, correctly and otherwise operates as 
intended.
    (6) Each truck is in the following condition:
    (i) Each tie bar is not loose;
    (ii) Each motor suspension lug, equalizer, hanger, gib, or pin is 
not cracked or broken; and
    (iii) The truck frame is not broken and is not cracked in a stress 
area that may affect its structural integrity.
    (7) Each side bearing is in the following condition:
    (i) Each friction side bearing with springs designed to carry weight 
does not have more than 25 percent of the springs in any one nest 
broken;
    (ii) Each friction side bearing does not run in contact unless 
designed to carry weight; and
    (iii) The maximum clearance of each side bearing does not exceed the 
manufacturer's recommendation.
    (8) Each wheel does not have any of the following conditions:
    (i) A single flat spot that is 2\1/2\ inches or more in length, or 
two adjoining spots that are each two or more inches in length;
    (ii) A gouge or chip in the flange that is more than 1\1/2\ inches 
in length and \1/2\ inch in width;
    (iii) A broken rim, if the tread, measured from the flange at a 
point \5/8\ of an inch above the tread, is less than 3\3/4\ inches in 
width;
    (iv) A shelled-out spot 2\1/2\ inches or more in length, or two 
adjoining spots that are each two or more inches in length;
    (v) A seam running lengthwise that is within 3\3/4\ inches of the 
flange;
    (vi) A flange worn to a \7/8\ inch thickness or less, gauged at a 
point \3/8\ of an inch above the tread;
    (vii) A tread worn hollow \5/16\ of an inch or more;
    (viii) A flange height of 1\1/2\ inches or more measured from the 
tread to the top of the flange;
    (ix) A rim less than 1 inch thick;
    (x) A crack or break in the flange, tread, rim, plate, or hub;
    (xi) A loose wheel; or
    (xii) A weld.
    (9) No part or appliance of a passenger coach, except the wheels, is 
less than 2\1/2\ inches above the top of the rail.
    (10) Each unguarded, noncurrent-carrying metal part subject to 
becoming charged is grounded or thoroughly insulated.
    (11) Each jumper and cable connection is in the following condition:
    (i) Each jumpers and cable connection between coaches, between 
locomotives, or between a locomotive and a coach is located and guarded 
in a manner that provides sufficient vertical clearance. Jumpers and 
cable connections may not hang with one end free;
    (ii) The insulation is not broken or badly chafed;
    (iii) No plug, receptacle, or terminal is broken; and
    (iv) No strand of wire is broken or protruding.
    (12) Each door and cover plate guarding high voltage equipment is 
marked ``Danger--High Voltage'' or with the word ``Danger'' and the 
normal voltage carried by the parts so protected.
    (13) Each buffer plate is in place.
    (14) Each diaphragm, if any, is in place and properly aligned.
    (15) Each secondary braking system is in operating mode and does not 
have any known defective condition which prevents its proper operation. 
If the dynamic brakes on a locomotive are found not to be in operating 
mode or are known to have a defective condition which prevents their 
proper operation at the time that the exterior mechanical inspection is 
performed or at any other time while the locomotive is in service, the 
following requirements shall be met in order to continue the locomotive 
in service:
    (i) MU locomotives equipped with dynamic brakes found not to be in 
operating mode or containing a defective condition which prevents the 
proper operation of the dynamic brakes shall be handled in the same 
manner as a running gear defect pursuant to Sec. 238.17.
    (ii) Conventional locomotives equipped with dynamic brakes found not 
to be in operating mode or containing a defective condition which 
prevents the proper operation of the dynamic brakes shall be handled in 
accordance with the following:
    (A) A tag bearing the words ``inoperative dynamic brakes'' shall be 
securely displayed in a conspicuous location in the cab of the 
locomotive and

[[Page 473]]

contain the locomotive number, the date and location where the condition 
was discovered, and the signature of the person discovering the 
condition;
    (B) The locomotive engineer shall be informed in writing that the 
dynamic brakes on the locomotive are inoperative at the location where 
the locomotive engineer first takes charge of the train; and
    (C) The inoperative or defective dynamic brakes shall be repaired 
within 3 calendar days of being found in defective condition or at the 
locomotive's next periodic inspection pursuant to Sec. 229.23 of this 
chapter, whichever occurs first.
    (f) Exception. A long-distance intercity passenger train that misses 
a scheduled exterior calendar day mechanical inspection due to a delay 
en route may continue in service to the location where the inspection 
was scheduled to be performed. At that point, an exterior calendar day 
mechanical inspection shall be performed prior to returning the 
equipment to service. This flexibility applies only to the exterior 
mechanical safety inspections required by this section, and does not 
relieve the railroad of the responsibility to perform a calendar day 
inspection on a unit classified as a ``locomotive'' under part 229 of 
this chapter as required by Sec. 229.21 of this chapter.
    (g) Records. A record shall be maintained of each exterior calendar 
day mechanical inspection performed.
    (1) This record may be maintained in writing or electronically 
provided FRA has access to the record upon request.
    (2) The written or electronic record must contain the following 
information:
    (i) The identification number of the unit;
    (ii) The place, date, and time of the inspection;
    (iii) Any non-complying conditions found; and
    (iv) The signature of the inspector.
    (3) This record may be part of a single master report covering an 
entire group of cars and equipment.
    (4) This record shall be maintained at the place where the 
inspection is conducted or at one central location and shall be retained 
for at least 92 days.
    (h) Cars requiring a single car test in accordance with Sec. 238.311 
that are being moved in service to a location where the single car test 
can be performed shall have the single car test completed prior to, or 
as a part of, the exterior calendar day mechanical inspection.



Sec. 238.305  Interior calendar day mechanical inspection of passenger cars.

    (a) Except as provided in paragraph (d) of this section, each 
passenger car shall receive an interior mechanical inspection at least 
once each calendar day that it is placed in service.
    (b) The interior calendar day mechanical inspection shall be 
performed by a qualified person or a qualified maintenance person.
    (c) As part of the interior calendar day mechanical inspection, the 
railroad shall verify conformity with the following conditions, and 
nonconformity with any such condition renders the car defective whenever 
discovered in service, except as provided in paragraph (c)(5) of this 
section:
    (1) All fan openings, exposed gears and pinions, exposed moving 
parts of mechanisms, pipes carrying hot gases and high-voltage 
equipment, switches, circuit breakers, contactors, relays, grid 
resistors, and fuses are installed in non-hazardous locations or 
equipped with guards to prevent personal injury.
    (2) The words ``Emergency Brake Valve'' are legibly stenciled or 
marked near each brake pipe valve or shown on an adjacent badge plate.
    (3) All doors and cover plates guarding high voltage equipment are 
marked ``Danger--High Voltage'' or with the word ``Danger'' and the 
normal voltage carried by the parts so protected.
    (4) All trap doors safely operate and securely latch in place in 
both the up and down position.
    (5) All end doors and side doors operate safely and as intended. If 
a door is defective and all of the following conditions are satisfied, 
the car may remain in passenger service until the next interior calendar 
day mechanical inspection is due at which time the appropriate repairs 
shall be made:
    (i) A qualified person or a qualified maintenance person determines 
that

[[Page 474]]

the repairs necessary to bring a door into compliance cannot be 
performed at the time the interior mechanical inspection is conducted;
    (ii) A qualified person or a qualified maintenance person determines 
that it is safe to move the equipment in passenger service;
    (iii) At least one operative and accessible door is available on 
each side of the car; and
    (iv) A notice is prominently displayed directly on the defective 
door indicating that the door is defective.
    (6) All safety-related signage is in place and legible.
    (7) All vestibule steps are illuminated.
    (8) All D rings, pull handles, or other means to access manual door 
releases are in place based on a visual inspection.
    (9) All emergency equipment, including a fire extinguisher, pry bar, 
auxiliary portable lighting, and first aid kits, as applicable, are in 
place.
    (d) A long-distance intercity passenger train that misses a 
scheduled calendar day interior mechanical inspection due to a delay en 
route may continue in service to the location where the inspection was 
scheduled to be performed. At that point, an interior calendar day 
mechanical inspection shall be performed prior to returning the 
equipment to service.
    (e) Records. A record shall be maintained of each interior calendar 
day mechanical inspection performed.
    (1) This record may be maintained in writing or electronically 
provided FRA has access to the record upon request.
    (2) The written or electronic record must contain the following 
information:
    (i) The identification number of the unit;
    (ii) The place, date, and time of the inspection;
    (iii) Any non-complying conditions found; and
    (iv) The signature of the inspector.
    (3) This record may be part of a single master report covering an 
entire group of cars and equipment.
    (4) This record shall be maintained at the place where the 
inspection is conducted or at one central location and shall be retained 
for at least 92 days.



Sec. 238.307  Periodic mechanical inspection of passenger cars and unpowered vehicles used in passenger trains.

    (a) General.
    (1) Railroads shall conduct periodic mechanical inspections of all 
passenger cars and all unpowered vehicles used in a passenger train as 
required by this section or as warranted and justified by data developed 
pursuant to paragraph (a)(2) of this section. A periodic inspection 
conducted under part 229 of this chapter satisfies the requirement of 
this section with respect to the features inspected.
    (2) A railroad may, upon written notification to FRA's Associate 
Administrator for Safety, adopt and comply with alternative periodic 
mechanical inspection intervals for specific components or equipment in 
lieu of the requirements of this section. Any alternative interval must 
be based upon a documented reliability assessment conducted under a 
system safety plan subject to periodic peer audit. (See Appendix E to 
this part for a discussion of the general principles of reliability-
based maintenance programs.) The periodic inspection intervals provided 
in this section may be changed only when justified by accumulated, 
verifiable data that provides a high level of confidence that the 
component(s) will not fail in a manner resulting in harm to persons. FRA 
may monitor and review a railroad's implementation and compliance with 
any alternative interval adopted. FRA's Associate Administrator for 
Safety may prohibit or revoke a railroad's ability to utilize an 
alternative inspection interval if FRA determines that the adopted 
interval is not supported by credible data or does not provide adequate 
safety assurances. Such a determination will be made in writing and will 
state the basis for such action.
    (b) Each periodic mechanical inspection required by this section 
shall be performed by a qualified maintenance person.
    (c) As part of the periodic mechanical inspection the railroad shall 
verify the condition of the following interior and exterior mechanical 
components,

[[Page 475]]

which shall be inspected not less frequently than every 92 days. At a 
minimum, this inspection shall determine that:
    (1) Floors of passageways and compartments are free from oil, water, 
waste, or any obstruction that creates a slipping, tripping, or fire 
hazard, and floors are properly treated to provide secure footing.
    (2) Emergency lighting systems are operational.
    (3) With regard to switches:
    (i) All hand-operated switches carrying currents with a potential of 
more than 150 volts that may be operated while under load are covered 
and are operative from the outside of the cover;
    (ii) A means is provided to display whether the switches are open or 
closed; and
    (iii) Switches not designed to be operated safely while under load 
are legibly marked with the voltage carried and the words ``must not be 
operated under load''.
    (4) All trucks are equipped with a device or securing arrangement to 
prevent the truck and car body from separating in case of derailment.
    (5) All center castings on trucks are not cracked or broken.
    (6) All roller bearings do not have any of the following conditions:
    (i) A sign of having been overheated as evidenced by discoloration 
or other telltale sign of overheating such as damage to the seal or 
distortion of any bearing component;
    (ii) A loose or missing cap screw;
    (iii) A broken, missing, or improperly applied cap screw lock; or
    (iv) A seal that is loose or damaged or permits leakage of lubricant 
in clearly formed droplets.
    (7) All mechanical systems and components of the equipment are free 
of all the following general conditions that endanger the safety of the 
crew, passengers, or equipment:
    (i) A continuous accumulation of oil or grease;
    (ii) Improper functioning of a component;
    (iii) A crack, break, excessive wear, structural defect, or weakness 
of a component;
    (iv) A leak;
    (v) Use of a component or system under a condition that exceeds that 
for which the component or system is designed to operate; and
    (vi) Insecure attachment of a component.
    (8) All of the items identified in the exterior calendar day 
mechanical inspection contained at Sec. 238.303 are in conformity with 
the conditions prescribed in that section.
    (9) All of the items identified in the interior calendar day 
mechanical inspection contained at Sec. 238.305 are in conformity with 
the conditions prescribed in that section.
    (d) The periodic mechanical inspection shall specifically include 
the following interior and exterior mechanical components, which shall 
be inspected not less frequently than every 184 days. At a minimum, this 
inspection shall determine that:
    (1) Seats and seat attachments are not broken or loose.
    (2) Luggage racks are not broken or loose.
    (3) All beds and bunks are not broken or loose, and all restraints 
or safety latches and straps are in place and function as intended.
    (4) A representative sample of emergency window exits on the 
railroad's passenger cars properly operate, in accordance with the 
requirements of Sec. 239.107 of this chapter.
    (5) Each coupler is in the following condition:
    (i) The distance between the guard arm and the knuckle nose is not 
more than 5\1/2\ inches on standard type couplers (MCB contour 1904), or 
not more than 5\5/16\ inches on D&E couplers;
    (ii) The free slack in the coupler or drawbar not absorbed by 
friction devices or draft gears is not more than \1/2\ inch; and
    (iii) The draft gear is not broken.
    (e) The periodic mechanical inspection shall specifically include 
the manual door releases, which shall be inspected not less frequently 
than every 368 days. At a minimum, this inspection shall determine that 
all manual door releases operate as intended.
    (f) Records. (1) A record shall be maintained of each periodic 
mechanical inspection required to be performed by

[[Page 476]]

this section. This record may be maintained in writing or electronically 
provided FRA has access to the record upon request. The date and place 
of the periodic inspection shall be recorded and the person performing 
the inspection and that person's supervisor shall sign the form, if 
possible. This record shall be kept in the railroad's files, the cab of 
the locomotive, or a designated location in the passenger car until the 
next periodic mechanical inspection of the same type is performed.
    (2) Detailed documentation of any reliability assessments depended 
upon for implementing an alternative inspection interval under paragraph 
(a)(2) of this section, including underlying data, shall be retained 
during the period that the alternative inspection interval is in effect. 
Data documenting inspections, tests, component replacement and renewals, 
and failures shall be retained for not less than three (3) inspection 
intervals.
    (g) Nonconformity with any of the conditions set forth in this 
section renders the car or vehicle defective whenever discovered in 
service.



Sec. 238.309  Periodic brake equipment maintenance.

    (a) General.
    (1) This section contains the minimum intervals at which the brake 
equipment on various types of passenger equipment shall be periodically 
cleaned, repaired, and tested. This maintenance procedure requires that 
all of the equipment's brake system pneumatic components that contain 
moving parts and are sealed against air leaks be removed from the 
equipment, disassembled, cleaned, and lubricated and that the parts that 
can deteriorate with age be replaced.
    (2) A railroad may petition FRA's Associate Administrator for Safety 
to approve alternative maintenance procedures providing equivalent 
safety, in lieu of the requirements of this section. The petition shall 
be filed as provided in Sec. 238.21.
    (b) MU locomotives. The brake equipment of each MU locomotive shall 
be cleaned, repaired, and tested at intervals in accordance with the 
following schedule:
    (1) Every 736 days if the MU locomotive is part of a fleet that is 
not 100 percent equipped with air dryers;
    (2) Every 1,104 days if the MU locomotive is part of a fleet that is 
100 percent equipped with air dryers and is equipped with PS-68, 26-C, 
26-L, PS-90, CS-1, RT-2, RT-5A, GRB-1, CS-2, or 26-R brake systems. 
(This listing of brake system types is intended to subsume all brake 
systems using 26 type, ABD, or ABDW control valves and PS68, PS-90, 26B-
1, 26C, 26CE, 26-B1, 30CDW, or 30ECDW engineer's brake valves.); and
    (3) Every 736 days for all other MU locomotives.
    (c) Conventional locomotives. The brake equipment of each 
conventional locomotive shall be cleaned, repaired, and tested at 
intervals in accordance with the following schedule:
    (1) Every 1,104 days for a locomotive equipped with a 26-L or 
equivalent brake system; and
    (2) Every 736 days for a locomotive equipped with other than a 26-L 
or equivalent brake system.
    (d) Passenger coaches and other unpowered vehicles. The brake 
equipment on each passenger coach and each unpowered vehicle used in a 
passenger train shall be cleaned, repaired, and tested at intervals in 
accordance with following schedule:
    (1) Every 1,476 days for a coach or vehicle equipped with a 26-C or 
equivalent brake system; and
    (2) Every 1,104 days for a coach or vehicle equipped with other than 
a 26-C or equivalent brake system.
    (e) Cab cars. The brake equipment of each cab car shall be cleaned, 
repaired, and tested at intervals in accordance with the following 
schedule:
    (1) Every 1,476 days for that portion of the cab car brake system 
using brake valves that are identical to the passenger coach 26-C brake 
system;
    (2) Every 1,104 days for that portion of the cab car brake system 
using brake valves that are identical to the locomotive 26-L brake 
system; and
    (3) Every 736 days for all other types of cab car brake valves.
    (f) Records of periodic maintenance.
    (1) The date and place of the cleaning, repairing, and testing 
required by this section shall be recorded on Form

[[Page 477]]

FRA 6180-49A or a similar form developed by the railroad containing the 
same information, and the person performing the work and that person's 
supervisor shall sign the form, if possible. Alternatively, the railroad 
may stencil the vehicle with the date and place of the cleaning, 
repairing, and testing and maintain an electronic record of the person 
performing the work and that person's supervisor.
    (2) A record of the parts of the air brake system that are cleaned, 
repaired, and tested shall be kept in the railroad's files, the cab of 
the locomotive, or a designated location in the passenger car until the 
next such periodic test is performed.



Sec. 238.311  Single car test.

    (a) Except for self-propelled passenger cars, single car tests of 
all passenger cars and all unpowered vehicles used in passenger trains 
shall be performed in accordance with either APTA Standard SS-M-005-98, 
``Code of Tests for Passenger Car Equipment Using Single Car Testing 
Device,'' published March, 1998; or an alternative procedure approved by 
FRA pursuant to Sec. 238.21. The incorporation by reference of this APTA 
standard was approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy 
of the incorporated document from the American Public Transit 
Association, 1201 New York Avenue, NW., Washington, DC 20005. You may 
inspect a copy of the document at the Federal Railroad Administration, 
Docket Clerk, 1120 Vermont Avenue, NW., Suite 7000, Washington, DC or at 
the Office of the Federal Register, 800 North Capitol Street, NW., Suite 
700, Washington, DC.
    (b) Each single car test required by this section shall be performed 
by a qualified maintenance person.
    (c) A railroad shall perform a single car test of the brake system 
of a car or vehicle described in paragraph (a) of this section if the 
car or vehicle is found with one or more of the following wheel defects:
    (1) Built-up tread;
    (2) Slid flat wheel;
    (3) Thermal crack;
    (4) Overheated wheel; or
    (5) Shelling.
    (d) A railroad need not perform the single car test required in 
paragraph (c) of this section, if the railroad can establish that the 
wheel defect is other than built-up tread and is due to a cause other 
than a defective brake system on the car.
    (e) Except as provided in paragraph (f) of this section, a railroad 
shall perform a single car test of the brake system of a car or vehicle 
described in paragraph (a) of this section when:
    (1) The car or vehicle is placed in service after having been out of 
service for 30 days or more; or
    (2) One or more of the following conventional air brake equipment 
items is removed, repaired, or replaced:
    (i) Relay valve;
    (ii) Service portion;
    (iii) Emergency portion; or
    (iv) Pipe bracket.
    (f) Exception. If the single car test cannot be made at the point 
where repairs are made, the car may be moved in passenger service to the 
next forward location where the test can be made. A railroad may move a 
car in this fashion only after visually verifying an application and 
release of the brakes on both sides of the car that was repaired, and 
provided that the car is appropriately tagged to indicate the need to 
perform a single car test. The single car test shall be completed prior 
to, or as a part of, the car's next calendar day mechanical inspection.
    (g) If one or more of the following conventional air brake equipment 
items is removed, repaired, or replaced only that portion which is 
renewed or replaced must be tested to satisfy the provisions of this 
section:
    (1) Brake reservoir;
    (2) Brake cylinder;
    (3) Piston assembly;
    (4) Vent valve;
    (5) Quick service valve;
    (6) Brake cylinder release valve;
    (7) Modulating valve or slack adjuster; or
    (8) Angle cock or cutout cock.



Sec. 238.313  Class I brake test.

    (a) Each commuter and short-distance intercity passenger train shall 
receive a Class I brake test once each

[[Page 478]]

calendar day that the train is placed or continues in passenger service.
    (b) Except as provided in paragraph (i) of this section, each long-
distance intercity passenger train shall receive a Class I brake test:
    (1) Prior to the train's departure from an originating terminal; and
    (2) Every 1,500 miles or once each additional calendar day, 
whichever occurs first, that the train remains in continuous passenger 
service.
    (c) Each car added to a passenger train shall receive a Class I 
brake test at the time it is added to the train unless documentation is 
provided to the train crew that a Class I brake test was performed on 
the car within the previous calendar day and the car has not been 
disconnected from a source of compressed air for more than four hours 
prior to being added to the train.
    (d) Each Class I brake test shall be performed by a qualified 
maintenance person.
    (e) Each Class I brake test may be performed either separately or in 
conjunction with the exterior calendar day mechanical inspection 
required under Sec. 238.303.
    (f) Except as provided in Sec. 238.15(b), a railroad shall not use 
or haul a passenger train in passenger service from a location where a 
Class I brake test has been performed, or was required by this part to 
have been performed, with less than 100 percent operative brakes.
    (g) A Class I brake test shall determine and ensure that:
    (1) The friction brakes apply and remain applied on each car in the 
train until a release of the brakes has been initiated on each car in 
response to train line electric, pneumatic, or other signals. This test 
shall include a verification that each side of each car's brake system 
responds properly to application and release signals;
    (2) The brake shoes or pads are firmly seated against the wheel or 
disc with the brakes applied;
    (3) Piston travel is within prescribed limits, either by direct 
observation, observation of an actuator, or by observation of the 
clearance between the brake shoe and the wheel or between the brake pad 
and the brake disc with the brakes released;
    (4) The communicating signal system is tested and known to be 
operating as intended;
    (5) Each brake shoe or pad is securely fastened and correctly 
aligned in relation to the wheel or to the disc;
    (6) The engineer's brake valve or controller will cause the proper 
train line commands for each position or brake level setting;
    (7) Brake pipe leakage does not exceed 5 pounds per square inch per 
minute if leakage will affect service performance;
    (8) The emergency brake application and deadman pedal or other 
emergency control devices function as intended;
    (9) Each brake shoe or pad is not below the minimum thickness 
established by the railroad. This thickness shall not be less than the 
minimum thickness necessary to safely travel the maximum distance 
allowed between Class I brake tests;
    (10) Each angle cock and cutout cock is properly positioned;
    (11) The brake rigging or the system mounted on the car for the 
transmission of the braking force does not bind or foul so as to impede 
the force delivered to a brake shoe, impede the release of a brake shoe, 
or otherwise adversely affect the operation of the brake system;
    (12) If the train is equipped with electropneumatic brakes, an 
electropneumatic application of the brakes is made and the train is 
walked to determine that the brakes on each car in the train properly 
apply;
    (13) Each brake disc is free of any crack in accordance with the 
manufacturer's specifications or, if no specifications exist, free of 
any crack to the extent that the design permits;
    (14) If the equipment is provided with a brake indicator, the brake 
indicator operates as intended; and
    (15) The communication of brake pipe pressure changes at the rear of 
the train is verified.
    (h) A qualified maintenance person that performs a Class I brake 
test on a train shall place in the cab of the controlling locomotive of 
the train a written statement, which shall be retained in the cab until 
the next Class I brake test is performed and which shall contain the 
following information:

[[Page 479]]

    (1) The date and time the Class I brake test was performed;
    (2) The location where the test was performed;
    (3) The identification number of the controlling locomotive of the 
train; and
    (4) The total number of cars inspected during the Class I brake 
test.
    (i) A long-distance, intercity passenger train that misses a 
scheduled calendar day Class I brake test due to a delay en route may 
proceed to the point where the Class I brake test was scheduled to be 
performed. A Class I brake test shall be completed at that point prior 
to placing the train back in service.



Sec. 238.315  Class IA brake test.

    (a) Except as provided in paragraph (b) of this section, either a 
Class I or a Class IA brake test shall be performed:
    (1) Prior to the first morning departure of each commuter or short-
distance intercity passenger train, unless all of the following 
conditions are satisfied:
    (i) A Class I brake test was performed within the previous twelve 
(12) hours;
    (ii) The train has not been used in passenger service since the 
performance of the Class I brake test; and
    (iii) The train has not been disconnected from a source of 
compressed air for more than four hours since the performance of the 
Class I brake test; and
    (2) Prior to placing a train in service that has been off a source 
of compressed air for more than four hours.
    (b) A commuter or short-distance intercity passenger train that 
provides continuing late night service that began prior to midnight may 
complete its daily operating cycle after midnight without performing 
another Class I or Class IA brake test. A Class I or Class IA brake test 
shall be performed on such a train before it starts a new daily 
operating cycle.
    (c) A Class I or Class IA brake test may be performed at a shop or 
yard site and need not be repeated at the first passenger terminal if 
the train remains on a source of compressed air and in the custody of 
the train crew.
    (d) The Class IA brake test shall be performed by either a qualified 
person or a qualified maintenance person.
    (e) Except as provided in Sec. 238.15(b), a railroad shall not use 
or haul a passenger train in passenger service from a location where a 
Class IA brake test has been performed, or was required by this part to 
have been performed, with less than 100 percent operative brakes.
    (f) In performing a Class IA brake test, it shall be determined 
that:
    (1) Brake pipe leakage does not exceed 5 pounds per square inch per 
minute if brake pipe leakage will affect service performance;
    (2) Each brake sets and releases by inspecting in the manner 
described in paragraph (g) of this section;
    (3) On MU equipment, the emergency brake application and the deadman 
pedal or other emergency control devices function as intended;
    (4) Each angle cock and cutout cock is properly set;
    (5) Brake pipe pressure changes at the rear of the train are 
properly communicated to the controlling locomotive; and
    (6) The communicating signal system is tested and known to be 
operating as intended;
    (g) In determining whether each brake sets and releases--
    (1) The inspection of the set and release of the brakes shall be 
completed by walking the train to directly observe the set and release 
of each brake, if the railroad determines that such a procedure is safe.
    (2) If the railroad determines that operating conditions pose a 
safety hazard to an inspector walking the brakes, brake indicators may 
be used to verify the set and release on cars so equipped. However, the 
observation of the brake indicators shall not be made from the cab of 
the locomotive. The inspector shall walk the train in order to position 
himself or herself to accurately observe each indicator.



Sec. 238.317  Class II brake test.

    (a) A Class II brake test shall be performed on a passenger train 
when any of the following events occurs:
    (1) Whenever the control stand used to control the train is changed; 
except if the control stand is changed to facilitate the movement of a 
passenger train from one track to another within

[[Page 480]]

a terminal complex while not in passenger service. In these 
circumstances, a Class II brake test shall be performed prior to the 
train's departure from the terminal complex with passengers;
    (2) Prior to the first morning departure of each commuter or short-
distance intercity passenger train where a Class I brake test remains 
valid as provided in Sec. 238.315(a)(1);
    (3) When previously tested units (i.e., cars that received a Class I 
brake test within the previous calendar day and have not been 
disconnected from a source of compressed air for more than four hours) 
are added to the train;
    (4) When cars or equipment are removed from the train; and
    (5) When an operator first takes charge of the train, except for 
face-to-face relief.
    (b) A Class II brake test shall be performed by a qualified person 
or a qualified maintenance person.
    (c) Except as provided in Sec. 238.15, a railroad shall not use or 
haul a passenger train in passenger service from a terminal or yard 
where a Class II brake test has been performed, or was required by this 
part to have been performed, with any of the brakes cut-out, 
inoperative, or defective.
    (d) In performing a Class II brake test on a train, a railroad shall 
determine that:
    (1) The brakes on the rear unit of the train apply and release in 
response to a signal from the engineer's brake valve or controller of 
the leading or controlling unit, or a gauge located at the rear of the 
train or in the cab of the rear unit indicates that brake pipe pressure 
changes are properly communicated at the rear of the train;
    (2) On MU equipment, the emergency brake application and deadman 
pedal or other emergency control devices function as intended; and
    (3) The communicating signal system is tested and known to be 
operating as intended.



Sec. 238.319  Running brake test.

    (a) As soon as conditions safely permit, a running brake test shall 
be performed on each passenger train after the train has received, or 
was required under this part to have received, either a Class I, Class 
IA, or Class II brake test.
    (b) A running brake test shall be performed whenever the control 
stand used to control the train is changed to facilitate the movement of 
a passenger train from one track to another within a terminal complex 
while not in passenger service.
    (c) The running brake test shall be conducted in accordance with the 
railroad's established operating rules, and shall be made by applying 
brakes in a manner that allows the engineer to ascertain whether the 
brakes are operating properly.
    (d) If the engineer determines that the brakes are not operating 
properly, the engineer shall stop the train and follow the procedures 
provided in Sec. 238.15.



    Subpart E--Specific Requirements for Tier II Passenger Equipment



Sec. 238.401  Scope.

    This subpart contains specific requirements for railroad passenger 
equipment operating at speeds exceeding 125 mph but not exceeding 150 
mph. The requirements of this subpart apply beginning on September 9, 
1999. As stated in Sec. 238.433(b), all such passenger equipment remains 
subject to the requirements concerning couplers and uncoupling devices 
contained in Federal statute at 49 U.S.C. chapter 203 and in FRA 
regulations at part 231 and Sec. 232.2 of this chapter.



Sec. 238.403  Crash energy management.

    (a) Each power car and trailer car shall be designed with a crash 
energy management system to dissipate kinetic energy during a collision. 
The crash energy management system shall provide a controlled 
deformation and collapse of designated sections within the unoccupied 
volumes to absorb collision energy and to reduce the decelerations on 
passengers and crewmembers resulting from dynamic forces transmitted to 
occupied volumes.
    (b) The design of each unit shall consist of an occupied volume 
located between two normally unoccupied volumes. Where practical, 
sections within

[[Page 481]]

the unoccupied volumes shall be designed to be structurally weaker than 
the occupied volume. During a collision, the designated sections within 
the unoccupied volumes shall start to deform and eventually collapse in 
a controlled fashion to dissipate energy before any structural damage 
occurs to the occupied volume.
    (c) At a minimum, each Tier II passenger train shall be designed to 
meet the following requirements:
    (1) Thirteen megajoules (MJ) shall be absorbed at each end of the 
train through the controlled crushing of unoccupied volumes, and of this 
amount a minimum of 5 MJ shall be absorbed ahead of the operator's cab 
in each power car;
    (2) A minimum of an additional 3 MJ shall be absorbed by the power 
car structure between the operator's cab and the first trailer car; and
    (3) The end of the first trailer car adjacent to each power car 
shall absorb a minimum of 5 MJ through controlled crushing.
    (d) For a 30-mph collision of a Tier II passenger train on tangent, 
level track with an identical stationary train:
    (1) When seated anywhere in a trailer car, the velocity at which a 
50th-percentile adult male contacts the seat back ahead of him shall not 
exceed 25 mph; and
    (2) The deceleration of the occupied volumes of each trailer car 
shall not exceed 8g. For the purpose of demonstrating compliance with 
this paragraph, deceleration measurements may be processed through a 
low-pass filter having a bandwidth of 50 Hz.
    (e) Compliance with paragraphs (a) through (d) of this section shall 
be demonstrated by analysis using a dynamic collision computer model. 
For the purpose of demonstrating compliance, the following assumptions 
shall be made:
    (1) The train remains upright, in line, and with all wheels on the 
track throughout the collision; and
    (2) Resistance to structural crushing follows the force-versus-
displacement relationship determined during the structural analysis 
required as part of the design of the train.
    (f) Passenger seating shall not be permitted in the leading unit of 
a Tier II passenger train.



Sec. 238.405  Longitudinal static compressive strength.

    (a) To form an effective crash refuge for crewmembers occupying the 
cab of a power car, the underframe of the cab of a power car shall 
resist a minimum longitudinal static compressive force of 2,100,000 
pounds without permanent deformation to the cab, unless equivalent 
protection to crewmembers is provided under an alternate design 
approach, validated through analysis and testing, and approved by FRA 
under the provisions of Sec. 238.21.
    (b) The underframe of the occupied volume of each trailer car shall 
resist a minimum longitudinal static compressive force of 800,000 pounds 
without permanent deformation to the car. To demonstrate compliance with 
this requirement, the 800,000-pound load shall be applied to the 
underframe of the occupied volume as it would be transmitted to the 
underframe by the full structure of the vehicle.
    (c) Unoccupied volumes of a power car or a trailer car designed to 
crush as part of the crash energy management design are not subject to 
the requirements of this section.



Sec. 238.407  Anti-climbing mechanism.

    (a) Each power car shall have an anti-climbing mechanism at its 
forward end capable of resisting an ultimate upward or downward static 
vertical force of 200,000 pounds. A power car constructed with a crash 
energy management design is permitted to crush in a controlled manner 
before the anti-climbing mechanism fully engages.
    (b) Interior train coupling points between units, including between 
units of articulated cars or other permanently joined units of cars, 
shall have an anti-climbing mechanism capable of resisting an upward or 
downward vertical force of 100,000 pounds without yielding.
    (c) The forward coupler of a power car shall be attached to the car 
body to resist a vertical downward force of 100,000 pounds for any 
horizontal position of the coupler without yielding.

[[Page 482]]



Sec. 238.409  Forward end structures of power car cabs.

    This section contains requirements for the forward end structure of 
the cab of a power car. (A conceptual implementation of this end 
structure is provided in Figure 1 to this subpart.)
    (a) Center collision post. The forward end structure shall have a 
full-height center collision post, or its structural equivalent, capable 
of withstanding the following:
    (1) A shear load of 500,000 pounds at its joint with the underframe 
without exceeding the ultimate strength of the joint;
    (2) A shear load of 150,000 pounds at its joint with the roof 
without exceeding the ultimate strength of the joint; and
    (3) A horizontal, longitudinal force of 300,000 pounds, applied at a 
point on level with the bottom of the windshield, without exceeding its 
ultimate strength.
    (b) Side collision posts. The forward end structure shall have two 
side collision posts, or their structural equivalent, located at 
approximately the one-third points laterally, each capable of 
withstanding the following:
    (1) A shear load of 500,000 pounds at its joint with the underframe 
without exceeding the ultimate strength of the joint; and
    (2) A horizontal, longitudinal force of 300,000 pounds, applied at a 
point on level with the bottom of the windshield, without exceeding its 
ultimate strength.
    (c) Corner posts. The forward end structure shall have two full-
height corner posts, or their structural equivalent, each capable of 
withstanding the following:
    (1) A horizontal, longitudinal or lateral shear load of 300,000 
pounds at its joint with the underframe, without exceeding the ultimate 
strength of the joint;
    (2) A horizontal, lateral force of 100,000 pounds applied at a point 
30 inches up from the underframe attachment, without exceeding the yield 
or the critical buckling stress; and
    (3) A horizontal, longitudinal or lateral shear load of 80,000 
pounds at its joint with the roof, without exceeding the ultimate 
strength of the joint.
    (d) Skin. The skin covering the forward-facing end of each power car 
shall be:
    (1) Equivalent to a \1/2\-inch steel plate with a 25,000 pounds-per-
square-inch yield strength--material of a higher yield strength may be 
used to decrease the required thickness of the material provided at 
least an equivalent level of strength is maintained;
    (2) Securely attached to the end structure; and
    (3) Sealed to prevent the entry of fluids into the occupied cab area 
of the equipment. As used in paragraph (d), the term ``skin'' does not 
include forward-facing windows and doors.



Sec. 238.411  Rear end structures of power car cabs.

    The rear end structure of the cab of a power car shall be designed 
to include the following elements, or their structural equivalent. (A 
conceptual implementation of this end structure is provided in Figure 2 
to this subpart.)
    (a) Corner posts. The rear end structure shall have two full-height 
corner posts, or their structural equivalent, each capable of 
withstanding the following:
    (1) A horizontal, longitudinal or lateral shear load of 300,000 
pounds at its joint with the underframe without exceeding the ultimate 
strength of the joint; and
    (2) A horizontal, longitudinal or lateral shear load of 80,000 
pounds at its joint with the roof without exceeding the ultimate 
strength of the joint.
    (b) Collision posts. The rear end structure shall have two full-
height collision posts, or their structural equivalent, each capable of 
withstanding the following:
    (1) A horizontal, longitudinal shear load of 750,000 pounds at its 
joint with the underframe without exceeding the ultimate strength of the 
joint; and
    (2) A horizontal, longitudinal shear load of 75,000 pounds at its 
joint with the roof without exceeding the ultimate strength of the 
joint.



Sec. 238.413  End structures of trailer cars.

    (a) Except as provided in paragraph (b) of this section, the end 
structure of

[[Page 483]]

a trailer car shall be designed to include the following elements, or 
their structural equivalent. (A conceptual implementation of this end 
structure is provided in Figure 3 to this subpart.)
    (1) Corner posts. Two full-height corner posts, each capable of 
withstanding the following:
    (i) A horizontal, longitudinal shear load of 150,000 pounds at its 
joint with the underframe without exceeding the ultimate strength of the 
joint;
    (ii) A horizontal, longitudinal or lateral force of 30,000 pounds 
applied at a point 18 inches up from the underframe attachment without 
exceeding the yield or the critical buckling stress; and
    (iii) A horizontal, longitudinal or lateral shear load of 20,000 
pounds at its joint with the roof without exceeding the ultimate 
strength of the joint.
    (2) Collision posts. Two full-height collision posts each capable of 
withstanding the following:
    (i) A horizontal, longitudinal shear load of 300,000 pounds at its 
joint with the underframe without exceeding the ultimate strength of the 
joint; and
    (ii) A horizontal, longitudinal shear load of 60,000 pounds at its 
joint with the roof without exceeding the ultimate strength of the 
joint.
    (b) If the trailer car is designed with an end vestibule, the end 
structure inboard of the vestibule shall have two full-height corner 
posts, or their structural equivalent, each capable of withstanding the 
following (A conceptual implementation of this end structure is provided 
in Figure 4 to this subpart):
    (1) A horizontal, longitudinal shear load of 200,000 pounds at its 
joint with the underframe without exceeding the ultimate strength of the 
joint;
    (2) A horizontal, lateral force of 30,000 pounds applied at a point 
18 inches up from the underframe attachment without exceeding the yield 
or the critical buckling stress;
    (3) A horizontal, longitudinal force of 50,000 pounds applied at a 
point 18 inches up from the underframe attachment without exceeding the 
yield or the critical buckling stress; and
    (4) A horizontal, longitudinal or lateral shear load of 20,000 
pounds at its joint with the roof without exceeding the ultimate 
strength of the joint.



Sec. 238.415  Rollover strength.

    (a) Each passenger car and power car shall be designed to rest on 
its side and be uniformly supported at the top (``roof rail'') and the 
bottom chords (``side sill'') of the side frame. The allowable stress in 
the structural members of the occupied volumes for this condition shall 
be one-half yield or one-half the critical buckling stress, whichever is 
less. Minor localized deformations to the outer side skin of the 
passenger car or power car is allowed provided such deformations in no 
way intrude upon the occupied volume of each car.
    (b) Each passenger car and power car shall also be designed to rest 
on its roof so that any damage in occupied areas is limited to roof 
sheathing and framing. The allowable stress in the structural members of 
the occupied volumes for this condition shall be one-half yield or one-
half the critical buckling stress, whichever is less. Deformation to the 
roof sheathing and framing is allowed to the extent necessary to permit 
the vehicle to be supported directly on the top chords of the side 
frames and end frames.



Sec. 238.417  Side loads.

    (a) Each passenger car body structure shall be designed to resist an 
inward transverse load of 80,000 pounds of force applied to the side 
sill and 10,000 pounds of force applied to the belt rail (horizontal 
members at the bottom of the window opening in the side frame).
    (b) These loads shall be considered to be applied separately over 
the full vertical dimension of the specified member for any distance of 
8 feet in the direction of the length of the car.
    (c) The allowable stress shall be the lesser of the yield stress, 
except as otherwise allowed by this paragraph, or the critical buckling 
stress. In calculating the stress to show compliance with this 
requirement, local yielding of the side skin adjacent to the side sill 
and belt rail, and local yielding of the side sill bend radii at the 
crossbearer and floor-beam connections is allowed. For purposes of this 
paragraph, local yielding is allowed provided the resulting deformations 
in no way intrude upon the occupied volume of the car.

[[Page 484]]

    (d) The connections of the side frame to the roof and underframe 
shall support the loads specified in this section.



Sec. 238.419  Truck-to-car-body and truck component attachment.

    (a) The ultimate strength of the truck-to-car-body attachment for 
each unit in a train shall be sufficient to resist without failure a 
vertical force equivalent to 2g acting on the mass of the truck and a 
force of 250,000 pounds acting in any horizontal direction on the truck.
    (b) Each component of a truck (which include axles, wheels, 
bearings, the truck-mounted brake system, suspension system components, 
and any other components attached to the truck by design) shall remain 
attached to the truck when a force equivalent to 2g acting on the mass 
of the component is exerted in any direction on that component.



Sec. 238.421  Glazing.

    (a) General. Except as provided in paragraphs (b) and (c) of this 
section, each exterior window on a passenger car and a power car cab 
shall comply with the requirements contained in part 223 of this 
chapter.
    (b) Particular end-facing exterior glazing requirements. Each end-
facing exterior window on a passenger car and a power car cab shall 
also:
    (1) Resist the impact of a 12-pound solid steel sphere at the 
maximum speed at which the vehicle will operate, at an angle of 90 
degrees to the window's surface, with no penetration or spall; and
    (2) Demonstrate anti-spalling performance by the use of a 0.001 
aluminum witness plate, placed 12 inches from the window'face during all 
impact tests. The witness plate shall contain no marks from spalled 
glazing particles after any impact test.
    (3) Be permanently marked, prior to installation, in such a manner 
that the marking is clearly visible after the material has been 
installed. The marking shall include:
    (i) The words ``FRA TYPE IHP'' to indicate that the material has 
successfully passed the testing requirements specified in this 
paragraph;
    (ii) The name of the manufacturer; and
    (iii) The type or brand identification of the material.
    (c) Passenger equipment ordered prior to May 12, 1999. Each exterior 
window in passenger equipment ordered prior to May 12, 1999 may comply 
with the following glazing requirements in the alternative of the 
requirements specified in paragraphs (a) and (b) of this section, until 
the window is replaced and the railroad has exhausted its inventory of 
replacement windows conforming to the requirements of this paragraph 
that it held as of May 12, 1999.
    (1) Each end-facing exterior window shall resist the impact of a 12-
pound solid steel sphere at the maximum speed at which the vehicle will 
operate, at an angle equal to the angle between the window's surface as 
installed and the direction of travel, with no penetration or spall.
    (2) Each side-facing exterior window shall resist the impact of a:
    (i) 12-pound solid steel sphere at 15 mph, at an angle of 90 degrees 
to the window's surface, with no penetration or spall; and
    (ii) A granite ballast stone weighing a minimum of 0.5 pounds, 
traveling at 75 mph and impacting at a 90-degree angle to the window's 
surface, with no penetration or spall.
    (3) All exterior windows shall:
    (i) Resist a single impact of a 9-mm, 147-grain bullet traveling at 
an impact velocity of 900 feet per second, with no bullet penetration or 
spall; and
    (ii) Demonstrate anti-spalling performance by the use of a 0.001 
aluminum witness plate, placed 12 inches from the window's surface 
during all impact tests. The witness plate shall contain no marks from 
spalled glazing particles after any impact test.
    (iii) Be permanently marked, prior to installation, in such a manner 
that the marking is clearly visible after the material has been 
installed. The marking shall include:
    (A) The words ``FRA TYPE IH'' for end-facing glazing or ``FRA TYPE 
IIH'' for side-facing glazing, to indicate that the material has 
successfully passed the testing requirements of this section;

[[Page 485]]

    (B) The name of the manufacturer; and
    (C) The type or brand identification of the material.
    (d) Glazing securement. Each exterior window on a passenger car and 
a power car cab shall remain in place when subjected to:
    (1) The forces due to air pressure differences caused when two 
trains pass at the minimum separation for two adjacent tracks, while 
traveling in opposite directions, each train traveling at the maximum 
authorized speed; and
    (2) The impact forces that the glazed window is required to resist 
as specified in this section.
    (e) Stenciling. Each car that is fully equipped with glazing 
materials that meet the requirements of this section shall be stenciled 
on an interior wall as follows: ``Fully Equipped with FRA Part 238 
Glazing'' or similar words conveying that meaning, in letters at least 
\3/8\ of an inch high.



Sec. 238.423  Fuel tanks.

    (a) External fuel tanks. Each type of external fuel tank must be 
approved by FRA's Associate Administrator for Safety upon a showing that 
the fuel tank provides a level of safety at least equivalent to a fuel 
tank that complies with the external fuel tank requirements in 
Sec. 238.223(a).
    (b) Internal fuel tanks. Internal fuel tanks shall comply with the 
requirements specified in Sec. 238.223(b).



Sec. 238.425  Electrical system.

    (a) Circuit protection.
    (1) The main propulsion power line shall be protected with a 
lightning arrestor, automatic circuit breaker, and overload relay. The 
lightning arrestor shall be run by the most direct path possible to 
ground with a connection to ground of not less than No. 6 AWG. These 
overload protection devices shall be housed in an enclosure designed 
specifically for that purpose with the arc chute vented directly to 
outside air.
    (2) Head end power, including trainline power distribution, shall be 
provided with both overload and ground fault protection.
    (3) Circuits used for purposes other than propelling the equipment 
shall be connected to their power source through circuit breakers or 
equivalent current-limiting devices.
    (4) Each auxiliary circuit shall be provided with a circuit breaker 
located as near as practical to the point of connection to the source of 
power for that circuit; however, such protection may be omitted from 
circuits controlling safety-critical devices.
    (b) Main battery system.
    (1) The main batteries shall be isolated from the cab and passenger 
seating areas by a non-combustible barrier.
    (2) Battery chargers shall be designed to protect against 
overcharging.
    (3) Battery circuits shall include an emergency battery cut-off 
switch to completely disconnect the energy stored in the batteries from 
the load.
    (4) If batteries are of the type to potentially vent explosive 
gases, the batteries shall be adequately ventilated to prevent 
accumulation of explosive concentrations of these gases.
    (c) Power dissipation resistors.
    (1) Power dissipating resistors shall be adequately ventilated to 
prevent overheating under worst-case operating conditions.
    (2) Power dissipation grids shall be designed and installed with 
sufficient isolation to prevent combustion between resistor elements and 
combustible material.
    (3) Power dissipation resistor circuits shall incorporate warning or 
protective devices for low ventilation air flow, over-temperature, and 
short circuit failures.
    (4) Resistor elements shall be electrically insulated from resistor 
frames, and the frames shall be electrically insulated from the supports 
that hold them.
    (d) Electromagnetic interference and compatibility.
    (1) The operating railroad shall ensure electromagnetic 
compatibility of the safety-critical equipment systems with their 
environment. Electromagnetic compatibility can be achieved through 
equipment design or changes to the operating environment.
    (2) The electronic equipment shall not produce electrical noise that 
interferes with trainline control and communications or with wayside 
signaling systems.

[[Page 486]]

    (3) To contain electromagnetic interference emissions, suppression 
of transients shall be at the source wherever possible.
    (4) Electrical and electronic systems of equipment shall be capable 
of operation in the presence of external electromagnetic noise sources.
    (5) All electronic equipment shall be self-protected from damage or 
improper operation, or both, due to high voltage transients and long-
term over-voltage or under-voltage conditions.



Sec. 238.427  Suspension system.

    (a) General requirements.
    (1) Suspension systems shall be designed to reasonably prevent wheel 
climb, wheel unloading, rail rollover, rail shift, and a vehicle from 
overturning to ensure safe, stable performance and ride quality. These 
requirements shall be met:
    (i) In all operating environments, and under all track conditions 
and loading conditions as determined by the operating railroad; and
    (ii) At all track speeds and over all track qualities consistent 
with the Track Safety Standards in part 213 of this chapter, up to the 
maximum operating speed and maximum cant deficiency of the equipment.
    (2) Passenger equipment shall meet the safety performance standards 
for suspension systems contained in appendix C to this part, or 
alternative standards providing at least equivalent safety if approved 
by FRA under the provisions of Sec. 238.21.
    (b) Lateral accelerations. Passenger cars shall not operate under 
conditions that result in a steady-state lateral acceleration of 0.1g 
(measured parallel to the car floor inside the passenger compartment) or 
greater.
    (c) Hunting oscillations. Each truck shall be equipped with a 
permanently installed lateral accelerometer mounted on the truck frame. 
The accelerometer output signals shall be processed through a filter 
having a band pass of 0.5 to 10 Hz to determine if hunting oscillations 
of the truck are occurring. If hunting oscillations are detected, the 
train monitoring system shall provide an alarm to the operator, and the 
train shall be slowed to a speed at least 5 mph less than the speed at 
which the hunting oscillations stopped. For purposes of this paragraph, 
hunting oscillations are considered a sustained cyclic oscillation of 
the truck which is evidenced by lateral accelerations in excess of 0.4g 
root mean square (mean-removed) for 2 seconds.
    (d) Ride vibration (quality). (1) While traveling at the maximum 
operating speed over the intended route, the train suspension system 
shall be designed to:
    (i) Limit the vertical acceleration, as measured by a vertical 
accelerometer mounted on the car floor, to no greater than 0.55g single 
event, peak-to-peak over a one second period;
    (ii) Limit lateral acceleration, as measured by a lateral 
accelerometer mounted on the car floor, to no greater than 0.3g single 
event, peak-to-peak over a one second period; and
    (iii) Limit the combination of lateral acceleration (aL) 
and vertical acceleration (av) occurring over a 1 second 
period as expressed by the square root of (aL2 
+aV2) to no greater than 0.6g, where aL 
may not exceed 0.3g and (aV) may not exceed 0.55g.
    (2) Compliance. Compliance with the requirements contained in this 
paragraph shall be demonstrated during the equipment pre-revenue service 
acceptance tests required under Sec. 238.111, and Sec. 213.345 of this 
chapter.
    (3) For purposes of this paragraph, acceleration measurements shall 
be processed through a filter having a band pass of 0.5 to 10 Hz.
    (e) Overheat sensors. Overheat sensors for each wheelset journal 
bearing shall be provided. The sensors may be placed either on-board the 
equipment or at reasonable intervals along the railroad's right-of-way.



Sec. 238.429  Safety appliances.

    (a) Couplers.
    (1) The leading and the trailing ends of a semi-permanently coupled 
trainset shall each be equipped with an automatic coupler that couples 
on impact and uncouples by either activation of a traditional uncoupling 
lever or some other type of uncoupling mechanism that does not require a 
person to go between the equipment units.
    (2) The automatic coupler and uncoupling device on the leading and 
trailing

[[Page 487]]

ends of a semi-permanently coupled trainset may be stored within a 
removable shrouded housing.
    (3) If the units in a train are not semi-permanently coupled, both 
ends of each unit shall be equipped with an automatic coupler that 
couples on impact and uncouples by either activation of a traditional 
uncoupling lever or some other type of uncoupling mechanism that does 
not require a person to go between the equipment units.
    (b) Hand brakes. Except as provided in paragraph (f) of this 
section, Tier II trains shall be equipped with a parking or hand brake 
that can be applied and released manually and that is capable of holding 
the train on a 3-percent grade.
    (c) Safety appliance mechanical strength and fasteners.
    (1) All handrails, handholds, and sill steps shall be made of 1-inch 
diameter steel pipe, \5/8\-inch thickness steel, or a material of equal 
or greater mechanical strength.
    (2) All safety appliances shall be securely fastened to the car body 
structure with mechanical fasteners that have mechanical strength 
greater than or equal to that of a \1/2\-inch diameter SAE grade steel 
bolt mechanical fastener.
    (i) Safety appliance mechanical fasteners shall have mechanical 
strength and fatigue resistance equal to or greater than a \1/2\-inch 
diameter SAE steel bolt.
    (ii) Mechanical fasteners shall be installed with a positive means 
to prevent unauthorized removal. Self-locking threaded fasteners do not 
meet this requirement.
    (iii) Mechanical fasteners shall be installed to facilitate 
inspection.
    (d) Handrails and handholds. Except as provided in paragraph (f) of 
this section:
    (1) Handrails shall be provided for passengers on both sides of all 
steps used to board or depart the train.
    (2) Exits on a power vehicle shall be equipped with handrails and 
handholds so that crewmembers can get on and off the vehicle safely.
    (3) Throughout their entire length, handrails and handholds shall be 
a color that contrasts with the color of the vehicle body to which they 
are fastened.
    (4) The maximum distance above the top of the rail to the bottom of 
vertical handrails and handholds shall be 51 inches, and the minimum 
distance shall be 21 inches.
    (5) Vertical handrails and handholds shall be installed to continue 
to a point at least equal to the height of the top edge of the control 
cab door.
    (6) The minimum hand clearance distance between a vertical handrail 
or handhold and the vehicle body shall be 2\1/2\ inches for the entire 
length.
    (7) All vertical handrails and handholds shall be securely fastened 
to the vehicle body.
    (8) If the length of the handrail exceeds 60 inches, it shall be 
securely fastened to the power vehicle body with two fasteners at each 
end.
    (e) Sill steps. Except as provided in paragraph (f) of this section, 
each power vehicle shall be equipped with a sill step below each 
exterior door as follows:
    (1) The sill step shall have a minimum cross-sectional area of \1/2\ 
by 3 inches;
    (2) The sill step shall be made of steel or a material of equal or 
greater strength and fatigue resistance;
    (3) The minimum tread length of the sill step shall be 10 inches;
    (4) The minimum clear depth of the sill step shall be 8 inches;
    (5) The outside edge of the tread of the sill step shall be flush 
with the side of the car body structure;
    (6) Sill steps shall not have a vertical rise between treads 
exceeding 18 inches;
    (7) The lowest sill step tread shall be not more than 24, preferably 
not more than 22, inches above the top of the track rail;
    (8) Sill steps shall be a color that contrasts with the color of the 
power vehicle body to which they are fastened;
    (9) Sill steps shall be securely fastened;
    (10) At least 50 percent of the tread surface area of each sill step 
shall be open space; and
    (11) The portion of the tread surface area of each sill step which 
is not open space and is normally contacted by the

[[Page 488]]

foot shall be treated with an anti-skid material.
    (f) Exceptions.
    (1) If the units of the equipment are semi-permanently coupled, with 
uncoupling done only at maintenance facilities, the equipment units that 
are not required by paragraph (a) of this section to be equipped with 
automatic couplers need not be equipped with sill steps or end or side 
handholds that would normally be used to safely perform coupling and 
uncoupling operations.
    (2) If the units of the equipment are not semi-permanently coupled, 
the units shall be equipped with hand brakes, sill steps, end handholds, 
and side handholds that meet the requirements contained in Sec. 231.14 
of this chapter.
    (3) If two trainsets are coupled to form a single train that is not 
semi-permanently coupled (i.e., that is coupled by an automatic 
coupler), the automatically coupled ends shall be equipped with hand 
brakes, sill steps, end handholds, and side handholds that meet the 
requirements contained in Sec. 231.14 of this chapter. If the trainsets 
are semi-permanently coupled, these safety appliances are not required.
    (g) Optional safety appliances. Safety appliances installed at the 
option of the railroad shall be firmly attached with mechanical 
fasteners and shall meet the design and installation requirements 
provided in this section.



Sec. 238.431  Brake system.

    (a) A passenger train's brake system shall be capable of stopping 
the train from its maximum operating speed within the signal spacing 
existing on the track over which the train is operating under worst-case 
adhesion conditions.
    (b) The brake system shall be designed to allow an inspector to 
determine that the brake system is functioning properly without having 
to place himself or herself in a dangerous position on, under, or 
between the equipment.
    (c) Passenger equipment shall be provided with an emergency brake 
application feature that produces an irretrievable stop, using a brake 
rate consistent with prevailing adhesion, passenger safety, and brake 
system thermal capacity. An emergency brake application shall be 
available at any time, and shall be initiated by an unintentional 
parting of the train. A means to initiate an emergency brake application 
shall be provided at two locations in each unit of the train; however, 
where a unit of the train is 45 feet or less in length a means to 
initiate an emergency brake application need only be provided at one 
location in the unit.
    (d) The brake system shall be designed to prevent thermal damage to 
wheels and brake discs. The operating railroad shall demonstrate through 
analysis and testing that no thermal damage results to the wheels or 
brake discs under conditions resulting in maximum braking effort being 
exerted on the wheels or discs.
    (e) The following requirements apply to blended braking systems:
    (1) Loss of power or failure of the dynamic brake does not result in 
exceeding the allowable stopping distance;
    (2) The friction brake alone is adequate to safely stop the train 
under all operating conditions;
    (3) The operational status of the electric portion of the brake 
system shall be displayed for the train operator in the control cab; and
    (4) The operating railroad shall demonstrate through analysis and 
testing the maximum operating speed for safe operation of the train 
using only the friction brake portion of the blended brake with no 
thermal damage to wheels or discs.
    (f) The brake system design shall allow a disabled train's pneumatic 
brakes to be controlled by a conventional locomotive, during a rescue 
operation, through brake pipe control alone.
    (g) An independent failure-detection system shall compare brake 
commands with brake system output to determine if a failure has 
occurred. The failure detection system shall report brake system 
failures to the automated train monitoring system.
    (h) Passenger equipment shall be equipped with an adhesion control 
system designed to automatically adjust the braking force on each wheel 
to prevent sliding during braking. In the

[[Page 489]]

event of a failure of this system to prevent wheel slide within preset 
parameters, a wheel slide alarm that is visual or audible, or both, 
shall alert the train operator in the cab of the controlling power car 
to wheel-slide conditions on any axle of the train.



Sec. 238.433  Draft system.

    (a) Leading and trailing automatic couplers of trains shall be 
compatible with standard AAR couplers with no special adapters used.
    (b) All passenger equipment continues to be subject to the 
requirements concerning couplers and uncoupling devices contained in 
Federal Statute at 49 U.S.C. chapter 203 and in FRA regulations at part 
231 and Sec. 232.2 of this chapter.



Sec. 238.435  Interior fittings and surfaces.

    (a) Each seat back and seat attachment in a passenger car shall be 
designed to withstand, with deflection but without total failure, the 
load associated with the impact into the seat back of an unrestrained 
95th-percentile adult male initially seated behind the seat back, when 
the floor to which the seat is attached decelerates with a triangular 
crash pulse having a peak of 8g and a duration of 250 milliseconds.
    (b) Each seat back in a passenger car shall include shock-absorbent 
material to cushion the impact of occupants with the seat ahead of them.
    (c) The ultimate strength of each seat attachment to a passenger car 
body shall be sufficient to withstand the following individually applied 
accelerations acting on the mass of the seat plus the mass of a seat 
occupant who is a 95th-percentile adult male:
    (1) Lateral: 4g; and
    (2) Vertical: 4g.
    (d)(1) Other interior fittings shall be attached to the passenger 
car body with sufficient strength to withstand the following 
individually applied accelerations acting on the mass of the fitting:
    (i) Longitudinal: 8g;
    (ii) Lateral: 4g; and
    (iii) Vertical: 4g.
    (2) Fittings that can be expected to be impacted by a person during 
a collision, such as tables between facing seats, shall be designed for 
the mass of the fitting plus the mass of the number of occupants who are 
95th-percentile adult males that could be expected to strike the 
fitting, when the floor of the passenger car decelerates with a 
triangular crash pulse having a peak of 8g and a duration of 250 
milliseconds.
    (e) The ultimate strength of the interior fittings and equipment in 
power car control cabs shall be sufficient to resist without failure 
loads due to the following individually applied accelerations acting on 
the mass of the fitting or equipment:
    (1) Longitudinal: 12g;
    (2) Lateral: 4g; and
    (3) Vertical: 4g.
    (f) To the extent possible, interior fittings, except seats, shall 
be recessed or flush-mounted. Corners and sharp edges shall be avoided 
or otherwise padded.
    (g) Energy-absorbent material shall be used to pad surfaces likely 
to be impacted by occupants during collisions or derailments.
    (h) Luggage stowage compartments shall be enclosed, and have an 
ultimate strength sufficient to resist loads due to the following 
individually applied accelerations acting on the mass of the luggage 
that the compartments are designed to accommodate:
    (1) Longitudinal: 8g;
    (2) Lateral: 4g; and
    (3) Vertical: 4g.
    (i) If, for purposes of showing compliance with the requirements of 
this section, the strength of a seat attachment is to be demonstrated 
through sled testing, the seat structure and seat attachment to the sled 
that is used in such testing must be representative of the actual seat 
structure in, and seat attachment to, the rail vehicle subject to the 
requirements of this section. If the attachment strength of any other 
interior fitting is to be demonstrated through sled testing, for 
purposes of showing compliance with the requirements of this section, 
such testing shall be conducted in a similar manner.



Sec. 238.437  Emergency communication.

    A means of emergency communication throughout a train shall be 
provided and shall include the following:
    (a) Except as further specified, transmission locations at each end 
of each

[[Page 490]]

passenger car, adjacent to the car's end doors, and accessible to both 
passengers and crewmembers without requiring the use of a tool or other 
implement. If the passenger car does not exceed 45 feet in length, only 
one transmission location is required;
    (b) Transmission locations that are clearly marked with luminescent 
material;
    (c) Clear and understandable operating instructions at or near each 
transmission location; and
    (d) Back-up power for a minimum period of 90 minutes.



Sec. 238.439  Doors.

    (a) Each passenger car shall have a minimum of two exterior side 
doors, each door providing a minimum clear opening with dimensions of 30 
inches horizontally by 74 inches vertically.

    Note: The Americans with Disabilities Act (ADA) Accessibility 
Specifications for Transportation Vehicles also contain requirements for 
doorway clearance (See 49 CFR part 38).

    (b) Each passenger car shall be equipped with a manual override 
feature for each powered, exterior side door. Each manual override must 
be:
    (1) Capable of releasing the door to permit it to be opened, without 
power, from both inside and outside the car;
    (2) Located adjacent to the door which it controls; and
    (3) Designed and maintained so that a person may readily access and 
operate the override device from both inside and outside the car without 
the use of any tool or other implement.
    (c) The status of each powered, exterior side door in a passenger 
car shall be displayed to the crew in the operating cab. If door 
interlocks are used, the sensors used to detect train motion shall be 
nominally set to operate at 3 mph.
    (d) Each powered, exterior side door in a passenger car shall be 
connected to an emergency back-up power system.
    (e) A railroad may protect a manual override device used to open a 
powered, exterior door with a cover or a screen capable of removal 
without requiring the use of a tool or other implement.
    (f) A passenger compartment end door (other than a door providing 
access to the exterior of the trainset) shall be equipped with a kick-
out panel, pop-out window, or other similar means of egress in the event 
the door will not open, or shall be so designed as to pose a negligible 
probability of becoming inoperable in the event of car body distortion 
following a collision or derailment.
    (g) Marking and instructions. [Reserved]



Sec. 238.441  Emergency roof entrance location.

    (a) Each passenger car and power car cab shall have a minimum of one 
roof hatch emergency entrance location with a minimum opening of 18 
inches by 24 inches, or at least one clearly marked structural weak 
point in the roof having a minimum opening of the same dimensions to 
provide quick access for properly equipped emergency response personnel.
    (b) Marking and instructions. [Reserved]



Sec. 238.443  Headlights.

    Each power car shall be equipped with at least two headlights. Each 
headlight shall produce no less than 200,000 candela. One headlight 
shall be focused to illuminate a person standing between the rails 800 
feet ahead of the power car under clear weather conditions. The other 
headlight shall be focused to illuminate a person standing between the 
rails 1500 feet ahead of the power car under clear weather conditions.



Sec. 238.445  Automated monitoring.

    (a) Each passenger train shall be equipped to monitor the 
performance of the following systems or components:
    (1) Reception of cab signals and train control signals;
    (2) Truck hunting;
    (3) Dynamic brake status;
    (4) Friction brake status;
    (5) Fire detection systems;
    (6) Head end power status;
    (7) Alerter or deadman control;
    (8) Horn and bell;
    (9) Wheel slide;
    (10) Tilt system, if so equipped; and
    (11) On-board bearing-temperature sensors, if so equipped.

[[Page 491]]

    (b) When any such system or component is operating outside of its 
predetermined safety parameters:
    (1) The train operator shall be alerted; and
    (2) Immediate corrective action shall be taken, if the system or 
component defect impairs the train operator's ability to safely operate 
the train. Immediate corrective action includes limiting the speed of 
the train.
    (c) The monitoring system shall be designed with an automatic self-
test feature that notifies the train operator that the monitoring 
capability is functioning correctly and alerts the train operator when a 
system failure occurs.



Sec. 238.447  Train operator's controls and power car cab layout.

    (a) Train operator controls in the power car cab shall be arranged 
so as to minimize the chance of human error, and be comfortably within 
view and within easy reach when the operator is seated in the normal 
train control position.
    (b) The train operator's control panel buttons, switches, levers, 
knobs, and the like shall be distinguishable by sight and by touch.
    (c) An alerter shall be provided in the power car cab. If not 
acknowledged, the alerter shall cause a brake application to stop the 
train.
    (d) Power car cab information displays shall be designed with the 
following characteristics:
    (1) Simplicity and standardization shall be the driving criteria for 
design of formats for the display of information in the cab;
    (2) Essential, safety-critical information shall be displayed as a 
default condition;
    (3) Operator selection shall be required to display other than 
default information;
    (4) Cab or train control signals shall be displayed for the 
operator; and
    (5) Displays shall be readable from the operators's normal position 
under all lighting conditions.
    (e) The power car cab shall be designed so at to permit the crew to 
have an effective field of view in the forward direction, as well as to 
the right and left of the direction of travel to observe objects 
approaching the train from either side. Field-of-view obstructions due 
to required structural members shall be minimized.
    (f) Each seat provided for an employee regularly assigned to occupy 
a power car cab and any floor-mounted seat in the cab shall be:
    (1) Secured to the car body with an attachment having an ultimate 
strength capable of withstanding the loads due to the following 
individually applied accelerations acting on the combined mass of the 
seat and the mass of a seat occupant who is a 95th-percentile adult 
male:
    (i) Longitudinal: 12g;
    (ii) Lateral: 4g; and
    (iii) Vertical: 4g;
    (2) Designed so that all adjustments have the range necessary to 
accommodate a person ranging from a 5th-percentile adult female to a 
95th-percentile adult male, as persons possessing such characteristics 
are specified, correcting for clothing as appropriate, in any recognized 
survey after 1958 of weight, height, and other body dimensions of U.S. 
adults;
    (3) Equipped with lumbar support that is adjustable from the seated 
position;
    (4) Equipped with force-assisted, vertical-height adjustment, 
operated from the seated position;
    (5) Equipped with a manually reclining seat back, adjustable from 
the seated position;
    (6) Equipped with an adjustable headrest; and
    (7) Equipped with folding, padded armrests.
    (g) Sharp edges and corners shall be eliminated from the interior of 
the power car cab, and interior surfaces of the cab likely to be 
impacted by an employee during a collision or derailment shall be padded 
with shock-absorbent material.

                         Figure 1--to Subpart E

[[Page 492]]

[GRAPHIC] [TIFF OMITTED] TR12MY99.000

                         Figure 2--to Subpart E

[[Page 493]]

[GRAPHIC] [TIFF OMITTED] TR12MY99.001

                         Figure 3--to Subpart E

[[Page 494]]

[GRAPHIC] [TIFF OMITTED] TR12MY99.002

                         Figure 4--to Subpart E

[[Page 495]]

[GRAPHIC] [TIFF OMITTED] TR12MY99.003




Subpart F--Inspection, Testing, and Maintenance Requirements for Tier II 
                           Passenger Equipment



Sec. 238.501  Scope.

    This subpart contains inspection, testing, and maintenance 
requirements for railroad passenger equipment that operates at speeds 
exceeding 125 mph but not exceeding 150 mph.



Sec. 238.503  Inspection, testing, and maintenance requirements.

    (a) General. Under the procedures provided in Sec. 238.505, each 
railroad shall obtain FRA approval of a written inspection, testing, and 
maintenance program for Tier II passenger equipment prior to 
implementation of that program and prior to commencing passenger 
operations using that equipment. As further specified in this section, 
the program shall describe in detail the procedures, equipment, and 
other means necessary for the safe operation of the passenger equipment, 
including:
    (1) Inspection procedures, intervals, and criteria;
    (2) Testing procedures and intervals;
    (3) Scheduled preventive-maintenance intervals;
    (4) Maintenance procedures;
    (5) Special testing equipment or measuring devices required to 
perform inspections, tests, and maintenance; and
    (6) The training, qualification, and designation of employees and 
contractors to perform inspections, tests, and maintenance.

[[Page 496]]

    (b) Compliance. After the railroad's inspection, testing, and 
maintenance program is approved by FRA under Sec. 238.505, the railroad 
shall adopt the program and shall perform--
    (1) The inspections and tests of power brakes and other primary 
brakes as described in the program;
    (2) The other inspections and tests described in the program in 
accordance with the procedures and criteria that the railroad identified 
as safety-critical; and
    (3) The maintenance tasks described in the program in accordance 
with the procedures and intervals that the railroad identified as 
safety-critical.
    (c) General safety inspection, testing, and maintenance procedures. 
The inspection, testing, and maintenance program under paragraph (a) of 
this section shall contain the railroad's written procedures to ensure 
that all systems and components of in service passenger equipment are 
free of any general condition that endangers the safety of the crew, 
passengers, or equipment. These procedures shall protect against:
    (1) A continuous accumulation of oil or grease;
    (2) Improper functioning of a component;
    (3) A crack, break, excessive wear, structural defect, or weakness 
of a component;
    (4) A leak;
    (5) Use of a component or system under a condition that exceeds that 
for which the component or system is designed to operate; and
    (6) Insecure attachment of a component.
    (d) Specific inspections. The program under paragraph (a) of this 
section shall specify that all Tier II passenger equipment shall receive 
thorough inspections in accordance with the following standards:
    (1) Except as provided in paragraph (d)(3) of this section, the 
equivalent of a Class I brake test contained in Sec. 238.313 shall be 
conducted prior to a train's departure from an originating terminal and 
every 1,500 miles or once each calendar day, whichever comes first, that 
the train remains in continuous service.
    (i) Class I equivalent brake tests shall be performed by a qualified 
maintenance person.
    (ii) Except as provided in Sec. 238.15(b), a railroad shall not use 
or haul a Tier II passenger train in passenger service from a location 
where a Class I equivalent brake test has been performed, or was 
required by this part to have been performed, with less than 100 percent 
operative brakes.
    (2) Except as provided in paragraph (d)(3) of this section, a 
complete exterior and interior mechanical inspection, in accordance with 
the railroad's inspection program, shall be conducted by a qualified 
maintenance person at least once during each calendar day the equipment 
is used in service.
    (3) Trains that miss a scheduled Class I brake test or mechanical 
inspection due to a delay en route may proceed to the point where the 
Class I brake test or mechanical inspection was scheduled to be 
performed.
    (e) Movement of trains with power brake defects. Movement of trains 
with a power brake defect as defined in Sec. 238.15 (any primary brake 
defect) shall be governed by Sec. 238.15.
    (f) Movement of trains with other defects. Movement of a train with 
a defect other than a power brake defect shall be conducted in 
accordance with Sec. 238.17, with the following exception: When a 
failure of the secondary brake on a Tier II passenger train occurs en 
route, that train may remain in service until its next scheduled 
calendar day Class I brake test equivalent at a speed no greater than 
the maximum safe operating speed demonstrated through analysis and 
testing for braking with the friction brake alone. The brake system 
shall be restored to 100 percent operation before the train departs that 
inspection location.
    (g) Maintenance intervals. The program under paragraph (a) of this 
section shall include the railroad's initial scheduled maintenance 
intervals for Tier II equipment based on an analysis completed pursuant 
to the railroad's safety plan. The maintenance interval of a safety-
critical component shall be changed only when justified by accumulated, 
verifiable operating data and approved by FRA under Sec. 238.505 before 
the change takes effect.

[[Page 497]]

    (h) Training, qualification, and designation program. The program 
under paragraph (a) of this section shall describe the training, 
qualification, and designation program, as defined in the training 
program plan under Sec. 238.109, established by the railroad to qualify 
individuals to inspect, test, and maintain the equipment.
    (1) If the railroad deems it safety-critical, then only qualified 
individuals shall inspect, test, and maintain the equipment.
    (2) Knowledge of the procedures described in paragraph (a) of this 
section shall be required to qualify an employee or contractor to 
perform an inspection, testing, or maintenance task under this part.
    (i) Standard procedures. The program under paragraph (a) of this 
section shall include the railroad's written standard procedures for 
performing all safety-critical equipment inspection, testing, 
maintenance, and repair tasks necessary to ensure the safe and proper 
operation of the equipment. The inspection, testing, and maintenance 
program required by this section is not intended to address and should 
not include procedures to address employee working conditions that arise 
in the course of conducting the inspections, tests, and maintenance set 
forth in the program. When reviewing the railroad's program, FRA does 
not intend to review any portion of the program that relates to employee 
working conditions.
    (j) Annual review. The inspection, testing, and maintenance program 
required by this section shall be reviewed by the railroad annually.
    (k) Quality control program. Each railroad shall establish an 
inspection, testing, and maintenance quality control program enforced by 
railroad or contractor supervisors to reasonably ensure that 
inspections, tests, and maintenance are performed in accordance with 
Federal safety standards and the procedures established by the railroad.
    (l) Identification of safety-critical items. In the program under 
paragraph (a) of this section, the railroad shall identify all 
inspection and testing procedures and criteria as well as all 
maintenance intervals that the railroad deems to be safety-critical.



Sec. 238.505  Program approval procedure.

    (a) Submission. Not less than 90 days prior to commencing passenger 
operations using Tier II passenger equipment, each railroad to which 
this subpart applies shall submit for approval an inspection, testing, 
and maintenance program for that equipment meeting the requirements of 
this subpart with the Associate Administrator for Safety, Federal 
Railroad Administration, 1120 Vermont Ave, Mail Stop 25, Washington, DC 
20590. If a railroad seeks to amend an approved program, the railroad 
shall file with FRA's Associate Administrator for Safety a petition for 
approval of such amendment not less than 60 days prior to the proposed 
effective date of the amendment. A program responsive to the 
requirements of this subpart or any amendment to the program shall not 
be implemented prior to FRA approval.
    (1) Each program or amendment under Sec. 238.503 shall contain:
    (i) The information prescribed in Sec. 238.503 for such program or 
amendment;
    (ii) The name, title, address, and telephone number of the primary 
person to be contacted with regard to review of the program or 
amendment; and
    (iii) A statement affirming that the railroad has served a copy of 
the program or amendment on designated representatives of railroad 
employees, together with a list of the names and addresses of persons 
served.
    (2) Each railroad shall serve a copy of each submission to FRA on 
designated representatives of railroad employees responsible for the 
equipment's operation, inspection, testing, and maintenance under this 
subpart.
    (b) Comment. Not later than 45 days from the date of filing the 
program or amendment, any person may comment on the program or 
amendment.
    (1) Each comment shall set forth specifically the basis upon which 
it is made, and contain a concise statement of the interest of the 
commenter in the proceeding.
    (2) Three copies of each comment shall be submitted to the Associate 
Administrator for Safety, Federal Railroad Administration, 1120 Vermont 
Ave., Mail Stop 25, Washington, DC 20590.

[[Page 498]]

    (3) The commenter shall certify that a copy of the comment was 
served on the railroad.
    (c) Approval.
    (1) Within 60 days of receipt of each initial inspection, testing, 
and maintenance program, FRA will conduct a formal review of the 
program. FRA will then notify the primary railroad contact person and 
the designated employee representatives in writing whether the 
inspection, testing, and maintenance program is approved and, if not 
approved, the specific points in which the program is deficient. If a 
program is not approved by FRA, the railroad shall amend its program to 
correct all deficiencies and resubmit its program with the required 
revisions not later than 45 days prior to commencing passenger 
operations.
    (2) FRA will review each proposed amendment to the program within 45 
days of receipt. FRA will then notify the primary railroad contact 
person and the designated employee representatives in writing whether 
the proposed amendment has been approved by FRA and, if not approved, 
the specific points in which the proposed amendment is deficient. The 
railroad shall correct any deficiencies and file the corrected amendment 
prior to implementing the amendment.
    (3) Following initial approval of a program or amendment, FRA may 
reopen consideration of the program or amendment for cause stated.



 Subpart G--Specific Safety Planning Requirements for Tier II Passenger 
                                Equipment



Sec. 238.601  Scope.

    This subpart contains specific safety planning requirements for the 
operation of Tier II passenger equipment, procurement of Tier II 
passenger equipment, and the introduction or major upgrade of new 
technology in existing Tier II passenger equipment that affects a safety 
system on such equipment.



Sec. 238.603  Safety planning requirements.

    (a) Prior to commencing revenue service operation of Tier II 
passenger equipment, each railroad shall prepare and execute a written 
plan for the safe operation of such equipment. The plan may be combined 
with any other plan required under this part. The plan shall be updated 
at least every 365 days. At a minimum, the plan shall describe the 
approaches and processes to:
    (1) Identify all requirements necessary for the safe operation of 
the equipment in its operating environment;
    (2) Identify all known or potential hazards to the safe operation of 
the equipment;
    (3) Eliminate or reduce the risk posed by each hazard identified to 
an acceptable level using MIL-STD-882C as a guide or an alternative 
formal, safety methodology; and
    (4) Impose operational limitations, as necessary, on the operation 
of the equipment if the equipment cannot meet safety requirements.
    (b) For the procurement of Tier II passenger equipment, and for each 
major upgrade or introduction of new technology in existing Tier II 
passenger equipment that affects a safety system on such equipment, each 
railroad shall prepare and execute a written safety plan. The plan may 
be combined with any other plan required under this part. The plan shall 
describe the approaches and processes to:
    (1) Identify all safety requirements governing the design of the 
passenger equipment and its supporting systems;
    (2) Evaluate the total system, including hardware, software, 
testing, and support activities, to identify known or potential safety 
hazards over the life cycle of the equipment;
    (3) Identify safety issues during design reviews;
    (4) Eliminate or reduce the risk posed by each hazard identified to 
an acceptable level using MIL-STD-882C as a guide or an alternative, 
formal safety methodology;
    (5) Monitor the progress in resolving safety issues, reducing 
hazards, and meeting safety requirements;
    (6) Develop a program of testing or analysis, or both, to 
demonstrate that safety requirements have been met; and
    (7) Impose operational limitations, as necessary, on the operation 
of the

[[Page 499]]

equipment if the equipment cannot meet safety requirements.
    (c) Each railroad shall maintain sufficient documentation to 
demonstrate how the operation and design of its Tier II passenger 
equipment complies with safety requirements or, as appropriate, 
addresses safety requirements under paragraphs (a)(4) and (b)(7) of this 
section. Each railroad shall maintain sufficient documentation to track 
how safety issues are raised and resolved.
    (d) Each railroad shall make available to FRA for inspection and 
copying upon request each safety plan required by this section and any 
documentation required pursuant to such plan.

           APPENDIX A TO PART 238--SCHEDULE OF CIVIL PENALTIES
------------------------------------------------------------------------
                                                               Willful
                    Section                      Violation    violation
------------------------------------------------------------------------
              SUBPART A--GENERAL
 
238.15  Movement of power brake defects:
    (b) Improper movement from Class I or IA          5,000        7,500
     brake test...............................
    (c) Improper movement of en route defect..        2,500        5,000
        (2), (3) Insufficient tag or record...        1,000        2,000
        (4) Failure to determine percent              2,500        5,000
         operative brake......................
    (d) Failure to follow operating                   5,000        7,500
     restrictions.............................
    (e) Failure to follow restrictions for            2,500        5,000
     inoperative front or rear unit...........
238.17  Movement of other than power brake
 defects: \1\
    (c)(4), (5) Insufficient tag or record....        1,000        2,000
    (d) Failure to inspect or improper use of         2,500        5,000
     roller bearings..........................
    (e) Improper movement of defective safety           (1)
     appliances...............................
238.19  Reporting and tracking defective
 equipment:
    (a) Failure to have reporting or tracking         7,500       11,000
     system...................................
    (b) Failure to retain records.............        2,000        4,000
    (c) Failure to make records available.....        1,000        2,000
    (d) Failure to list power brake repair            2,000        4,000
     points...................................
 
    SUBPART B--SAFETY PLANNING AND GENERAL
                 REQUIREMENTS
 
238.103  Fire protection plan/fire safety:
    (a) Failure to use proper materials.......        5,000        7,500
    (b) Improper certification................        1,000        2,000
    (c) Failure to consider fire safety on new        5,000        7,500
     equipment................................
    (d) Failure to perform fire safety                5,000        7,500
     analysis.................................
    (e) Failure to develop, adopt or comply           5,000        7,500
     with procedures..........................
238.105  Train hardware and software safety:
    (a), (b), (c) Failure to develop and              7,500       11,000
     maintain hardware and software safety
     program..................................
    (d) Failure to include required design            5,000        7,500
     features in hardware and software........
    (e) Failure to comply with hardware and           5,000        7,500
     software safety program..................
238.107  Inspection, testing, and maintenance
 plan:
    (b) Failure to develop plan...............        7,500       11,000
    (b)(1)-(5) Failure of plan to address             3,000        6,000
     specific item............................
    (d) Failure to conduct annual review......        5,000        7,500
238.109  Training, qualification, and
 designation program:
    (a) Failure to develop or adopt program...        7,500       11,000
    (b)(1)-(4) Failure of plan to address             3,000        6,000
     specific item............................
    (b)(5)-(12) Failure to comply with                5,000        7,500
     specific required provision of the
     program..................................
    (b)(13) Failure to maintain adequate              2,500        5,000
     records..................................
238.111  Pre-revenue service acceptance
 testing plan:
    (a) Failure to properly test previously           7,500       11,000
     used equipment...........................
    (b)(1) Failure to develop plan............        7,500       11,000
    (b)(2) Failure to submit plan to FRA......        5,000        7,500
    (b)(3) Failure to comply with plan........        5,000        7,500
    (b)(4) Failure to document results of             5,000        7,500
     testing..................................
    (b)(5) Failure to correct safety                  5,000        7,500
     deficiencies or impose operating limits..
    (b)(6) Failure to maintain records........        3,000        6,000
    (b)(7) Failure to obtain FRA approval.....        5,000        7,500
238.113  Emergency window exits...............        2,500        5,000
238.115  Emergency lighting...................        2,500        5,000
238.117  Protection against personal injury...        2,500        5,000
238.119  Rim-stamped straight plate wheels....        2,500        5,000
 
  SUBPART C--SPECIFIC REQUIREMENTS FOR TIER I
                   EQUIPMENT
 
238.203  Static end strength..................        2,500        5,000
238.205  Anti-climbing mechanism..............        2,500        5,000
238.207  Link between coupling mechanism and          2,500        5,000
 car body.....................................
238.209  Forward-facing end structure of              2,500        5,000
 locomotives..................................
238.211  Collision posts......................        2,500        5,000
238.213  Corner posts.........................        2,500        5,000

[[Page 500]]

 
238.215  Rollover strength....................        2,500        5,000
238.217  Side structure.......................        2,500        5,000
238.219  Truck-to-car-body attachment.........        2,500        5,000
238.221  Glazing..............................        2,500        5,000
238.223  Fuel tanks...........................        2,500        5,000
238.225  Electrical System....................        2,500        5,000
238.227  Suspension system....................        2,500        5,000
238.231  Brake system: (a)-(g), (i)-(m).......        2,500        5,000
    (h) Hand or parking brake missing or              5,000        5,000
     inoperative..............................
238.233  Interior fittings and surfaces.......        2,500        7,500
238.235  Doors................................        2,500        5,000
238.237  Automated monitoring.................        2,500        5,000
 
      SUBPART D--INSPECTION, TESTING, AND
 MAINTENANCE REQUIREMENTS FOR TIER I EQUIPMENT
 
238.303  Exterior mechanical inspection of
 passenger equipment:
    (a)(1) Failure to perform mechanical          \1\ 2,000        4,000
     inspection...............................
    (a)(2) Failure to inspect secondary brake         2,500        5,000
     system...................................
    (b) Failure to perform inspection on car      \1\ 2,000        4,000
     added to train...........................
    (c) Failure to utilize properly qualified         2,000        4,000
     personnel................................
    (e)(1) Products of combustion not released        2,500        5,000
     outside cab..............................
    (e)(2) Battery not vented or gassing              2,500        5,000
     excessively..............................
    (e)(3) Coupler not in proper condition....        2,500        5,000
    (e)(4) No device under drawbar pins or            2,500        5,000
     connection pins..........................
    (e)(5) Suspension system and spring               2,500        5,000
     rigging not in proper condition..........
    (e)(6) Truck not in proper condition......        2,500        5,000
    (e)(7) Side bearing not in proper                 2,500        5,000
     condition................................
    (e)(8) Wheel not in proper condition:
      (i), (iv) Flat spot(s) and shelled
       spot(s):
          (A) One spot 2\1/2\" or more but            2,500        5,000
           less than 3" in length.............
          (B) One spot 3" or more in length...        5,000        7,500
          (C) Two adjoining spots each of             2,500        5,000
           which is 2" or more in length but
           less than 2\1/2\" in length........
          (D) Two adjoining spots each of             5,000        7,500
           which are at least 2" in length, if
           either spot is 2\1/2\7" or more in
           length.............................
      (ii) Gouge or chip in flange:
          (A) More than 1\1/2\" but less than         2,500        5,000
           1\5/8\" in length; and more than \1/
           2\" but less than \5/8\" in width..
          (B) 1\5/8\" or more in length and \5/       5,000        7,500
           8\" or more in width...............
      (iii) Broken rim........................        5,000        7,500
      (v) Seam in tread.......................        2,500        5,000
      (vi) Flange thickness of:                       2,500        5,000
          (A) \7/8\" or less but more than....
          (B) \13/16/\" or less...............        5,000        7,500
      (vii) Tread worn hollow.................        2,500        5,000
      (viii) Flange height of:
          (A) 1\1/2\" or greater but less than        2,500        5,000
           1\5/8\"............................
          (B) 1\5/8\" or more.................        5,000        7,500
      (ix) Rim thickness:
          (A) Less than 1"....................        2,500        5,000
          (B) \15/16\" or less................        5,000        7,500
      (x) Crack or break in flange, tread,
       rim, plate, or hub:
          (A) Crack of less than 1"...........        2,500        5,000
          (B) Crack of 1" or more.............        5,000        7,500
          (C) Break...........................        5,000        7,500
      (xi) Loose wheel........................        5,000        7,500
      (xii) Welded wheel......................        5,000        7,500
    (e)(10) Improper grounding or insulation..        5,000        7,500
    (e)(11) Jumpers or cable connections not          2,500        5,000
     in proper condition......................
    (e)(12) Door or cover plate not properly          2,500        5,000
     marked...................................
    (e)(13) Buffer plate not properly placed..        2,500        5,000
    (e)(14) Diaphragm not properly placed or          2,500        5,000
     aligned..................................
    (e)(15) Secondary braking system not in           2,500        5,000
     operating mode or contains known defect..
    (g) Record of inspection:
        (1), (4) Failure to maintain record of        5,000        4,000
         inspection...........................
        (2) Record contains insufficient              1,000        2,000
         information..........................
238.305  Interior mechanical inspection of
 passenger cars:
    (a) Failure to perform inspection.........    \1\ 1,000        2,000
    (b) Failure to utilize properly qualified         1,000        2,000
     personnel................................
    (c)(1) Failure to protect against personal        2,500        5,000
     injury...................................
    (c)(2) Emergency brake valve not stenciled        2,500        5,000
     or marked................................

[[Page 501]]

 
    (c)(3) Door or cover plates not properly          2,500        5,000
     marked...................................
    (c)(4) Trap door unsafe or improperly             2,500        5,000
     secured..................................
    (c)(5) Doors not safely operate as                2,500        5,000
     intended.................................
        (i)-(iv) Condition for operating              2,000        4,000
         defective door not satisfied.........
    (c)(6) Safety signage not in place or             1,000        2,000
     legible..................................
    (c)(7) Vestibule steps not illuminated....        2,000        4,000
    (c)(8) Access to manual door release not          2,000        4,000
     in place.................................
    (c)(9) Emergency equipment not in place...        1,000        2,000
    (e) Record of inspection:
        (1), (4) Failure to maintain record of        2,000        4,000
         inspection...........................
        (2) Record contains insufficient              1,000        1,000
         information..........................
238.307  Periodic mechanical inspection of
 passenger cars and unpowered vehicles:
    (a) Failure to perform periodic mechanical    \1\ 2,500        5,000
     inspection...............................
    (b) Failure to utilize properly qualified         2,500        5,000
     personnel................................
    (c)(1) Floors not free of condition that          2,500        5,000
     creates hazard...........................
    (c)(2) Emergency lighting not operational.        2,500        5,000
    (c)(3) Switches not in proper condition...        2,500        5,000
    (c)(4) Truck not equipped with securing           2,500        5,000
     arrangement..............................
    (c)(5) Truck center casting cracked or            5,000        7,500
     broken...................................
    (c)(6) Roller bearings:
        (i) Overheated........................        5,000        7,500
        (ii) Cap screw loose or missing.......        2,500        5,000
        (iii) Cap screw lock broken or missing        1,000        2,000
        (iv) Seal loose, damaged, or leaks            2,500        5,000
         lubricant............................
    (c)(7) General conditions endangering             2,500        5,000
     crew, passengers.........................
    (d)(1) Seat or seat attachment broken or          2,500        5,000
     loose....................................
    (d)(2) Luggage rack broken or loose.......        2,500        5,000
    (d)(3) Bed, bunks, or restraints broken or        2,500        5,000
     loose....................................
    (d)(4) Emergency window exit not properly         2,500        5,000
     operate..................................
    (d)(5) Coupler not in proper condition....        2,500        5,000
    (f)(1) Record of inspection:
        (i) Failure to maintain record of             2,000        4,000
         inspection...........................
        (ii) Record contains insufficient             1,000        2,000
         information..........................
238.309  Periodic brake equipment maintenance:
    (b) Failure to perform on MU locomotive...        2,500        5,000
    (c) Failure to perform on conventional            2,500        5,000
     locomotive...............................
    (d) Failure to perform on passenger               2,500        5,000
     coaches or other unpowered vehicle.......
    (e) Failure to perform on cab car.........        2,500        5,000
    (f) Record of periodic maintenance:
        (1), (2) Failure to maintain record or        2,000        4,000
         stencil..............................
 238.311  Single car tests:
    (a) Failure to test in accord with                2,500        5,000
     required procedure.......................
    (b) Failure to utilize properly qualified         2,500        5,000
     personnel................................
    (c), (e) Failure to perform single car            2,500        5,000
     test.....................................
    (f) Improper movement of car for testing..        2,000        4,000
    (g) Failure to test after repair or               2,000        4,000
     replacement of component.................
238.313  Class I brake test:
    (a) Failure to perform on commuter or        \1\ 10,000       15,000
     short distance intercity passenger train.
    (b) Failure to perform on long-distance      \1\ 10,000       15,000
     intercity passenger train................
    (c) Failure to perform on cars added to       \1\ 5,000        7,500
     passenger train..........................
    (d) Failure to utilized properly qualified        5,000        7,500
     personnel................................
    (f) Passenger train used from Class I             5,000        7,500
     brake test with less than 100% operative
     brakes...................................
    (g) Partial failure to perform inspection         5,000        7,500
     on a passenger train.....................
    (h) Failure to maintain record............        2,000        4,000
238.315  Class IA brake test:
    (a) Failure to perform inspection.........    \1\ 5,000        7,500
    (d) Failure to utilize properly qualified         2,500        5,000
     personnel................................
    (e) Passenger train used from Class IA            5,000        7,500
     brake test with improper percentage of
     operative brakes.........................
    (f) Partial failure to perform inspection         2,500        5,000
     on passenger train.......................
238.317  Class II brake test:
    (a) Failure to perform inspection.........    \1\ 2,500        5,000
    (b) Failure to utilize properly qualified         2,500        5,000
     personnel................................
    (c) Improper use of defective equipment           2,500        5,000
     from Class II brake test.................
238.319  Running brake tests:
    (a), (b) Failure to perform test..........        2,000        4,000
 
 SUBPART E--SPECIFIC REQUIREMENTS FOR TIER II
              PASSENGER EQUIPMENT
 
238.403  Crash energy management..............        2,500        5,000
238.405  Longitudinal static compressive              2,500        5,000
 strength.....................................
238.407  Anti-climbing mechanism..............        2,500        5,000

[[Page 502]]

 
238.409  Forward end structures of power car
 cabs:
    (a) Center collision post.................        2,500        5,000
    (b) Side collision posts..................        2,500        5,000
    (c) Corner posts..........................        2,500        5,000
    (d) Skin..................................        2,500        5,000
238.411  Rear end structures of power car
 cabs:
    (a) Corner posts..........................        2,500        5,000
    (b) Collision posts.......................        2,500        5,000
238.413  End structures of trailer cars.......        2,500        5,000
238.415  Rollover strength....................        2,500        5,000
238.417  Side loads...........................        2,500        5,000
238.419  Truck-to-car-body and truck component        2,500        5,000
 attachment...................................
238.421  Glazing:
    (b) End-facing exterior glazing...........        2,500        5,000
    (c) Alternate glazing requirements........        2,500        5,000
    (d) Glazing securement....................        1,000        2,000
    (e) Stenciling............................        2,500        5,000
238.423  Fuel tanks:
    (a) External fuel tanks...................        2,500        5,000
    (b) Internal fuel tanks...................        2,500        5,000
238.425  Electrical system:
    (a) Circuit protection....................        2,500        5,000
    (b) Main battery system...................        2,500        5,000
    (c) Power dissipation resistors...........        2,500        5,000
    (d) Electromagnetic interference and              2,500        5,000
     compatibility............................
238.427  Suspension system:
    (a) General design........................        2,500        5,000
    (b) Lateral accelerations.................        2,500        5,000
    (c) Hunting Oscillations..................        2,500        5,000
    (d) Ride vibrations.......................        2,500        5,000
    (e) Overheat sensors......................        2,500        5,000
238.429 Safety Appliances:
    (a) Couplers..............................        5,000        7,500
    (b) Hand/parking brakes...................        5,000        7,500
    (d) Handrail and handhold missing.........        2,500        5,000
        (d)(1)-(8) Handrail or handhold               2,500        5,000
         improper design......................
    (e) Sill step missing.....................        5,000        7,500
        (e)(1)-(11) Sill step improper design.        2,500        5,000
    (g) Optional safety appliances............        2,500        5,000
238.431  Brake system.........................        2,500        5,000
238.433  Draft System.........................        2,500        5,000
238.435  Interior fittings and surfaces.......        2,500        5,000
238.437  Emergency communication..............        2,500        5,000
238.439 Doors:
    (a) Exterior side doors...................        2,500        5,000
    (b) Manual override feature...............        2,500        5,000
    (c) Notification to crew of door status...        2,500        5,000
    (d) Emergency back-up power...............        2,500        5,000
    (f) End door kick-out panel or pop-out            2,500        5,000
     window...................................
    (g) Marking and instructions..............   [Reserved]
238.441  Emergency roof hatch entrance                2,500        5,000
 location.....................................
238.443  Headlights...........................        2,500        5,000
238.445  Automated monitoring.................        2,500        5,000
238.447  Train operator's controls and power          2,500        5,000
 car cab layout...............................
 
      SUBPART F--INSPECTION, TESTING, AND
MAINTENANCE REQUIREMENTS FOR TIER II PASSENGER
                   EQUIPMENT
 
238.503  Inspection, testing, and maintenance
 requirements:
    (a) Failure to develop inspection,               10,000       15,000
     testing, and maintenance program or
     obtain FRA approval......................
    (b) Failure to comply with provisions of          5,000        7,500
     the program..............................
    (c) Failure to ensure equipment free of           2,500        5,000
     conditions which endanger safety of crew,
     passengers, or equipment.................
    (d) Specific safety inspections:
        (1)(i) Failure to perform Class I            10,000       15,000
         brake test or equivalent.............
        (1)(ii) Partial failure to perform            5,000        7,500
         Class I brake test or equivalent.....
        (2)(i) Failure to perform exterior        \1\ 2,000        4,000
         mechanical inspection................
        (2)(ii) Failure to perform interior       \1\ 1,000        2,000
         mechanical inspection................
    (g) Failure to perform scheduled                  2,500        5,000
     maintenance as required in program.......
    (h) Failure to comply with training,              5,000        7,500
     qualification and designation program....
    (i) Failure to develop or comply with             2,500        5,000
     standard procedures for performing
     inspection, tests, and maintenance.......

[[Page 503]]

 
    (j) Failure to conduct annual review......        5,000        7,500
    (k) Failure to establish or utilize               5,000        7,500
     quality control program..................
 
      SUBPART G--SPECIFIC SAFETY PLANNING
 REQUIREMENTS FOR TIER II PASSENGER EQUIPMENT
238.603  Safety plan:
    (a) Failure to develop safety operating           7,500       11,000
     plan.....................................
    (b) Failure to develop procurement plan...        7,500       11,000
        (1)-(7) Failure to develop portion of         2,500        5,000
         plan.................................
        (c) Failure to maintain documentation.        2,500        5,000
------------------------------------------------------------------------
\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 passenger equipment
  that is placed or continued in service by a railroad, the appropriate
  penalties set forth above are aggregated up to a maximum of $10,000
  per day. However, failure to perform, with respect to a particular
  unit of passenger equipment, any of the inspections and tests required
  under subparts D and F of this part will be treated as a violation
  separate and distinct from, and in addition to, any substantive
  violative conditions found on that unit of passenger equipment.
  Moreover, the Administrator reserves the right to assess a penalty of
  up to $22,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A. Failure to observe any condition for
  movement of defective equipment set forth in Sec.  238.17 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 unit of passenger equipment at the time of
  movement Failure to observe any condition for the movement of
  passenger equipment containing defective safety appliances, other than
  power brakes, set forth in Sec.  238.17(e) will deprive the railroad
  of the movement-for-repair provision and make the railroad and any
  responsible individuals liable for penalty under the particular
  regulatory section(s) contained in part 231 of this chapter or Sec.
  238.429 concerning the substantive defective condition. The penalties
  listed for failure to perform the exterior and interior mechanical
  inspections and tests required under Sec.  238.303 and Sec.  238.305
  may be assessed for each unit of passenger equipment contained in a
  train that is not properly inspected Whereas, the penalties listed for
  failure to perform the brake inspections and tests under Sec.  238.313
  through Sec.  238.319 may be assessed for each train that is not
  properly inspected.

 Appendix B to Part 238--Test Methods and Performance Criteria for the 
  Flammability and Smoke Emission Characteristics of Materials Used in 
                   Passenger Cars and Locomotive Cabs

    This appendix provides the test methods and performance criteria for 
the flammability and smoke emission characteristics of materials used in 
passenger cars and locomotive cabs, in accordance with the requirements 
of Sec. 238.103.
    (a) Incorporation by reference. Certain documents are incorporated 
by reference into this appendix with the approval of the Director of the 
Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. 
You may inspect a copy of each document during normal business hours at 
the Federal Railroad Administration, Docket Clerk, 1120 Vermont Ave., 
N.W., Suite 7000 or at the Office of the Federal Register, 800 North 
Capitol Street, NW., Suite 700, Washington, DC. The documents 
incorporated by reference into this appendix and the sources from which 
you may obtain these documents are listed below:
    (1) American Society for Testing and Materials (ASTM), 100 Barr 
Harbor Dr., West Conshohocken, PA 19428-2959.
    (i) ASTM C 1166-91, Standard Test Method for Flame Propagation of 
Dense and Cellular Elastomeric Gaskets and Accessories.
    (ii) ASTM D 2724-87, Standard Test Methods for Bonded, Fused, and 
Laminated Apparel Fabrics.
    (iii) ASTM D 3574-95, Standard Test Methods for Flexible Cellular 
Materials--Slab, Bonded, and Molded Urethane Foams.
    (iv) ASTM D 3675-95, Standard Test Method for Surface Flammability 
of Flexible Cellular Materials Using a Radiant Heat Energy Source.
    (v) ASTM E 119-98, Standard Test Methods for Fire Tests of Building 
Construction and Materials.
    (vi) ASTM E 162-98, Standard Test Method for Surface Flammability of 
Materials Using a Radiant Heat Energy Source.
    (vii) ASTM E 648-97, Standard Test Method for Critical Radiant Flux 
of Floor-Covering Systems Using a Radiant Heat Energy Source.
    (viii) ASTM E 662-97, Standard Test Method for Specific Optical 
Density of Smoke Generated by Solid Materials.
    (ix) ASTM E 1354-97, Standard Test Method for Heat and Visible Smoke 
Release Rates for Materials and Products Using an Oxygen Consumption 
Calorimeter.
    (x) ASTM E 1537-98, Standard Test Method for Fire Testing of 
Upholstered Seating Furniture.
    (2) General Services Administration, Federal Supply Service, 
Specification Section, 470 E. L'Enfant Plaza, SW., Suite 8100, 
Washington, DC, 20407. FED-STD-191A--Textile Test Method 5830, Leaching 
Resistance of Cloth; Standard Method (July 20, 1978).
    (3) National Electrical Manufacturers Association (NEMA), 1300 North 
17th St, Suite 1847, Rosslyn, VA 22209. NEMA WC 3/ICEA S-19-1981, Rubber 
Insulated Wire and Cable for

[[Page 504]]

the Transmission and Distribution of Electrical Energy (part 6, section 
19, paragraph 6), Revision 1, Sixth Edition (February, 1994).
    (4) State of California, Department of Consumer Affairs, Bureau of 
Home Furnishings and Thermal Insulation, 3485 Orange Grove Avenue, North 
Highlands, CA 95660. California Technical Bulletin 133, Flammability 
Test Procedure for Seating Furniture for Use in Public Occupancies 
(January, 1991).
    (5) The Institute of Electrical and Electronics Engineers, Inc. 
(IEEE), 345 East 47th Street, New York, New York 10017. ANSI/IEEE Std. 
383-1974, IEEE Standard for Type Test of Class 1E Electric Cables, Field 
Splices, and Connections for Nuclear Power Generating Stations (1974).
    (6) Underwriters Laboratories, Inc. (UL), 333 Pfingsten Road, 
Northbrook, IL 60062-2096.
    (i) UL 44, Standard for Safety for Thermoset-Insulated Wires and 
Cables, 14th edition (January 27, 1997).
    (ii) UL 83, Standard for Safety for Thermoplastic-Insulated Wires 
and Cables, 12th edition (September 29, 1998).
    (b) Definitions. As used in this appendix--
    Critical radiant flux (C.R.F.) means, as defined in ASTM E 648, a 
measure of the behavior of horizontally-mounted floor covering systems 
exposed to a flaming ignition source in a graded radiant heat energy 
environment in a test chamber.
    Flame spread Index (Is) means, as defined in ASTM E 162, 
a factor derived from the rate of progress of the flame front 
(Fs) and the rate of heat liberation by the material under 
test (Q), such that Is=Fs x Q.
    Flaming dripping means periodic dripping of flaming material from 
the site of material burning or material installation.
    Flaming running means continuous flaming material leaving the site 
of material burning or material installation.

    Peak heat release rate (q//max) means, as 
defined in ASTM E 1354, the maximum heat release rate per unit (kW/
m2).
    Specific optical density (Ds) means, as defined in ASTM E 
662, the optical density measured over unit path length within a chamber 
of unit volume, produced from a specimen of unit surface area, that is 
irradiated by a heat flux of 2.5 watts/cm2 for a specified 
period of time.
    Surface flammability means the rate at which flames will travel 
along surfaces.
    Time to ignition (tig) means, as defined in ASTM E 1354, 
the time in seconds (s) to sustained flaming.
    Time to ignition/Peak heat release rate (tig/
q//max) means the ratio of a given material's time 
to ignition to its peak (maximum) heat release rate as measured in the 
Cone Calorimeter (ASTM E 1354) under the stipulated exposure conditions.
    (c) Required test methods and performance criteria. The materials 
used in locomotive cabs and passenger cars shall be tested according to 
the methods and meet the performance criteria set forth in the following 
table and notes:


[[Page 505]]


[GRAPHIC] [TIFF OMITTED] TR12MY99.004


    \1\ Materials tested for surface flammability shall not exhibit any 
flaming running or dripping.
    \2\ The ASTM E 662-97 maximum test limits for smoke emission 
(specific optical density) shall be measured in either the flaming or

[[Page 506]]

non-flaming mode, utilizing the mode which generates the most smoke.
    \3\ Testing of a complete seat or mattress assembly (including 
cushions, fabric layers, upholstery) according to ASTM E 1537-98 with 
application of pass/fail criteria of California Technical Bulletin 133 
shall be permitted in lieu of the test methods prescribed herein, 
provided the assembly component units remain unchanged or new 
(replacement) assembly components possess equivalent fire performance 
properties to the original components tested. A fire hazard analysis 
must also be conducted that considers the operating environment within 
which the seat or mattress assemblies will be used in relation to the 
risk of vandalism, puncture, cutting, or other acts which may expose the 
individual components of the assemblies.
    \4\ Testing is performed without upholstery.
    \5\ The surface flammability and smoke emission characteristics 
shall be demonstrated to be permanent after dynamic testing according to 
ASTM D 3574-95, Test I2 (Dynamic Fatigue Test by the Roller 
Shear at Constant Force) or Test I3 (Dynamic Fatigue Test by 
Constant Force Pounding) both using Procedure B.
    \6\ The surface flammability and smoke emission characteristics 
shall be demonstrated to be permanent by washing, if appropriate, 
according to FED-STD-191A Textile Test Method 5830.
    \7\ The surface flammability and smoke emission characteristics 
shall be demonstrated to be permanent by dry-cleaning, if appropriate, 
according to ASTM D 2724-87.
    \8\ Materials that cannot be washed or dry-cleaned shall be so 
labeled and shall meet the applicable performance criteria after being 
cleaned as recommended by the manufacturer.
    \9\ As a minimum, combustible component materials required to be 
tested include seat and mattress frames, wall and ceiling panels, seat 
and toilet shrouds, tray and other tables, partitions, shelves, 
windscreens, HVAC ducting, thermal and acoustic insulation, exterior 
plastic components, and interior and exterior box covers.
    \10\ Materials used to fabricate miscellaneous, discontinuous small 
parts (such as knobs, rollers, fasteners, clips, grommets, and small 
electrical parts) that will not contribute materially to fire growth in 
end use configuration may be exempted from fire and smoke emission 
performance requirements, provided that the surface area of any 
individual small part is not 16 square inches (100 
cm2) in end use configuration and an appropriate fire hazard 
analysis is conducted which addresses the location and quantity of the 
materials used, and the vulnerability of the materials to ignition and 
contribution of flame spread.
    \11\ If the surface area of any individual small part is less than 
16 square inches (100 cm2) in end use configuration, 
materials used to fabricate such small part shall be tested in 
accordance with ASTM E 1354-97, unless such small part has been shown 
not to contribute materially to fire growth following an appropriate 
fire hazard analysis as specified in Note 10. Materials tested in 
accordance with ASTM E 1354-97 shall meet the performance criteria of 
tig/qmax 1.5. Testing shall be at 50 
kW/m2 applied heat flux.
    \12\ Assessment of smoke generation by small miscellaneous, 
discontinuous parts may be made by utilizing the results from the ASTM 
E1354-97 test procedure conducted in accordance with Note 11, rather 
than the ASTM E 662-test procedure, if an appropriate fire hazard 
analysis is provided which addresses the location and quantity of the 
materials used, and the vulnerability of the materials to ignition and 
contribution of smoke spread.
    \13\ Carpeting used as a wall or ceiling covering shall be tested as 
a vehicle component.
    \14\ Floor covering shall be tested with padding in accordance with 
ASTM E 648-97, if the padding is used in the actual installation.
    \15\ For double window glazing, only the interior glazing is 
required to meet the materials requirements specified herein. (The 
exterior glazing need not meet these requirements.)
    \16\ Elastomeric materials used for parts having a surface area 
16 square inches (100 cm2) shall be tested in 
accordance with ASTM C 1166-91. As a minimum, parts required to be 
tested include window gaskets, door nosing, diaphragms, and roof mats.
    \17\ Testing shall be conducted in accordance with NEMA WC 3/ICEA S-
19-1981, paragraph 6.19.6; or UL 44 for thermosetting wire insulation 
and UL 83 for thermoplastic wire insulation.
    \18\ Testing shall be conducted in accordance with ANSI/IEEE 
Standard 383-1974, section 2.5, with the additional requirement that 
circuit integrity shall continue for 5 minutes after the start of the 
test.
    \19\ Penetrations (ducts, etc.) shall be designed to prevent fire 
and smoke from entering a vehicle, and representative penetrations shall 
be included as part of test assemblies.
    \20\ Structural flooring assemblies shall meet the performance 
criteria during a nominal test period as determined by the railroad. The 
nominal test period must be twice the maximum expected time period under 
normal circumstances for a vehicle to stop completely and safely from 
its maximum operating speed, plus the time necessary to evacuate all the 
vehicle's occupants to a safe area. The nominal test period must not be 
less than 15 minutes. Only one specimen need be tested. A proportional 
reduction may be made in the dimensions of the specimen, provided the 
specimen represents a true test of

[[Page 507]]

the ability of the structural flooring assembly to perform as a barrier 
against under-vehicle fires. The fire resistance period required shall 
be consistent with the safe evacuation of a full load of passengers from 
the vehicle under worst-case conditions.
    \21\ Portions of the vehicle body (including equipment carrying 
portions of a vehicle's roof but not including floors) which separate 
major ignition sources, energy sources, or sources of fuel-load from 
vehicle interiors, shall have sufficient fire endurance as determined by 
a fire hazard analysis acceptable to the railroad which addresses the 
location and quantity of the materials used, as well as vulnerability of 
the materials to ignition, flame spread, and smoke generation.

 Appendix C to Part 238--Suspension System Safety Performance Standards

    This appendix contains the minimum suspension system safety 
performance standards for Tier II passenger equipment as required by 
Sec. 238.427. These requirements shall be the basis for evaluating 
suspension system safety performance until an industry standard 
acceptable to FRA is developed and approved under the procedures 
provided in Sec. 238.21.
    (a) Passenger equipment suspension systems shall be designed to 
limit the lateral and vertical forces and lateral to vertical (L/V) 
ratios, for the time duration required to travel five feet at any 
operating speed or over any class of track, under all operating 
conditions as determined by the railroad, as follows:
    (1) The maximum single wheel lateral to vertical force (L/V) ratio 
shall not exceed Nadal's limit as follows:
[GRAPHIC] [TIFF OMITTED] TR12MY99.005

where: =flange angle (deg).
=coefficient of friction of 0.5.

    (2) The net axle lateral force shall not exceed 0.5 times the static 
vertical axle load.
    (3) The vertical wheel/rail force shall not be less than or equal to 
10 percent of the static vertical wheel load.
    (4) The sum of the vertical wheel loads on one side of any truck 
shall not be less than or equal to 20 percent of the static vertical 
axle load. This shall include the effect of a crosswind allowance as 
specified by the railroad for the intended service.
    (5) The maximum truck side L/V ratio shall not exceed 0.6.
    (6) When stopped on track with a uniform 6-inch superelevation, 
vertical wheel loads, at all wheels, shall not be less than or equal to 
60 percent of the nominal vertical wheel load on level track.
    (b) For purposes of this appendix, wheel/rail force measurements 
shall be processed through a low pass filter having a cut-off frequency 
of 25 Hz.

 Appendix D to Part 238--Requirements for External Fuel Tanks on Tier I 
                               Locomotives

    The requirements contained in this appendix are intended to address 
the structural and puncture resistance properties of the locomotive fuel 
tank to reduce the risk of fuel spillage to acceptable levels under 
derailment and minor collision conditions.
    (a) Structural strength.
    (1) Load case 1--minor derailment. The end plate of the fuel tank 
shall support a sudden loading of one-half the weight of the car body at 
a vertical acceleration of 2g, without exceeding the ultimate strength 
of the material. The load is assumed to be supported on one rail, within 
an eight inch band (plus or minus) at a point nominally above the head 
of the rail, on tangent track. Consideration should be given in the 
design of the fuel tank to maximize the vertical clearance between the 
top of the rail and the bottom of the fuel tank.
    (2) Load case 2--jackknifed locomotive. The fuel tank shall support 
transversely at the center a sudden loading equivalent to one half the 
weight of the locomotive at a vertical acceleration of 2g, without 
exceeding the ultimate strength of the material. The load is assumed to 
be supported on one rail, distributed between the longitudinal center 
line and the edge of the tank bottom, with a rail head surface of two 
inches.
    (3) Load case 3--side impact. In a side impact collision by an 
80,000 pound Gross Vehicle Weight tractor/trailer at the longitudinal 
center of the fuel tank, the fuel tank shall withstand, without 
exceeding the ultimate strength, a 200,000 pound load (2.5g) distributed 
over an area of six inches by forty-eight inches (half the bumper area) 
at a height of thirty inches above the rail (standard DOT bumper 
height).

    (4) Load case 4--penetration resistance. The minimum thickness of 
the sides, bottom sheet and end plates of the fuel tank shall be 
equivalent to a \5/16\-inch steel plate with a 25,000 pounds-per-square-
inch yield strength (where the thickness varies inversely with the 
square root of yield strength). The lower one third of the end plates 
shall have the equivalent penetration resistance by the above method of 
a \3/4\-inch steel plate with a 25,000 pounds-per-square-inch yield 
strength. This may be accomplished by any combination of materials or 
other mechanical protection.
    (b) Sideswipe. To minimize fuel tank damage during sideswipes 
(railroad vehicles and grade crossings), all drain plugs, clean-out

[[Page 508]]

ports, inspection covers, sight glasses, gauge openings, etc., must be 
flush with the tank surface or adequately protected to avoid catching 
foreign objects or breakage. All seams must be protected or flush to 
avoid catching foreign objects.
    (c) Spill controls. Vents and fills shall be designed to avert 
spillage of fuel in the event of a roll over.

    Appendix E to Part 238--General Principles of Reliability-Based 
                          Maintenance Programs

    (a) Any maintenance program has the following four basic objectives:
    (1) To ensure realization of the design level of safety and 
reliability of the equipment;
    (2) To restore safety and reliability to their design levels when 
deterioration has occurred;
    (3) To obtain the information necessary for design improvements of 
those items whose design reliability proves inadequate; and
    (4) To accomplish these goals at a minimum total cost, including 
maintenance costs and the costs of residual failures.
    (b) Reliability-based maintenance programs are based on the 
following general principles. A failure is an unsatisfactory condition. 
There are two types of failures: functional and potential. Functional 
failures are usually reported by operating crews. Conversely, 
maintenance crews usually discover potential failures. A potential 
failure is an identifiable physical condition, which indicates that a 
functional failure is imminent. The consequences of a functional failure 
determine the priority of a maintenance effort. These consequences fall 
into the following general categories:
    (1) Safety consequences, involving possible loss of the equipment 
and its occupants;
    (2) Operational consequences, which involve an indirect economic 
loss as well as the direct cost of repair;
    (3) Non-operational consequences, which involve only the direct cost 
of repair; or
    (4) Hidden failure consequences, which involve exposure to a 
possible multiple failure as a result of the undetected failure of a 
hidden function.
    (c) In a reliability-based maintenance program, scheduled 
maintenance is required for any item whose loss of function or mode of 
failure could have safety consequences. If preventative tasks cannot 
reduce the risk of such failures to an acceptable level, the item 
requires redesign to alter its failure consequences. Scheduled 
maintenance is also required for any item whose functional failure will 
not be evident to the operating crew, and therefore reported for 
corrective action. In all other cases the consequences of failure are 
economic, and maintenance tasks directed at preventing such failures 
must be justified on economic grounds. All failure consequences, 
including economic consequences, are established by the design 
characteristics of the equipment and can be altered only by basic 
changes in the design. Safety consequences can, in nearly all cases, be 
reduced to economic consequences by the use of redundancy. Hidden 
functions can usually be made evident by instrumentation or other design 
features. The feasibility and cost effectiveness of scheduled 
maintenance depend on the inspectablility of the component, and the cost 
of corrective maintenance depends on its failure modes and design 
reliability.
    (d) The design reliability of equipment or components will only be 
achieved with an effective maintenance program. This level of 
reliability is established by the design of each component and the 
manufacturing processes that produced it. Scheduled maintenance can 
ensure that design reliability of each component is achieved, but 
maintenance alone cannot yield a level of reliability beyond the design 
reliability.
    (e) When a maintenance program is developed, it includes tasks that 
satisfy the criteria for both applicability and effectiveness. The 
applicability of a task is determined by the characteristics of the 
component or equipment to be maintained. The effectiveness is stated in 
terms of the consequences that the task is designed to prevent. The 
basics types of tasks that are performed by maintenance personnel are 
each applicable under a unique set of conditions. Tasks may be directed 
at preventing functional failures or preventing a failure event 
consisting of the sequential occurrence of two or more independent 
failures which may have consequences that would not be produced by any 
of the failures occurring separately. The task types include:
    (1) Inspections of an item to find and correct any potential 
failures;
    (2) Rework/remanufacture/overhaul of an item at or before some 
specified time or age limit;
    (3) Discard of an item (or parts of it) at or before some specified 
life limit; and
    (4) Failure finding inspections of a hidden-function item to find 
and correct functional failures that have already occurred but were not 
evident to the operating crew.
    (b) Components or systems in a reliability-based maintenance program 
may be defined as simple or complex. A simple component or system is one 
that is subject to only one or a very few failure modes. This type of 
component or system frequently shows decreasing reliability with 
increasing operating age. An age/time limit may be used to reduce the 
overall failure rate of simple components or systems. Here, safe-life 
limits, fail-safe designs, or damage tolerance-based residual life 
calculations may be imposed on a single component or system to play a 
crucial role in controlling critical failures. Complex

[[Page 509]]

components or systems are ones whose functional failure may result from 
many different failure modes and show little or no decrease in overall 
reliability with increasing age unless there is a dominant failure mode. 
Therefore, age limits imposed on complex components or systems have 
little or no effect on their overall failure rates.
    (g) When planning the maintenance of a component or system to 
protect the safety and operating capability of the equipment, a number 
of items must be considered in the reliability assessment process:
    (1) The consequences of each type of functional failure;
    (2) The visibility of a functional failure to the operating crew 
(evidence that a failure has occurred);
    (3) The visibility of reduced resistance to failure (evidence that a 
failure is imminent);
    (4) The age-reliability characteristics of each item;
    (5) The economic tradeoff between the cost of scheduled maintenance 
and the benefits to be derived from it;
    (6) A multiple failure, resulting from a sequence of independent 
failures, may have consequences that would not be caused by any one of 
the individual failures alone. These consequences are taken into account 
in the definition of the failure consequences for the first failure; and
    (7) A default strategy governs decision making in the absence of 
full information or agreement. This strategy provides for conservative 
initial decisions, to be revised on the basis of information derived 
from operating experience.
    (h) A successful reliability-based maintenance program must be 
dynamic. Any prior-to-service program is based on limited information. 
As such, the operating organization must be prepared to collect and 
respond to real data throughout the operating life of the equipment. 
Management of the ongoing maintenance program requires an organized 
information system for surveillance and analysis of the performance of 
each item under actual operating conditions. This information is needed 
to determine the refinements and modifications to be made in the initial 
maintenance program (including the adjustment of task intervals) and to 
determine the need for product improvement. The information derived from 
operating experience may be considered to have the following hierarchy 
of importance in the reliability-based maintenance program:
    (1) Failures that could affect operating safety;
    (2) Failures that have operational consequences;
    (3) The failure modes of units removed as a result of failures;
    (4) The general condition of unfailed parts in units that have 
failed; and
    (5) The general condition of serviceable units inspected as samples.
    (i) At the time an initial maintenance program is developed, 
information is usually available to determine the tasks necessary to 
protect safety and operating capability. However, the information 
required to determine optimum task intervals and the applicability of 
age or life limits can be obtained only from age or life exploration 
after the equipment enters service. With any new equipment there is 
always the possibility of unanticipated failure modes. The first 
occurrence of any serious unanticipated failure should immediately set 
into motion the following improvement cycle:
    (1) An inspection task is developed to prevent recurrences while the 
item is being redesigned;
    (2) The operating fleet is modified to incorporate the redesigned 
part; and
    (3) After the modification has proved successful, the special 
inspection task is eliminated from the maintenance program.
    (j) Component improvements based on identification of the actual 
reliability characteristics of each item through age or life 
exploration, is part of the normal development cycle of all complex 
equipment.



PART 239--PASSENGER TRAIN EMERGENCY PREPAREDNESS--Table of Contents




                           Subpart A--General

Sec.
239.1  Purpose and scope.
239.3  Application.
239.5  Preemptive effect.
239.7  Definitions.
239.9  Responsibility for compliance.
239.11  Penalties.
239.13  Waivers.
239.15  Information collection.

                    Subpart B--Specific Requirements

239.101  Emergency preparedness plan.
239.103  Passenger train emergency simulations.
239.105  Debriefing and critique.
239.107  Emergency exits.

  Subpart C--Review, Approval, and Retention of Emergency Preparedness 
                                  Plans

239.201  Emergency preparedness plan; filing and approval.
239.203  Retention of emergency preparedness plan.

  Subpart D--Operational (Efficiency) Tests; Inspection of Records and 
                              Recordkeeping

239.301  Operational (efficiency) tests.
239.303  Electronic recordkeeping.

[[Page 510]]


Appendix A to Part 239--Schedule of Civil Penalties

    Authority: 49 U.S.C. 20102-20103, 20105-20114, 20133, 21301, 21304, 
and 21311; 49 U.S.C. 20133; 28 U.S.C. 2461 note; and 49 CFR 1.49(c), 
(g), (m).

    Source: 63 FR 24676, May 4, 1998, unless otherwise noted.



                           Subpart A--General



Sec. 239.1  Purpose and scope.

    (a) The purpose of this part is to reduce the magnitude and severity 
of casualties in railroad operations by ensuring that railroads involved 
in passenger train operations can effectively and efficiently manage 
passenger train emergencies.
    (b) This part prescribes minimum Federal safety standards for the 
preparation, adoption, and implementation of emergency preparedness 
plans by railroads connected with the operation of passenger trains, and 
requires each affected railroad to instruct its employees on the 
provisions of its plan. This part does not restrict railroads from 
adopting and enforcing additional or more stringent requirements not 
inconsistent with this part.
---------------------------------------------------------------------------

    \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 $22,000 for any violation where circumstances warrant. 
See 49 U.S.C. 21301, 21304, and 49 CFR part 209, appendix A. Further 
designations, not found in the CFR citation for certain provisions are 
FRA Office of Chief Counsel computer codes added as a suffix to the CFR 
citation and used to expedite imposition of civil penalties for 
violations. FRA reserves the right, should litigation become necessary, 
to substitute in its complaint the CFR citation in place of the combined 
designation cited in the penalty demand letter.
---------------------------------------------------------------------------



Sec. 239.3  Application.

    (a) Except as provided in paragraph (b) of this section, this part 
applies to all:
    (1) Railroads that operate intercity or commuter passenger train 
service on standard gage track which is part of the general railroad 
system of transportation;
    (2) Railroads that provide commuter or other short-haul rail 
passenger train service in a metropolitan or suburban area (as described 
by 49 U.S.C. 20102(1)), including public authorities operating passenger 
train service; and
    (3) Passenger or freight railroads hosting the operation of 
passenger train service described in paragraph (a)(1) or (a)(2) of this 
section.
    (b) This part does not apply to:
    (1) Rapid transit operations in an urban area that are not connected 
with the general railroad system of transportation;
    (2) Operation of private cars, including business/office cars and 
circus trains; or
    (3) Tourist, scenic, historic, or excursion operations, whether on 
or off the general railroad system.



Sec. 239.5  Preemptive effect.

    Under 49 U.S.C. 20106 (formerly section 205 of the Federal Railroad 
Safety Act of 1970 (45 U.S.C. 434)), issuance of this part preempts any 
State law, rule, regulation, order, or standard covering the same 
subject matter, except a provision necessary to eliminate or reduce an 
essentially local safety hazard, that is not incompatible with Federal 
law or regulation and does not unreasonably burden interstate commerce.



Sec. 239.7  Definitions.

    As used in this part--
    Adjacent rail modes of transportation means other railroads, 
trolleys, light rail, heavy transit, and other vehicles operating on 
rails or electromagnetic guideways which are expressly identified in a 
railroad's emergency preparedness plan.
    Administrator means the Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Control center means a central location on a railroad with 
responsibility for directing the safe movement of trains.
    Crewmember means a person, other than a passenger, who is assigned 
to perform either:
    (1) On-board functions connected with the movement of the train 
(i.e., an employee of a railroad, or of a contractor to a railroad, who 
is assigned

[[Page 511]]

to perform service subject to the Federal hours of service laws during a 
tour of duty) or
    (2) On-board functions in a sleeping car or coach assigned to 
intercity service, other than food, beverage, or security service.
    Division headquarters means the location designated by the railroad 
where a high-level operating manager (e.g., a superintendent, division 
manager, or equivalent), who has jurisdiction over a portion of the 
railroad, has an office.
    Emergency or emergency situation means an unexpected event related 
to the operation of passenger train service involving a significant 
threat to the safety or health of one or more persons requiring 
immediate action, including:
    (1) A derailment;
    (2) A fatality at a grade crossing;
    (3) A passenger or employee fatality, or a serious illness or injury 
to one or more passengers or crewmembers requiring admission to a 
hospital;
    (4) An evacuation of a passenger train; and
    (5) A security situation (e.g., a bomb threat).
    Emergency preparedness plan means one or more documents focusing on 
preparedness and response in dealing with a passenger train emergency.
    Emergency responder means a member of a police or fire department, 
or other organization involved with public safety charged with providing 
or coordinating emergency services, who responds to a passenger train 
emergency.
    Emergency window means that segment of a side facing glazing 
location which has been designed to permit rapid and easy removal in an 
emergency situation.
    FRA means the Federal Railroad Administration.
    Joint operations means rail operations conducted by more than one 
railroad on the same track, except as necessary for the purpose of 
interchange, regardless of whether such operations are the result of:
    (1) Contractual arrangements between the railroads;
    (2) Order of a governmental agency or a court of law; or
    (3) Any other legally binding directive.
    Passenger train service means the transportation of persons (other 
than employees, contractors, or persons riding equipment to observe or 
monitor railroad operations) by railroad in intercity passenger service 
or commuter or other short-haul passenger service in a metropolitan or 
suburban area.
    Person includes all categories of entities covered under 1 U.S.C. 1, 
including, but not limited to, a railroad; any manager, supervisor, 
official, or other employee or agent of a railroad; any owner, 
manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any passenger; any trespasser or nontrespasser; any 
independent contractor providing goods or services to a railroad; any 
volunteer providing goods or services to a railroad; and any employee of 
such owner, manufacturer, lessor, lessee, or independent contractor.
    Private car means a rail passenger car used to transport non-revenue 
passengers on an occasional contractual basis, and includes business or 
office cars and circus trains.
    Qualified means a status attained by an employee who has 
successfully completed any required training for, has demonstrated 
proficiency in, and has been authorized by the employer to perform the 
duties of a particular position or function involving emergency 
preparedness.
    Railroad means:
    (1) Any form of non-highway ground transportation that runs on rails 
or electromagnetic guideways, including--
    (i) Commuter or other short-haul rail passenger service in a 
metropolitan or suburban area and commuter railroad service that was 
operated by the Consolidated Rail Corporation on January 1, 1979, and
    (ii) High speed ground transportation systems that connect 
metropolitan areas, without regard to whether those systems use new 
technologies not associated with traditional railroads, but does not 
include rapid transit operations in an urban area that are not connected 
to the general railroad system of transportation and
    (2) A person that provides railroad transportation, whether directly 
or by

[[Page 512]]

contracting out operation of the railroad to another person.
    Railroad officer means any supervisory employee of a railroad.
    System headquarters means the location designated by the railroad as 
the general office for the railroad system.



Sec. 239.9  Responsibility for compliance.

    Although the requirements of this part are stated in terms of the 
duty of a railroad, when any person, including a contractor to a 
railroad, performs any function required by this part, that person 
(whether or not a railroad) shall perform that function in accordance 
with this part.



Sec. 239.11  Penalties.

    Any person who violates any requirement of this part or causes the 
violation of any such requirement is subject to a civil penalty of at 
least $500 and not more than $11,000 per violation, except that: 
Penalties may be assessed against individuals only for willful 
violations, and, where a grossly negligent violation or a pattern of 
repeated violations has created an imminent hazard of death or injury to 
persons, or has caused death or injury, a penalty not to exceed $22,000 
per violation may be assessed. Each day a violation continues shall 
constitute a separate offense. Any person who knowingly and willfully 
falsifies a record or report required by this part may be subject to 
criminal penalties under 49 U.S.C. 21311 (formerly codified in 45 U.S.C. 
438(e)). Appendix A contains a schedule of civil penalty amounts used in 
connection with this part.



Sec. 239.13  Waivers.

    (a) Any person subject to a requirement of this part may petition 
the Administrator for a waiver of compliance with such requirement. The 
filing of such a petition does not affect that person's responsibility 
for compliance with that requirement while the petition is being 
considered.
    (b) Each petition for waiver must be filed in the manner and contain 
the information required by part 211 of this chapter.
    (c) If the Administrator finds that a waiver of compliance is in the 
public interest and is consistent with railroad safety, the 
Administrator may grant the waiver subject to any conditions the 
Administrator deems necessary.



Sec. 239.15  Information collection.

    (a) The information collection requirements of this part have been 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d) et seq.), and have 
been assigned OMB control number 2130-0545.
    (b) The information collection requirements are found in the 
following sections: Secs. 239.101, 239.103, 239.105, 239.107, 239.201, 
239.203, 239.301, and 239.303.



                    Subpart B--Specific Requirements



Sec. 239.101  Emergency preparedness plan.

    (a) Each railroad to which this part applies shall adopt and comply 
with a written emergency preparedness plan approved by FRA under the 
procedures of Sec. 239.201. The plan shall include the following 
elements and procedures for implementing each plan element.
    (1) Communication. (i) Initial and on-board notification. An on-
board crewmember shall quickly and accurately assess the passenger train 
emergency situation and then notify the control center as soon as 
practicable by the quickest available means. As appropriate, an on-board 
crewmember shall inform the passengers about the nature of the emergency 
and indicate what corrective countermeasures are in progress.
    (ii) Notifications by control center. The control center shall 
promptly notify outside emergency responders, adjacent rail modes of 
transportation, and appropriate railroad officials that a passenger 
train emergency has occurred. Each railroad shall designate an employee 
responsible for maintaining current emergency telephone numbers for use 
in making such notifications.
    (2) Employee training and qualification. (i) On-board personnel. The 
railroad's emergency preparedness plan shall address individual employee 
responsibilities and provide for initial training, as well as periodic 
training at least once every two calendar years thereafter, on

[[Page 513]]

the applicable plan provisions. As a minimum, the initial and periodic 
training shall include:
    (A) Rail equipment familiarization;
    (B) Situational awareness;
    (C) Passenger evacuation;
    (D) Coordination of functions; and
    (E) ``Hands-on'' instruction concerning the location, function, and 
operation of on-board emergency equipment.
    (ii) Control center personnel. The railroad's emergency preparedness 
plan shall require initial training of responsible control center 
personnel, as well as periodic training at least once every two calendar 
years thereafter, on appropriate courses of action for each potential 
emergency situation. As a minimum, the initial and periodic training 
shall include:
    (A) Dispatch territory familiarization; and
    (B) Protocols governing internal communications between appropriate 
control center personnel whenever an imminent potential emergency 
situation exists.
    (iii) Initial training schedule for current employees. The 
railroad's emergency preparedness plan shall provide for the completion 
of initial training of all on-board and control center employees who are 
employed by the railroad on the date that the plan is conditionally 
approved under Sec. 239.201(b)(1), in accordance with the following 
schedule:
    (A) For each railroad that provides commuter or other short-haul 
passenger train service and whose operations include less than 150 route 
miles and less than 200 million passenger miles annually, not more than 
one year after January 29, 1999, or not more than 90 days after 
commencing passenger operations, whichever is later.
    (B) For each railroad that provides commuter or other short-haul 
passenger train service and whose operations include at least 150 route 
miles or at least 200 million passenger miles annually, not more than 
two years after January 29, 1999, or not more than 180 days after 
commencing passenger operations, whichever is later.
    (C) For each railroad that provides intercity passenger train 
service, regardless of the number of route miles or passenger miles, not 
more than two years after January 29, 1999, or not more than 180 days 
after commencing passenger operations, whichever is later.
    (D) For each freight railroad that hosts passenger train service, 
regardless of the number of route miles or passenger miles of that 
service, not more than one year after January 29, 1999, or not more than 
90 days after the hosting begins, whichever is later.
    (iv) Initial training schedule for new employees. The railroad's 
emergency preparedness plan shall provide for the completion of initial 
training of all on-board and control center employees who are hired by 
the railroad after the date on which the plan is conditionally approved 
under Sec. 239.201(b)(1). Each employee shall receive initial training 
within 90 days after the employee's initial date of service.
    (v) Testing of on-board and control center personnel. A railroad 
shall have procedures for testing a person being evaluated for 
qualification under the emergency preparedness plan. The types of 
testing selected by the railroad shall be:
    (A) Designed to accurately measure an individual employee's 
knowledge of his or her responsibilities under the plan;
    (B) Objective in nature;
    (C) Administered in written form; and
    (D) Conducted without reference by the person being tested to open 
reference books or other materials, except to the degree the person is 
being tested on his or her ability to use such reference books or 
materials.
    (vi) On-board staffing. (A) Except as provided in paragraph 
(a)(2)(vi)(B), all crewmembers on board a passenger train shall be 
qualified to perform the functions for which they are responsible under 
the provisions of the applicable emergency preparedness plan.
    (B) A freight train crew relieving an expired passenger train crew 
en route is not required to be qualified under the emergency 
preparedness plan, provided that at least one member of the expired 
passenger train crew remains on board and is available to perform excess 
service under the Federal hours

[[Page 514]]

of service laws in the event of an emergency.
    (3) Joint operations. (i) Each railroad hosting passenger train 
service shall address its specific responsibilities consistent with this 
part.
    (ii) In order to achieve an optimum level of emergency preparedness, 
each railroad hosting passenger train service shall communicate with 
each railroad that provides or operates such service and coordinate 
applicable portions of the emergency preparedness plan. All of the 
railroads involved in hosting, providing, and operating a passenger 
train service operation shall jointly adopt one emergency preparedness 
plan that addresses each entity's specific responsibilities consistent 
with this part. Nothing in this paragraph shall restrict the ability of 
the railroads to provide for an appropriate assignment of responsibility 
for compliance with this part among those railroads through a joint 
operating agreement or other binding contract. However, the assignor 
shall not be relieved of responsibility for compliance with this part.
    (4) Special circumstances. (i) Tunnels. When applicable, the 
railroad's emergency preparedness plan shall reflect readiness 
procedures designed to ensure passenger safety in an emergency situation 
occurring in a tunnel of 1,000 feet or more in length. The railroad's 
emergency preparedness plan shall address, as a minimum, availability of 
emergency lighting, access to emergency evacuation exits, benchwall 
readiness, ladders for detraining, effective radio or other 
communication between on-board crewmembers and the control center, and 
options for assistance from other trains.
    (ii) Other operating considerations. When applicable, the railroad's 
emergency preparedness plan shall address passenger train emergency 
procedures involving operations on elevated structures, including 
drawbridges, and in electrified territory.
    (iii) Parallel operations. When applicable, the railroad's emergency 
preparedness plan shall require reasonable and prudent action to 
coordinate emergency efforts where adjacent rail modes of transportation 
run parallel to either the passenger railroad or the railroad hosting 
passenger operations.
    (5) Liaison with emergency responders. Each railroad to which this 
part applies shall establish and maintain a working relationship with 
the on-line emergency responders by, as a minimum:
    (i) Developing and making available a training program for all on-
line emergency responders who could reasonably be expected to respond 
during an emergency situation. The training program shall include an 
emphasis on access to railroad equipment, location of railroad 
facilities, and communications interface, and provide information to 
emergency responders who may not have the opportunity to participate in 
an emergency simulation. Each affected railroad shall either offer the 
training directly or provide the program information and materials to 
state training institutes, firefighter organizations, or police 
academies;
    (ii) Inviting emergency responders to participate in emergency 
simulations; and
    (iii) Distributing applicable portions of its current emergency 
preparedness plan at least once every three years, or whenever the 
railroad materially changes its plan in a manner that could reasonably 
be expected to affect the railroad's interface with the on-line 
emergency responders, whichever occurs earlier, including documentation 
concerning the railroad's equipment and the physical characteristics of 
its line, necessary maps, and the position titles and telephone numbers 
of relevant railroad officers to contact.
    (6) On-board emergency equipment. (i) General. Each railroad's 
emergency preparedness plan shall state the types of emergency equipment 
to be kept on board and indicate their location(s) on each passenger car 
that is in service. Effective May 4, 1999, or not more than 120 days 
after commencing passenger operations, whichever is later, this 
equipment shall include, at a minimum:
    (A) One fire extinguisher per passenger car;
    (B) One pry bar per passenger car; and
    (C) One flashlight per on-board crewmember.

[[Page 515]]

    (ii) Effective May 4, 1999, or not more than 120 days after 
commencing passenger operations, whichever is later, each railroad that 
provides intercity passenger train service shall also equip each 
passenger train that is in service with at least one first-aid kit 
accessible to crewmembers that contains, at a minimum:
    (A) Two small gauze pads (at least 4x4 inches);
    (B) Two large gauze pads (at least 8x10 inches);
    (C) Two adhesive bandages;
    (D) Two triangular bandages;
    (E) One package of gauge roller bandage that is at least two inches 
wide;
    (F) Wound cleaning agent, such as sealed moistened towelettes;
    (G) One pair of scissors;
    (H) One set of tweezers;
    (I) One roll of adhesive tape;
    (J) Two pairs of latex gloves; and
    (K) One resuscitation mask.
    (iii) On-board emergency lighting. Consistent with the requirements 
of part 238 of this chapter, auxiliary portable lighting (e.g., a 
handheld flashlight) must be accessible and provide, at a minimum:
    (A) Brilliant illumination during the first 15 minutes after the 
onset of an emergency situation; and
    (B) Continuous or intermittent illumination during the next 60 
minutes after the onset of an emergency situation.
    (iv) Maintenance. Each railroad's emergency preparedness plan shall 
provide for scheduled maintenance and replacement of first-aid kits, on-
board emergency equipment, and on-board emergency lighting.
    (7) Passenger safety information. (i) General. Each railroad's 
emergency preparedness plan shall provide for passenger awareness of 
emergency procedures, to enable passengers to respond properly during an 
emergency.
    (ii) Passenger awareness program activities. Each railroad shall 
conspicuously and legibly post emergency instructions inside all 
passenger cars (e.g., on car bulkhead signs, seatback decals, or seat 
cards) and shall utilize one or more additional methods to provide 
safety awareness information including, but not limited to, one of the 
following:
    (A) On-board announcements;
    (B) Laminated wallet cards;
    (C) Ticket envelopes;
    (D) Timetables;
    (E) Station signs or video monitors;
    (F) Public service announcements; or
    (G) Seat drops.
    (b) [Reserved]



Sec. 239.103  Passenger train emergency simulations.

    (a) General. Each railroad operating passenger train service shall 
conduct full-scale emergency simulations, in order to determine its 
capability to execute the emergency preparedness plan under the variety 
of scenarios that could reasonably be expected to occur on its 
operation, and ensure coordination with all emergency responders who 
voluntarily agree to participate in the emergency simulations.
    (b) Frequency of the emergency simulations. Except as provided in 
paragraph (c) of this section:
    (1) Each railroad that provides commuter or other short-haul 
passenger train service and whose operations include less than 150 route 
miles and less than 200 million passenger miles annually, shall conduct 
a minimum of one full-scale emergency simulation during every two 
calendar years.
    (2) Each railroad that provides commuter or other short-haul 
passenger train service and whose operations include at least 150 route 
miles or at least 200 million passenger miles annually, shall conduct a 
minimum of one full-scale emergency simulation during each calendar 
year.
    (3) Each railroad that provides intercity passenger train service, 
shall conduct a minimum of one full-scale emergency simulation during 
each calendar year, regardless of the number of route miles or passenger 
miles.
    (c) Actual emergency situations. Neither a tabletop exercise nor the 
activation of its emergency preparedness plan during an actual emergency 
situation may be credited toward the minimum number of full-scale 
emergency simulations required under paragraph (b) of this section. 
However, a railroad that has activated its emergency preparedness plan 
in response to a major emergency may elect to postpone a scheduled full-
scale simulation for up

[[Page 516]]

to 180 calendar days beyond the applicable calendar year completion date 
in order to evaluate the effectiveness of its plan during that major 
emergency and, as appropriate, modify the rescheduled simulation.
    (d) Definition. As used in this section, major emergency means an 
unexpected event related to the operation of passenger train service 
that results in serious injury or death to one or more persons and 
property damage greater than the current reporting threshold of part 225 
of this chapter to railroad on-track equipment, signals, tracks, track 
structures, or roadbeds, including labor costs and the costs for 
acquiring new equipment and material.



Sec. 239.105  Debriefing and critique.

    (a) General. Except as provided in paragraph (b) of this section, 
each railroad operating passenger train service shall conduct a 
debriefing and critique session after each passenger train emergency 
situation or full-scale simulation to determine the effectiveness of its 
emergency preparedness plan, and shall improve or amend its plan, or 
both, as appropriate, in accordance with the information developed. The 
debriefing and critique session shall be conducted within 60 days of the 
date of the passenger train emergency situation or full-scale 
simulation.
    (b) Exceptions. (1) No debriefing and critique session shall be 
required in the case of an emergency situation involving only a 
collision between passenger railroad rolling stock and: a pedestrian; a 
trespasser; or a motor vehicle or other highway conveyance at a highway-
rail grade crossing, provided that the collision does not result in: a 
passenger or employee fatality, or an injury to one or more crewmembers 
or passengers requiring admission to a hospital; or the evacuation of a 
passenger train. (2) For purposes of this section, highway-rail grade 
crossing means a location where a public highway, road, street, or 
private roadway, including associated sidewalks and pathways, crosses 
one or more railroad tracks at grade, and trespasser means a person who 
is on that part of railroad property used in railroad operation and 
whose presence is prohibited, forbidden, or unlawful.
    (c) Purpose of debriefing and critique. The debriefing and critique 
session shall be designed to determine, at a minimum:
    (1) Whether the on-board communications equipment functioned 
properly;
    (2) How much time elapsed between the occurrence of the emergency 
situation or full-scale simulation and notification to the emergency 
responders involved;
    (3) Whether the control center promptly initiated the required 
notifications;
    (4) How quickly and effectively the emergency responders responded 
after notification; and
    (5) How efficiently the passengers exited from the car through the 
emergency exits.
    (d) Records. (1) Each railroad shall maintain records of its 
debriefing and critique sessions at its system headquarters and 
applicable division headquarters for two calendar years after the end of 
the calendar year to which they relate, including the following 
information:
    (i) Date and location of the passenger train emergency situation or 
full-scale simulation;
    (ii) Date and location of the debriefing and critique session; and
    (iii) Names of all participants in the debriefing and critique 
session.
    (2) These records shall be made available to representatives of FRA 
and States participating under part 212 of this chapter for inspection 
and copying during normal business hours.



Sec. 239.107  Emergency exits.

    For additional requirements related to emergency window exits, see 
part 223 of this chapter.
    (a) Marking. Each railroad operating passenger train service shall 
determine for each passenger car that is in service, except for self-
propelled cars designed to carry baggage, mail, or express:
    (1) That all door exits intended for emergency egress are either 
lighted or conspicuously and legibly marked with luminescent material on 
the inside of the car and that clear and understandable instructions are 
posted at or near such exits.

[[Page 517]]

    (2) That all door exits intended for emergency access by emergency 
responders for extrication of passengers are marked with retroreflective 
material and that clear and understandable instructions are posted at 
each such door.
    (b) Inspection, maintenance, and repair. Consistent with the 
requirements of part 223 of this chapter, each railroad operating 
passenger train service shall:
    (1) Provide for scheduled inspection, maintenance, and repair of 
emergency window and door exits;
    (2) Test a representative sample of emergency window exits on its 
cars at least once every 180 days to verify that they are operating 
properly; and
    (3) Repair each inoperative emergency window and door exit on a car 
before returning the car to service.
    (c) Records. Each railroad operating passenger service shall 
maintain records of its inspection, maintenance, and repair of emergency 
window and door exits at its system headquarters and applicable division 
headquarters for two calendar years after the end of the calendar year 
to which they relate. These records shall be made available to 
representatives of FRA and States participating under part 212 of this 
chapter for inspection and copying during normal business hours.
    (d) Electronic recordkeeping. Each railroad to which this part 
applies is authorized to retain by electronic recordkeeping the 
information prescribed in paragraph (b) of this section, provided that 
all of the following conditions are met:
    (1) The railroad adequately limits and controls accessibility to 
such information retained in its database system and identifies those 
individuals who have such access;
    (2) The railroad has a terminal at the system headquarters and at 
each division headquarters;
    (3) Each such terminal has a desk-top computer (i.e., monitor, 
central processing unit, and keyboard) and either a facsimile machine or 
a printer connected to the computer to retrieve and produce information 
in a usable format for immediate review by representatives of FRA and 
States participating under part 212 of this chapter;
    (4) The railroad has a designated representative who is authorized 
to authenticate retrieved information from the electronic system as true 
and accurate copies of the electronically kept records; and
    (5) The railroad provides representatives of FRA and States 
participating under part 212 of this chapter with immediate access to 
these records for inspection and copying during normal business hours 
and provides printouts of such records upon request.



  Subpart C--Review, Approval, and Retention of Emergency Preparedness 
                                  Plans



Sec. 239.201  Emergency preparedness plan; filing and approval.

    (a) Filing. Each passenger railroad to which this part applies and 
all railroads hosting its passenger train service (if applicable) shall 
jointly adopt a single emergency preparedness plan for that service and 
the passenger railroad shall file one copy of that plan with the 
Associate Administrator for Safety, Federal Railroad Administration, 
Mail Stop 25, 400 Seventh Street, S.W., Washington, D.C. 20590, not more 
than 180 days after May 4, 1998, or not less than 45 days prior to 
commencing passenger operations, whichever is later. The emergency 
preparedness plan shall include the name, title, address, and telephone 
number of the primary person on each affected railroad to be contacted 
with regard to review of the plan, and shall include a summary of each 
railroad's analysis supporting each plan element and describing how 
every condition on the railroad's property that is likely to affect 
emergency response is addressed in the plan. Each subsequent amendment 
to a railroad's emergency preparedness plan shall be filed with FRA by 
the passenger railroad not less than 60 days prior to the proposed 
effective date.
    (b) Approval. (1) Preliminary review. (i) Within 90 days of receipt 
of each proposed emergency preparedness plan, and within 45 days of 
receipt of each plan for passenger operations to be commenced after the 
initial deadline for plan submissions, FRA will conduct a preliminary 
review of the proposed

[[Page 518]]

plan to determine if the elements prescribed in Sec. 239.101 are 
sufficiently addressed and discussed in the railroad's plan submission. 
FRA will then notify the primary contact person of each affected 
railroad in writing of the results of the review, whether the proposed 
plan has been conditionally approved by FRA, and if not conditionally 
approved, the specific points in which the plan is deficient.
    (ii) If a proposed emergency preparedness plan is not conditionally 
approved by FRA, the affected railroad or railroads shall amend the 
proposed plan to correct all deficiencies identified by FRA (and provide 
FRA with a corrected copy) not later than 30 days following receipt of 
FRA's written notice that the proposed plan was not conditionally 
approved.
    (2) Final review. (i) Within 18 months of receipt of each proposed 
plan, and within 180 days of receipt of each proposed plan for passenger 
operations to be commenced after the initial deadline for plan 
submissions, FRA will conduct a comprehensive review of the 
conditionally approved plan to evaluate implementation of the elements 
included. This review will include ongoing dialogues with rail 
management and labor representatives, and field analysis and 
verification. FRA will then notify the primary contact person of each 
affected railroad in writing of the results of the review, whether the 
conditionally approved plan has been finally approved by FRA, and if not 
approved, the specific points in which the plan is deficient.
    (ii) If an emergency preparedness plan of a railroad or railroads is 
not finally approved by FRA, the affected railroad or railroads shall 
amend the plan to correct all deficiencies (and provide FRA with a 
corrected copy) not later than 30 days following receipt of FRA's 
written notice that the plan was not finally approved.
    (3) Review of amendments. (i) FRA will review each proposed plan 
amendment within 45 days of receipt. FRA will then notify the primary 
contact person of each affected railroad of the results of the review, 
whether the proposed amendment has been approved by FRA, and if not 
approved, the specific points in which the proposed amendment is 
deficient.
    (ii) If the amendment is not approved, the railroad shall correct 
any deficiencies identified by FRA and file the corrected amendment 
prior to implementing the amendment.
    (4) Reopened review. Following initial approval of a plan, or 
amendment, FRA may reopen consideration of the plan, or amendment, for 
cause stated.



Sec. 239.203  Retention of emergency preparedness plan.

    Each passenger railroad to which this part applies, and all 
railroads hosting its passenger train service (if applicable), shall 
each retain one copy of the emergency preparedness plan required by 
Sec. 239.201 and one copy of each subsequent amendment to that plan at 
the system and division headquarters of each, and shall make such 
records available to representatives of FRA and States participating 
under part 212 of this chapter for inspection and copying during normal 
business hours.



  Subpart D--Operational (Efficiency) Tests; Inspection of Records and 
                              Recordkeeping



Sec. 239.301  Operational (efficiency) tests.

    (a) Each railroad to which this part applies shall periodically 
conduct operational (efficiency) tests of its on-board and control 
center employees to determine the extent of compliance with its 
emergency preparedness plan.
    (b) Each railroad to which this part applies shall maintain a 
written record of the date, time, place, and result of each operational 
(efficiency) test that was performed in accordance with paragraph (a) of 
this section. Each record shall also specify the name of the railroad 
officer who administered the test, the name of each employee tested, and 
sufficient information to identify the relevant facts relied on for 
evaluation purposes.
    (c) Each record required by paragraph (a) of this section shall be 
retained at the system headquarters of the railroad and at the division 
headquarters for the division where the test was conducted for one 
calendar year after the end of the calendar year to which the test 
relates. Each such

[[Page 519]]

record shall be made available to representatives of FRA and States 
participating under part 212 of this chapter for inspection and copying 
during normal business hours.



Sec. 239.303  Electronic recordkeeping.

    Each railroad to which this part applies is authorized to retain by 
electronic recordkeeping the information prescribed in Sec. 239.301, 
provided that all of the following conditions are met:
    (a) The railroad adequately limits and controls accessibility to 
such information retained in its database system and identifies those 
individuals who have such access;
    (b) The railroad has a terminal at the system headquarters and at 
each division headquarters;
    (c) Each such terminal has a desk-top computer (i.e., monitor, 
central processing unit, and keyboard) and either a facsimile machine or 
a printer connected to the computer to retrieve and produce information 
in a usable format for immediate review by representatives of FRA and 
States participating under part 212 of this chapter;
    (d) The railroad has a designated representative who is authorized 
to authenticate retrieved information from the electronic system as true 
and accurate copies of the electronically kept records; and
    (e) The railroad provides representatives of FRA and States 
participating under part 212 of this chapter with immediate access to 
these records for inspection and copying during normal business hours 
and provides printouts of such records upon request.

         Appendix A to Part 239--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                              Willful
                 Section                     Violation       violation
------------------------------------------------------------------------
Subpart B--Specific Requirements:
239.101(a) Failure of a railroad to               $7,500         $11,000
 adopt a written emergency preparedness
 plan...................................
    (a)(1) Failure of the plan to
     provide for:
        (i) Initial or on-board                    2,500           5,000
         notifications by an on-board
         crewmember.....................
        (ii) Notification of outside               2,500           5,000
         emergency responders by control
         center.........................
    (a)(2) Failure of the plan to
     provide for:
        (i) Initial or periodic training           2,500           5,000
         of on-board personnel..........
        (ii) Initial or periodic                   2,500           5,000
         training of control center
         personnel......................
        (iii) Completion of initial                2,500           5,000
         training of all on-board and
         control center personnel by the
         specified date.................
        (iv) Completion of initial                 2,500           5,000
         training of all newly hired on-
         board and control center
         personnel by the specified date
        (v) Adequate procedures to                 2,500           5,000
         evaluate and test on-board and
         control center personnel for
         qualification under the
         emergency preparedness plan....
        (vi) Adequate on-board staffing.           2,500           5,000
    (a)(3) Failure of a host railroad              3,000           6,000
     involved in joint operations to
     coordinate applicable portions of
     the emergency preparedness plan
     with the railroad or railroads
     providing or operating a passenger
     train service operation............
    (a)(4) Failure of the plan to
     address:
        (i) Readiness procedures for               2,500           5,000
         emergencies in tunnels.........
        (ii) Readiness procedures for              2,500           5,000
         emergencies on an elevated
         structure or in electrified
         territory......................
        (iii) Coordination efforts                 2,500           5,000
         involving adjacent rail modes
         of transportation..............
    (a)(5) Failure of the plan to
     address relationships with on-line
     emergency responders by providing
     for:
        (i) The development and                    3,000           6,000
         availability of training
         programs.......................
        (ii) Invitations to emergency              3,000           6,000
         responders to participate in
         emergency simulations..........
        (iii) Distribution of applicable           3,000           6,000
         portions of the current
         emergency preparedness plan....
    (a)(6) Failure of the plan to
     provide for, or the railroad to
     include on board each train and
     maintain and replace:
        (i) Emergency equipment.........           2,500           5,000
        (ii) First-aid kits.............           2,500           5,000
        (iii) Emergency lighting........           2,500           5,000
    (a)(7) Failure of the plan to                  3,500           7,000
     provide for emergency instructions
     inside each passenger car or to
     include additional safety awareness
     information........................
239.103  Failure to conduct a required             5,000           7,500
 full-scale simulation in accordance
 with the frequency schedule............
239.105  Debriefing and critique
    (a) Failure to conduct a debriefing            4,000           7,500
     and critique session after an
     emergency or full-scale simulation.
    (d)(1) Failure to maintain a record.           2,500           5,000
        (i) Failure to include date or             1,000           2,000
         location of the emergency or
         simulation.....................
        (ii) Failure to include date or            1,000           2,000
         location of the debriefing and
         critique session...............

[[Page 520]]

 
        (iii) Failure to include names             1,000           2,000
         of participants in the
         debriefing and critique session
    (d)(2) Failure to make record                  1,000           2,000
     available..........................
239.107  Emergency exits
    (a)(1), (a)(2):
        (i) Door not marked or                     2,500           5,000
         instructions not posted........
        (ii) Door improperly marked or             2,500           5,000
         instructions 1,000-2,000-
         improperly posted..............
    (b)(1) Failure to provide for                  5,000           7,500
     scheduled inspection, maintenance,
     and repair of emergency windows and
     doors..............................
    (b)(2):
        (i) Failure to test a                      3,000           6,000
         representative sample of
         emergency windows..............
        (ii) Emergency windows tested              1,500           3,000
         too infrequently...............
    (b)(3) Failure to repair an                    3,500           7,000
     inoperative emergency window or
     door exit..........................
    (c):
        (i) Failure to maintain a record           2,500           5,000
        (ii) Failure to make record                1,000           2,000
         available......................
    (d)(1) Insufficient limits or                  2,500           5,000
     controls on accessibility to
     records............................
    (d)(2) Missing terminal.............           1,000           2,000
    (d)(3) Inability of railroad to                1,000           2,000
     produce information in a usable
     format for immediate review........
    (d)(4) Failure by railroad to                  1,000           2,000
     designate an authorized
     representative.....................
    (d)(5) Failure to make record                  1,000           2,000
     available..........................
Subpart C--Review, Approval, and
 Retention of Emergency Preparedness
 Plans:
239.201  Filing and approval
    (a):
        (i) Failure of a railroad to               5,000           7,500
         file a written emergency
         preparedness plan..............
        (ii) Failure to designate a                1,000           2,000
         primary person to contact for
         plan review....................
        (iii) Failure of a railroad to             2,500           5,000
         file an amendment to its plan..
    (b)(1), (b)(2):
        (i) Failure of a railroad to               2,500           5,000
         correct a plan deficiency......
        (ii) Failure to provide FRA with           1,000           2,000
         a corrected copy of the plan...
    (b)(3):
        (i) Failure of a railroad to               2,500           5,000
         correct an amendment deficiency
        (ii) Failure to file a corrected           1,000           1,000
         plan amendment with FRA........
239.203  Retention of emergency
 preparedness plan
        (1) Failure to retain a copy of            2,500           5,000
         the plan or an amendment to the
         plan...........................
        (2) Failure to make record                 1,000           2,000
         available......................
Subpart D--Operational (efficiency)
 tests; Inspection of Records and
 Recordkeeping:
239.301  Operational (efficiency) tests
    (a) Testing Program.................           5,000           7,500
    (b)(1) Failure to maintain a record.           2,500           5,000
    (b)(2) Record improperly completed..           1,000           1,000
    (c)(1) Failure to retain a copy of             2,500           5,000
     the record.........................
    (c)(2) Failure to make record                  1,000           2,000
     available..........................
239.303  Electronic recordkeeping
    (a) Insufficient limits or controls            2,500           5,000
     on accessibility to records........
    (b) Missing terminal................           1,000           2,000
    (c) Inability of railroad to produce           1,000           2,000
     information in a usable format for
     immediate review...................
    (d) Failure by railroad to designate           1,000           2,000
     an authorized representative.......
    (e) Failure to make record available           1,000           2,000
------------------------------------------------------------------------
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 $22,000 for any violation where circumstances warrant. See 49
  U.S.C. 21301, 21304, and 49 CFR part 209, appendix A. Further
  designations, not found in the CFR citation for certain provisions,
  are FRA Office of Chief Counsel computer codes added as a suffix to
  the CFR citation and used to expedite imposition of civil penalties
  for violations. FRA reserves the right, should litigation become
  necessary, to substitute in its complaint the CFR citation in place of
  the combined designation cited in the penalty demand letter.



PART 240--QUALIFICATION AND CERTIFICATION OF LOCOMOTIVE ENGINEERS--Table of Contents




                           Subpart A--General

Sec.
240.1  Purpose and scope.
240.3  Applicability.
240.5  Construction.
240.7  Definitions.
240.9  Waivers.
240.11  Consequences for noncompliance.
240.13  Information collection requirements.

       Subpart B--Component Elements of the Certification Process

240.101  Certification program required.
240.103  Approval of design of individual railroad programs by FRA.
240.105  Criteria for selection of designated supervisors of locomotive 
          engineers.
240.107  Criteria for designation of classes of service.

[[Page 521]]

240.109  General criteria for eligibility based on prior safety conduct.
240.111  Individual's duty to furnish data on prior safety conduct as 
          motor vehicle operator.
240.113  Individual's duty to furnish data on prior safety conduct as an 
          employee of a different railroad.
240.115  Criteria for consideration of prior safety conduct as a motor 
          vehicle operator.
240.117  Criteria for consideration of operating rules compliance data.
240.119  Criteria for consideration of data on substance abuse disorders 
          and alcohol/drug rules compliance.
240.121  Criteria for vision and hearing acuity data.
240.123  Criteria for initial and continuing education.
240.125  Criteria for testing knowledge.
240.127  Criteria for examining skill performance.
240.129  Criteria for monitoring operational performance of certified 
          engineers.

         Subpart C--Implementation of the Certification Process

240.201  Schedule for implementation.
240.203  Determinations required as a prerequisite to certification.
240.205  Procedures for determining eligibility based on prior safety 
          conduct.
240.207  Procedures for making the determination on vision and hearing 
          acuity.
240.209  Procedures for making the determination on knowledge.
240.211  Procedures for making the determination on performance skills.
240.213  Procedures for making the determination on completion of 
          training program.
240.215  Retaining information supporting determinations.
240.217  Time limitations for making determinations.
240.219  Denial of certification.
240.221  Identification of qualified persons.
240.223  Criteria for the certificate.
240.225  Reliance on qualification determinations made by other 
          railroads.
240.227  Reliance on qualification requirements of other countries.
240.229  Requirements for joint operations territory.

         Subpart D--Administration of the Certification Programs

240.301  Replacement of certificates.
240.303  Operational monitoring requirements.
240.305  Prohibited conduct.
240.307  Revocation of certification.
240.309  Railroad oversight responsibilities.

                Subpart E--Dispute Resolution Procedures

240.401  Review board established.
240.403  Petition requirements.
240.405  Processing qualification review petitions.
240.407  Request for a hearing.
240.409  Hearings.
240.411  Appeals.

Appendix A to Part 240--Schedule of Civil Penalties
Appendix B to Part 240--Procedures for Submission and Approval of 
          Locomotive Engineer Qualification Programs
Appendix C to Part 240--Procedures for Obtaining and Evaluating Motor 
          Vehicle Driving Record Data
Appendix D to Part 240--Identification of State Agencies that Perform 
          National Driver Register Checks
Appendix E to Part 240--Recommended Procedures for Conducting Skill 
          Performance Tests

    Authority: 49 U.S.C. 20103, 20107 and 49 CFR 1.49.

    Source: 56 FR 28254, June 19, 1991, unless otherwise noted.



                           Subpart A--General



Sec. 240.1  Purpose and scope.

    (a) The purpose of this part is to ensure that only qualified 
persons operate a locomotive or train.
    (b) This part prescribes minimum Federal safety requirements for the 
eligibility, training, testing, certification, and monitoring of all 
locomotive engineers. This part does not restrict a railroad from 
implementing additional or more stringent requirements for its 
locomotive engineers that are not inconsistent with this part.
    (c) The qualifications for locomotive engineers prescribed in this 
part are pertinent to any person who operates a locomotive, unless that 
person is specifically excluded by a provision of this part, regardless 
of the fact that a person may have a job classification title other than 
that of locomotive engineer.



Sec. 240.3  Applicability.

    (a) This part applies to all railroads that operate locomotives on 
standard gage track that is part of the general railroad system of 
transportation.
    (b) This part does not apply to:
    (1) Rapid transit operations in an urban area that are not connected 
with

[[Page 522]]

the general system of transportation; and
    (2) A railroad that operates only on track inside an installation 
which is not part of the general railroad system of transportation.



Sec. 240.5  Construction.

    (a) By issuance of these regulations, FRA intends to preempt any 
State law, rule, regulation, order, or standard covering the same 
subject matter in accordance with the provisions of section 205 of the 
Federal Railroad Safety Act of 1970 (45 U.S.C. 434).
    (b) FRA does not intend by issuance of these regulations to preempt 
any provisions of State criminal law that impose sanctions for reckless 
conduct that leads to actual loss of life, injury, or damage to 
property, whether such provisions apply specifically to railroad 
employees or generally to the public at large.
    (c) FRA does not intend, by use of the term locomotive engineer in 
this part, to preempt or otherwise alter the terms, conditions, or 
interpretation of existing collective bargaining agreements that employ 
other job classification titles when identifying persons authorized by a 
railroad to operate a locomotive.
    (d) FRA does not intend by issuance of these regulations to preempt 
or otherwise alter the authority of a railroad to initiate disciplinary 
sanctions against its employees, including managers and supervisors, in 
the normal and customary manner, including those contained in its 
collective bargaining agreements.
    (e) Nothing in this part shall be construed to create an eligibility 
or entitlement to employment in other service for the railroad as a 
result of denial, suspension, or revocation of certification under this 
part.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19002, Apr. 9, 1993]



Sec. 240.7  Definitions.

    As used in this part--
    Administrator means the Administrator of FRA, the Deputy 
Administrator of FRA, or the delegate of either.
    Alcohol means ethyl alcohol (ethanol) and includes use or possession 
of any beverage, mixture, or preparation containing ethyl alcohol.
    Controlled Substance has the meaning assigned by 21 U.S.C. 802 and 
includes all substances listed on Schedules I through V as they may be 
revised from time to time (21 CFR parts 1301-1316).
    Current Employee is any employee with at least one year of 
experience in transportation service on a railroad.
    Designated Supervisor of Locomotive Engineers is a person designated 
as such by a railroad in accordance with the provisions of Sec. 240.105 
of this part.
    Drug means any substance (other than alcohol) that has known mind or 
function-altering effects on a human subject, specifically including any 
psychoactive substance and including, but not limited to, controlled 
substances.
    EAP Counselor means a person qualified by experience, education, or 
training to counsel people affected by substance abuse problems and to 
evaluate their progress in recovering from or controlling such problems. 
An EAP Counselor can be a qualified full-time salaried employee of a 
railroad, a qualified practitioner who contracts with the railroad on a 
fee-for-service or other basis, or a qualified physician designated by 
the railroad to perform functions in connection with alcohol or 
substance abuse evaluation or counseling. As used in this rule, the EAP 
Counselor owes a duty to the railroad to make an honest and fully 
informed evaluation of the condition and progress of an employee.
    Filing means that a document to be filed under this part shall be 
deemed filed only upon receipt by the Docket Clerk.
    FRA Representative means the Associate Administrator for Safety, 
FRA, and the Associate Administrator's delegate, including any safety 
inspector employed by the Federal Railroad Administration and any 
qualified state railroad safety inspector acting under part 212 of this 
chapter.
    Instructor Engineer means a person who
    (1) Is a qualified locomotive engineer under this part,
    (2) Has been selected by the railroad to teach others proper train 
handling procedures, and

[[Page 523]]

    (3) Has demonstrated an adequate knowledge of the subjects under 
instruction.
    Joint Operations means rail operations conducted by more than one 
railroad on the same track regardless of whether such operations are the 
result of--
    (1) Contractual arrangement between the railroads,
    (2) Order of a governmental agency or a court of law, or
    (3) Any other legally binding directive.
    Knowingly means having actual knowledge of the facts giving rise to 
the violation or that a reasonable person acting in the circumstances, 
exercising due care, would have had such knowledge.
    Locomotive means a piece of on-track equipment, other than hi-rail 
or specialized maintenance equipment
    (1) With one or more propelling motors designed for moving other 
equipment;
    (2) With one or more propelling motors designed to carry freight or 
passenger traffic or both; or
    (3) Without propelling motors but with one or more control stands.
    Locomotive engineer means any person who moves a locomotive or group 
of locomotives regardless of whether they are coupled to other rolling 
equipment except:
    (1) A person who moves a locomotive or group of locomotives within 
the confines of a locomotive repair or servicing area as provided for in 
49 CFR 218.5(f) and 218.29(a)(1); or
    (2) A person who moves a locomotive or group of locomotives for 
distances of less than 100 feet and this incidental movement of a 
locomotive or locomotives is for inspection or maintenance purposes.
    Main track means a track upon which the operation of trains is 
governed by one or more of the following methods of operation: 
timetable; mandatory directive; signal indication; or any form of 
absolute or manual block system.
    Medical examiner means a person licensed as a doctor of medicine or 
doctor of osteopathy. A medical examiner can be a qualified full-time 
salaried employee of a railroad, a qualified practitioner who contracts 
with the railroad on a fee-for-service or other basis, or a qualified 
practitioner designated by the railroad to perform functions in 
connection with medical evaluations of employees. As used in this rule, 
the medical examiner owes a duty to the railroad to make an honest and 
fully informed evaluation of the condition of an employee.
    Newly hired employee is any person who is hired with no prior 
railroad experience, or one with less than one year of experience in 
transportation service on that railroad or another railroad.
    Railroad means all forms of non-highway ground transportation that 
run on rails or electromagnetic guideways, including
    (1) Commuter or other short-haul rail passenger service in a 
metropolitan or suburban area and
    (2) High speed ground transportation systems that connect 
metropolitan areas, without regard to whether they use new technologies 
not associated with traditional railroads.

Such term does not include rapid transit operations within an urban area 
that are not connected to the general railroad system of transportation.
    Railroad Officer means any supervisory employee of a railroad.
    Segment means any portion of a railroad assigned to the supervision 
of one superintendent or equivalent transportation officer.
    Substance abuse disorder refers to a psychological or physical 
dependence on alcohol or a drug or another identifiable and treatable 
mental or physical disorder involving the abuse of alcohol or drugs as a 
primary manifestation. A substance abuse disorder is ``active'' within 
the meaning of this part if the person (1) is currently using alcohol 
and other drugs, except under medical supervision consistent with the 
restrictions described in Sec. 219.103 of this chapter or (2) has failed 
to successfully complete primary treatment or successfully participate 
in aftercare as directed by an EAP Counselor.
    Type I Simulator means a replica of the control compartment of a 
locomotive with all associated control equipment that:
    (1) Functions in response to a person's manipulation and causes the

[[Page 524]]

gauges associated with such controls to appropriately respond to the 
consequences of that manipulation;
    (2) Pictorially, audibly and graphically illustrates the route to be 
taken;
    (3) Graphically, audibly, and physically illustrates the 
consequences of control manipulations in terms of their effect on train 
speed, braking capacity, and in-train force levels throughout the train; 
and
    (4) Is computer enhanced so that it can be programmed for specific 
train consists and the known physical characteristics of the line 
illustrated.
    Type II Simulator means a replica of the control equipment for a 
locomotive that:
    (1) Functions in response to a person's manipulation and causes the 
gauges associated with such controls to appropriately respond to the 
consequences of that manipulation;
    (2) Pictorially, audibly, and graphically illustrates the route to 
be taken;
    (3) Graphically and audibly illustrates the consequences of control 
manipulations in terms of their effect on train speed braking capacity, 
and in-train force levels throughout the train; and
    (4) Is computer enhanced so that it can be programmed for specific 
train consists and the known physical characteristics of the line 
illustrated.
    Type III Simulator means a replica of the control equipment for a 
locomotive that:
    (1) Functions in response to a person's manipulation and causes the 
gauges associated with such controls to appropriately respond to the 
consequences of that manipulation;
    (2) Graphically illustrates the route to be taken;
    (3) Graphically illustrates the consequences of control 
manipulations in terms of their effect on train speed braking capacity, 
and in-train force levels throughout the train; and
    (4) Is computer enhanced so that it can be programmed for specific 
train consists and the known physical characteristics of the line 
illustrated.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19002, Apr. 9, 1993; 60 
FR 53136, Oct. 12, 1995]



Sec. 240.9  Waivers.

    (a) Any person may petition the Federal Railroad Administration for 
a waiver of compliance with any requirement prescribed in this part.
    (b) Each petition for a waiver under this section must be filed in 
the manner and contain the information required by part 211 of this 
chapter.
    (c) If the Administrator finds that a waiver of compliance is in the 
public interest and is consistent with railroad safety, he or she may 
grant the waiver subject to any conditions he or she deems necessary.



Sec. 240.11  Consequences for noncompliance.

    (a) Any person (an entity of any type covered under 1 U.S.C. 1, 
including but not limited to the following: a railroad; a manager, 
supervisor, official, or other employee or agent of a railroad; any 
owner, manufacturer, lessor, or lessee of railroad equipment, track, or 
facilities; any independent contractor providing goods or services to a 
railroad; and any employee of such owner, manufacturer, lessor, lessee, 
or independent contractor) who violates any requirement of this part or 
causes the violation of any such requirement is subject to a civil 
penalty of at least $500, but not more than $11,000 per violation, 
except that: Penalties may be assessed against individuals only for 
willful violations, and, where a grossly negligent violation or a 
pattern of repeated violations has created an imminent hazard of death 
or injury to persons, or has caused death or injury, a penalty not to 
exceed $22,000 per violation may be assessed. Each day a violation 
continues shall constitute a separate offense. Appendix A is a statement 
of policy that contains a schedule of civil penalty amounts used in 
connection with this rule.
    (b) Any person (including a railroad and any manager, supervisor, 
official, or other employee or agent of a railroad) who violates any 
requirement of this part or causes the violation of any such requirement 
may be subject to disqualification from all safety-sensitive service in 
accordance with part 209 of this chapter.
    (c) Any person (including a railroad and any manager, supervisor, 
official,

[[Page 525]]

or other employee or agent of a railroad) who knowingly and willfully 
falsifies any record required by this part may be subject to criminal 
penalties under the provisions of 45 U.S.C. 438.
    (d) In addition to the enforcement methods referred to in paragraphs 
(a), (b), and (c) of this section, FRA may also address violations of 
this part by use of the emergency order, compliance order, and/or 
injunctive provisions of the Federal Railroad Safety Act.

[56 FR 28254, June 19, 1991, as amended at 63 FR 11624, Mar. 10, 1998]



Sec. 240.13  Information collection requirements.

    (a) The information collection requirements of this part were 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.) and are 
assigned OMB control number 2130-0533.
    (b) The information collection requirements are found in the 
following sections: Secs. 240.101, 240.103, 240.105, 240.107, 240.109, 
240.111, 240.113, 240.115, 240.117, 240.119, 240.121, 240.123, 240.125, 
240.127, 240.129, 240.201, 240.205, 240.207, 240.209, 240.211, 240.213, 
240.215, 240.219, 240.221, 240.223, 240.227, 240.229, 240.301, 240.303, 
240.305, 240.307, 240.309, 240.401, 240.403, 240.405, 240.407, 240.411.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19003, Apr. 9, 1993]



       Subpart B--Component Elements of the Certification Process



Sec. 240.101  Certification program required.

    (a) After September 17, 1991, each railroad in operation on that 
date and subject to this part shall have in effect a written program for 
certifying the qualifications of locomotive engineers.
    (b) A railroad commencing operations after September 17, 1991, shall 
have such a program in effect prior to commencing operations.
    (c) After the pertinent date specified in paragraph (e), (f), or (g) 
of Sec. 240.201, each railroad shall have a certification program 
approved in accordance with Sec. 240.103 that includes:
    (1) A procedure for designating any person it determines to be 
qualified as a supervisor of locomotive engineers that complies with the 
criteria established in Sec. 240.105;
    (2) A designation of the classes of service that it determines will 
be used in compliance with the criteria established in Sec. 240.107;
    (3) A procedure for evaluating prior safety conduct that complies 
with the criteria established in Sec. 240.109;
    (4) A procedure for evaluating visual and hearing acuity that 
complies with the criteria established in Sec. 240.121;
    (5) A procedure for training that complies with the criteria 
established in Sec. 240.123;
    (6) A procedure for knowledge testing that complies with the 
criteria established in Sec. 240.125;
    (7) A procedure for skill performance testing that complies with the 
criteria established in Sec. 240.127; and
    (8) A procedure for monitoring operational performance that complies 
with the criteria established in Sec. 240.129.



Sec. 240.103  Approval of design of individual railroad programs by FRA.

    (a) Each railroad shall submit its written program and a description 
of how its program conforms to the specific requirements of this part in 
accordance with the procedures contained in appendix B and the following 
schedule:
    (1) A Class I railroad (including National Railroad Passenger 
Corporation) and a railroad providing commuter service shall submit no 
later than November 15, 1991;
    (2) A Class II railroad shall submit no later than May 1, 1992; and
    (3) A Class III railroad (including a switching and terminal 
railroad or any other railroad not otherwise classified) shall submit no 
later than November 1, 1992.
    (4) A railroad commencing operations after the pertinent date 
previously specified in this paragraph shall submit its certification 
program for approval at least 60 days before commencing operations.
    (b) That submission shall state the railroad's election either:
    (1) To accept responsibility for the training of student engineers 
and

[[Page 526]]

thereby obtain authority for that railroad to initially certify a person 
as an engineer in an appropriate class of service, or
    (2) To recertify only engineers previously certified by other 
railroads.

A railroad that elects to accept responsibility for the training of 
student engineers shall state in its submission whether it will conduct 
the training program or employ a training program conducted by some 
other entity on its behalf but adopted and ratified by that railroad.
    (c) A railroad's program is considered approved and may be 
implemented thirty days after the required filing date (or the actual 
filing date) unless the Administrator notifies the railroad in writing 
that the program does not conform to the criteria set forth in this 
part.
    (1) If the Administrator determines that the program does not 
conform, the Administrator will inform the railroad of the specific 
deficiencies.
    (2) If the Administrator informs the railroad of deficiencies more 
than 30 days after the initial filing date, the original program may 
remain in effect until 30 days after approval of the revised program is 
received.
    (d) A railroad shall resubmit its program within 30 days after the 
date of such notice of deficiencies. A failure to resubmit the program 
with the necessary revisions will be considered a failure to implement a 
program under this part.
    (1) The Administrator will inform the railroad in writing whether 
its revised program conforms with this part.
    (2) If the program does not conform, the railroad shall resubmit its 
program.
    (e) A railroad that intends to materially modify its program after 
receiving initial FRA approval shall submit a description of how it 
intends to modify the program in conformity with the specific 
requirements of this part at least 30 days prior to implementing such a 
change.
    (1) A modification is material if it would affect the program's 
conformance with this part.
    (2) The modification submission shall contain a description that 
conforms with the pertinent portion of the procedures contained in 
appendix B.
    (3) The modification submission will be handled in accordance with 
the procedures of paragraphs (c) and (d) of this section as though it 
were a new program.



Sec. 240.105  Criteria for selection of designated supervisors of locomotive engineers.

    (a) Each railroad's program shall include criteria and procedures 
for implementing this section.
    (b) The railroad shall examine any person it is considering for 
qualification as a supervisor of locomotive engineers to determine that 
he or she:
    (1) Knows and understands the requirements of this part;
    (2) Can appropriately test and evaluate the knowledge and skills of 
locomotive engineers;
    (3) Has the necessary supervisory experience to prescribe 
appropriate remedial action for any noted deficiencies in the training, 
knowledge or skills of a person seeking to obtain or retain 
certification; and
    (4) Is a certified engineer.



Sec. 240.107  Criteria for designation of classes of service.

    (a) Each railroad's program shall state which of the three classes 
of service, provided for in paragraph (b) of this section, that it will 
cover.
    (b) A railroad may issue certificates for any or all of the 
following classes of service:
    (1) Train service engineers,
    (2) Locomotive servicing engineers, and
    (3) Student engineers.
    (c) The following operational constraints apply to each class of 
service:
    (1) Train service engineers may operate locomotives singly or in 
multiples and may move them with or without cars coupled to them;
    (2) Locomotive servicing engineers may operate locomotives singly or 
in multiples but may not move them with cars coupled to them; and
    (3) Student engineers may operate only under direct and immediate 
supervision of an instructor engineer.

[[Page 527]]

    (d) Each railroad is authorized to impose additional conditions or 
operational restrictions on the service an engineer may perform beyond 
those identified in this section provided those conditions or 
restrictions are not inconsistent with this part.



Sec. 240.109  General criteria for eligibility based on prior safety conduct.

    (a) Each railroad's program shall include criteria and procedures to 
implement this section.
    (b) A railroad shall evaluate the prior safety conduct of any person 
it is considering for qualification as a locomotive engineer and the 
program shall require that a person is ineligible if the person has an 
adverse record of prior safety conduct as provided for in Sec. 240.115, 
Sec. 240.117, or Sec. 240.119.
    (c) The program shall require evaluation of data which reflect the 
person's prior safety conduct as a railroad employee and the person's 
prior safety conduct as an operator of a motor vehicle, provided that 
there is relevant prior conduct. The information to be evaluated shall 
include:
    (1) The relevant data furnished from the evaluating railroad's own 
records, if the person was previously an employee of that railroad;
    (2) The relevant data furnished by any other railroad formerly 
employing the person; and
    (3) The relevant data furnished by any governmental agency with 
pertinent motor vehicle driving records.
    (d) The railroad's process for evaluating information concerning 
prior safety conduct shall be designed to conform wherever necessary 
with the procedural requirements of Sec. 240.111, Sec. 240.113, 
Sec. 240.115, Sec. 240.117, Sec. 240.119, and Sec. 240.217.
    (e) When eva1uating a person's motor vehicle driving record or a 
person's railroad employment record, a railroad shall not consider 
information concerning motor vehicle driving incidents or prior railroad 
safety conduct that
    (1) Occurred prior to the effective date of this rule; or
    (2) Occurred at a time other than that specifically provided for in 
Sec. 240.115, Sec. 240.117 or Sec. 240.119 of this subpart.
    (f) A railroad's program shall provide a candidate for certification 
or recertification a reasonable opportunity to review and comment in 
writing on any record which contains information concerning the person's 
prior safety conduct, including information pertinent to determinations 
required under Sec. 240.119 of this subpart, if the railroad believes 
the record contains information that could be sufficient to render the 
person ineligible for certification under this subpart.
    (g) The opportunity for comment shall be afforded to the person 
prior to the railroad's rendering its eligibility decision based on that 
information. Any responsive comment furnished shall be retained by the 
railroad in accordance with Sec. 240.215 of this part.
    (h) The program shall include a method for a person to advise the 
railroad that he or she has never been a railroad employee or obtained a 
license to drive a motor vehicle. Nothing in this section shall be 
construed as imposing a duty or requirement that a person have prior 
railroad employment experience or obtain a motor vehicle driver's 
license in order to become a certified locomotive engineer.
    (i) Nothing in this section, Sec. 240.111, or Sec. 240.113 shall be 
construed to prevent persons subject to this part from entering into an 
agreement that results in a railroad's obtaining the information needed 
for compliance with this subpart in a different manner than that 
prescribed in Sec. 240.111 or Sec. 240.113.



Sec. 240.111  Individual's duty to furnish data on prior safety conduct as motor vehicle operator.

    (a) Except for initial certifications under paragraph (b), (h), or 
(i) of Sec. 240.201 or for persons covered by Sec. 240.109(h), each 
person seeking certification or recertification under this part shall, 
within 180 days preceding the date of the railroad's decision on 
certification or recertification:
    (1) Take the actions required by paragraphs (b) through (h) or 
paragraph (g) of this section to make information concerning his or her 
driving record available to the railroad that is considering such 
certification or recertification; and

[[Page 528]]

    (2) Take any additional actions, including providing any necessary 
consent required by State or Federal law to make information concerning 
his or her driving record available to that railroad.
    (b) Each person seeking certification or recertification under this 
part shall:
    (1) Request, in writing, that the chief of each driver licensing 
agency identified in paragraph (c) of this section provide a copy of 
that agency's available information concerning his or her driving record 
to the railroad that is considering such certification or 
recertification; and
    (2) Request, in accordance with the provisions of paragraph (d) or 
(e) of this section, that a check of the National Driver Register be 
performed to identify additional information concerning his or her 
driving record and that any resulting information be provided to that 
railroad.
    (c) Each person shall request the information required under 
paragraph (b)(1) of this section from:
    (1) The chief of the driver licensing agency which last issued that 
person a driver's license; and
    (2) The chief of the driver licensing agency of any other state or 
states that issued or reissued him or her a driver's license within the 
preceding five years.
    (d) Each person shall request the information required under 
paragraph (b)(2) of this section from the Chief, National Driver 
Register, National Highway Traffic Safety Administration, 400 Seventh 
Street, SW., Washington, DC 20590 in accordance with the procedures 
contained in appendix C unless the person's motor vehicle driving 
license was issued by one of the driver licensing agencies identified in 
appendix D.
    (e) If the person's motor vehicle driving license was issued by one 
of the driver licensing agencies identified in appendix D, the person 
shall request the chief of that driver licensing agency to perform a 
check of the National Driver Register for the possible existence of 
additional information concerning his or her driving record and to 
provide the resulting information to the railroad.
    (f) If advised by the railroad that a driver licensing agency or the 
National Highway Traffic Safety Administration has informed the railroad 
that additional information concerning that person's driving history may 
exist in the files of a state agency not previously contacted in 
accordance with this section, such person shall:
    (1) Request in writing that the chief of the state agency which 
compiled the information provide a copy of the available information to 
the prospective certifying railroad; and
    (2) Take any additional action required by State or Federal law to 
obtain that additional information.
    (g) Any person who has never obtained a motor vehicle driving 
license is not required to comply with the provisions of paragraph (b) 
of this section but shall notify the railroad of that fact in accordance 
with procedures of the railroad that comply with Sec. 240.109(d).
    (h) The actions required for compliance with paragraph (a) of this 
section shall be undertaken within the 180 days preceding the date of 
the railroad's decision concerning certification or recertification.



Sec. 240.113  Individual's duty to furnish data on prior safety conduct as an employee of a different railroad.

    (a) Except for initial certifications under paragraph (b), (h), or 
(i) of Sec. 240.201 or for persons covered by Sec. 240.109(h), each 
person seeking certification or recertification under this part shall, 
within 180 days preceding the date of the railroad's decision on 
certification or recertification:
    (1) Take the actions required by paragraph (b) of this section to 
make information concerning his or her prior railroad service record 
available to the railroad that is considering such certification or 
recertification; and
    (2) Take any additional actions, including providing any necessary 
consent required by State or Federal law to make information concerning 
his or her service record available to that railroad.
    (b) Each person seeking certification or recertification under this 
part shall

[[Page 529]]

request, in writing, that the chief operating officer or other 
appropriate person of the former employing railroad provide a copy of 
that railroad's available information concerning his or her service 
record to the railroad that is considering such certification or 
recertification.



Sec. 240.115  Criteria for consideration of prior safety conduct as a motor vehicle operator.

    (a) Each railroad's program shall include criteria and procedures 
for implementing this section.
    (b) When evaluating a person's motor vehicle driving record, a 
railroad shall not consider information concerning motor vehicle driving 
incidents that occurred more than 36 months before the month in which 
the railroad is making its certification decision and shall only 
consider information concerning the following types of motor vehicle 
incidents:
    (1) A conviction for, or completed state action to cancel, revoke, 
suspend, or deny a motor vehicle drivers license for, operating a motor 
vehicle while under the influence of or impaired by alcohol or a 
controlled substance;
    (2) A conviction for, or completed state action to cancel, revoke, 
suspend, or deny a motor vehicle driver's license for, refusal to 
undergo such testing as is required by State law when a law enforcement 
official seeks to determine whether a person is operating a vehicle 
while under the influence of alcohol or a controlled substance.
    (c) If such an incident is identified,
    (1) The railroad shall provide the data to the railroad's EAP 
Counselor, together with any information concerning the person's 
railroad service record, and shall refer the person for evaluation to 
determine if the person has an active substance abuse disorder;
    (2) The person shall cooperate in the evaluation and shall provide 
any requested records of prior counseling or treatment for review 
exclusively by the EAP Counselor in the context of such evaluation; and
    (3) If the person is evaluated as not currently affected by an 
active substance abuse disorder, the subject data shall not be 
considered further with respect to certification. However, the railroad 
shall, on recommendation of the EAP Counselor, condition certification 
upon participation in any needed aftercare and/or follow-up testing for 
alcohol or drugs deemed necessary by the EAP Counselor consistent with 
the technical standards specified in Sec. 240.119(d)(3) of this part.
    (4) If the person is evaluated as currently affected by an active 
substance abuse disorder, the person shall not be currently certified 
and the provisions of Sec. 240.119(b) will apply.



Sec. 240.117  Criteria for consideration of operating rules compliance data.

    (a) Each railroad's program shall include criteria and procedures 
for implementing this section.
    (b) A person who has demonstrated a failure to comply, as described 
in paragraph (e) of this section, with railroad rules and practices for 
the safe operation of trains shall not be currently certified as a 
locomotive engineer.
    (c) A certified engineer who has demonstrated a failure to comply, 
as described in paragraph (e) of this section, with railroad rules and 
practices for the safe operation of trains shall have certification 
revoked.
    (d) Limitations on consideration of prior operating rule compliance 
data. Except as provided for in paragraph (i) of this section, in 
determining whether a person may be or remain certified as a locomotive 
engineer, a railroad shall consider as operating rule compliance data 
only conduct described in paragraph (e) of this section that occurred 
within a period of 60 consecutive months prior to the determination. A 
review of an existing certification shall be initiated promptly upon the 
occurrence and documentation of any conduct described in this paragraph.
    (e) A railroad shall consider violations of its operating rules and 
practices that involve:
    (1) Failure to control a locomotive or train in accordance with a 
signal indication that requires a complete stop before passing it;
    (2) Failure to adhere to limitations concerning train speed when the 
speed at which the train was operated exceeds the maximum authorized 
limit by at least 10 miles per hour or by

[[Page 530]]

more than one half of the authorized speed, whichever is less;
    (3) Failure to adhere to procedures for the safe use of train or 
engine brakes when the procedures are required for compliance with the 
transfer, initial, or intermediate terminal test provisions of 49 CFR 
part 232 (see 49 CFR 232.12 and 232.13);
    (4) Occupying main track without proper authority;
    (5) Failure to comply with prohibitions against tampering with 
locomotive mounted safety devices; and
    (6) Incidents of noncompliance with Sec. 219.101 of this chapter; 
however such incidents shall be considered as a violation only for the 
purposes of paragraphs (g)(2) and (3) of this section.
    (f) If in any single incident the person's conduct contravened more 
than one operating rule or practice, that event shall be treated as a 
single violation for the purposes of this section.
    (g) A period of ineligibility described in this paragraph shall:
    (1) Begin, for a person not currently certified, on the date of the 
railroad's written determination that the most recent incident has 
occurred; or
    (2) Begin, for a person currently certified, on the date of the 
railroad's notification to the person that recertification has been 
denied or certification has been revoked; and
    (3) Be determined according to the following standards:
    (i) In the case of a single incident involving violation of one or 
more of the operating rules or practices described paragraphs (e)(1) 
through (e)(5) of this section, the person shall be ineligible to hold a 
certificate for a period of one month.
    (ii) In the case of two separate incidents involving violations of 
one or more of the operating rules on practices described in paragraph 
(e) of this section that occurred within 36 months of each other, the 
person shall be ineligible to hold a certificate for a period of one 
year.
    (iii) In the case of more than two such violations in any 
consecutive 60 month interval, the person shall be ineligible to hold a 
certificate for a period of five years.
    (iv) Where, based on the occurrence of violations described in 
subparagraph (e)(6) of this section, different periods of ineligibility 
may result under the provisions of this section and Sec. 240.119, the 
longer period of ineligibility shall control.
    (h) Future eligibility to hold certificate. Only a person whose 
certification has been denied or revoked for a period of one year in 
accordance with the provisions of paragraph (g)(2) of this section for 
reasons other than noncompliance with Sec. 219.101 of this Chapter shall 
be eligible for grant or reinstatement of the certificate prior to the 
expiration of the initial period of ineligibility. Such a person shall 
not be eligible for grant or reinstatement unless and until--
    (1) The person has been evaluated by a designated supervisor of 
locomotive engineers and determined to have received adequate remedial 
training;
    (2) The person has successfully completed any mandatory program of 
training or retraining, if that was determined to be necessary by the 
railroad prior to return to service; and
    (3) At least one half the pertinent period of ineligibility 
specified in paragraph (g)(2) of this section has elapsed.
    (i) In no event shall incidents that meet the criteria of paragraphs 
(i)(1) through (4) of this section be considered as prior incidents for 
the purposes of paragraph (g)(3) of this section even though such 
incidents could have been or were validly determined to be violations at 
the time they occurred. Incidents that shall not be considered under 
paragraph (g)(3) of this section are those that:
    (1) Occurred prior to (effective date of this amendment);
    (2) Involved violations of one or more of the following operating 
rules or practices:
    (i) Failure to control a locomotive or train in accordance with a 
signal indication;
    (ii) Failure to adhere to limitations concerning train speed;
    (iii) Failure to adhere to procedures for the safe use of train or 
engine brakes; or
    (iv) Entering track segment without proper authority;
    (3) Were or could have been found to be violations under this 
section as it read prior to May 10, 1993; and

[[Page 531]]

    (4) Would not be a violation of paragraph (e) of this section as 
amended.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19003, Apr. 9, 1993]



Sec. 240.119  Criteria for consideration of data on substance abuse disorders and alcohol/drug rules compliance.

    (a) Each railroad's program shall include criteria and procedures 
for implementing this section.
    (b) Fitness requirement. (1) A person who has an active substance 
abuse disorder shall not be currently certified as a locomotive 
engineer.
    (2) Except as provided in paragraph (e) of this section, a certified 
engineer who is determined to have an active substance abuse disorder 
shall be suspended from certification. Consistent with other provisions 
of this part, certification may be reinstated as provided in paragraph 
(d) of this section.
    (3) In the case of a current employee of the railroad evaluated as 
having an active substance abuse disorder (including a person identified 
under the procedures of Sec. 240.115), the employee may, if otherwise 
eligible, voluntarily self-refer for substance abuse counseling or 
treatment under the policy required by Sec. 219.403 of this chapter; and 
the railroad shall then treat the substance abuse evaluation as 
confidential except with respect to current ineligibility for 
certification.
    (c) Prior alcohol/drug conduct; Federal rule compliance. (1) In 
determining whether a person may be or remain certified as a locomotive 
engineer, a railroad shall consider conduct described in paragraph 
(c)(2) of this section that occurred within a period of 60 consecutive 
months prior to the review. A review of certification shall be initiated 
promptly upon the occurrence and documentation of any incident of 
conduct described in this paragraph.
    (2) A railroad shall consider any violation of Sec. 219.101 or 
Sec. 219.102 of this chapter and any refusal or failure to provide a 
breath or body fluid sample for testing under the requirements of part 
219 of this chapter when instructed to do so by a railroad 
representative.
    (3) A period of ineligibility described in this paragraph shall:
    (i) Begin, for a person not currently certified, on the date of the 
railroad's written determination that the most recent incident has 
occurred; or
    (ii) Begin, for a person currently certified, on the date of the 
railroad's notification to the person that recertification has been 
denied or certification has been revoked; and
    (4) The period of ineligibility described in this paragraph shall be 
determined in accordance with the following standards:
    (i) In the case of a single violation of Sec. 219.102 of this 
chapter, the person shall be ineligible to hold a certificate during 
evaluation and any required primary treatment as described in paragraph 
(d) of this section. In the case of two violations of Sec. 219.102, the 
person shall be ineligible to hold a certificate for a period of two 
years. In the case of more than two such violations, the person shall be 
ineligible to hold a certificate for a period of five years.
    (ii) In the case of one violation of Sec. 219.102 of this chapter 
and one violation of Sec. 219.101 of this chapter, the person shall be 
ineligible to hold a certificate for a period of three years.
    (iii) In the case of one violation of Sec. 219.101 of this chapter, 
the person shall be ineligible to hold a certificate for a period of 9 
months (unless identification of the violation was through a qualifying 
``co-worker report'' as described in Sec. 219.405 of this chapter and 
the engineer waives investigation, in which case the certificate shall 
be deemed suspended during evaluation and any required primary treatment 
as described in paragraph (d)). In the case of two or more violations of 
Sec. 219.101, the person shall be ineligible to hold a certificate for a 
period of five years.
    (iv) In the case of a refusal or failure to provide a breath or body 
fluid sample for testing under the requirements of part 219 of this 
chapter when instructed to do so by a railroad representative, the 
refusal or failure shall be treated for purposes of ineligibility under 
this paragraph in the same manner as a violation of--
    (A) Sec. 219.102, in the case of a refusal or failure to provide a 
urine specimen for testing; or

[[Page 532]]

    (B) Sec. 219.101, in the case of a refusal or failure to provide a 
breath sample (subpart D), or a blood specimen for mandatory post-
accident toxicological testing (subpart C)).
    (d) Future eligibility to hold certificate following alcohol/drug 
violation. The following requirements apply to a person who has been 
denied certification or who has had certification suspended or revoked 
as a result of conduct described in paragraph (c) of this section:
    (1) The person shall not be eligible for grant or reinstatement of 
the certificate unless and until the person has--
    (i) Been evaluated by an EAP Counselor to determine if the person 
currently has an active substance abuse disorder;
    (ii) Successfully completed any program of counseling or treatment 
determined to be necessary by the EAP Counselor prior to return to 
service; and
    (iii) Presented a urine sample for testing under Subpart H of this 
part that tested negative for controlled substances assayed and has 
tested negative for alcohol under paragraph (d)(4) of this section.
    (2) An engineer placed in service or returned to service under the 
above-stated conditions shall continue in any program of counseling or 
treatment deemed necessary by the EAP Counselor and shall be subject to 
a reasonable program of follow-up alcohol and drug testing without prior 
notice for a period of not more than 60 months following return to 
service. Follow-up tests shall include not fewer than 6 alcohol tests 
and 6 drug tests during the first 12 months following return to service.
    (3) Return-to-service and follow-up alcohol and drug tests shall be 
performed consistent with the requirements of subpart H of part 219 of 
this chapter.
    (4) This paragraph does not create an entitlement to utilize the 
services of a railroad EAP Counselor, to be afforded leave from 
employment for counseling or treatment, or to employment as a locomotive 
engineer. Nor does it restrict any discretion available to the railroad 
to take disciplinary action based on conduct described herein.
    (e) Confidentiality protected. Nothing in this part shall affect the 
responsibility of the railroad under Sec. 219.403 of this chapter 
(``Voluntary Referral Policy'') to treat voluntary referrals for 
substance abuse counseling and treatment as confidential; and the 
certification status of an engineer who is successfully assisted under 
the procedures of that section shall not be adversely affected. However, 
the railroad shall include in its voluntary referral policy required to 
be issued pursuant to Sec. 219.403 of this chapter a provision that, at 
least with respect to a certified locomotive engineer or a candidate for 
certification, the policy of confidentiality is waived (to the extent 
that the railroad shall receive from the EAP Counselor official notice 
of the substance abuse disorder and shall suspend or revoke the 
certification, as appropriate) if the person at any time refuses to 
cooperate in a recommended course of counseling or treatment.

[56 FR 28254, June 19, 1991, as amended at 60 FR 53136, Oct. 12, 1995; 
62 FR 63467, Dec. 1, 1997]



Sec. 240.121  Criteria for vision and hearing acuity data.

    (a) Each railroad's program shall include criteria and procedures 
implementing this section.
    (b) Fitness requirement. A person who does not have visual acuity 
and hearing acuity that meets or exceeds the levels prescribed in this 
section shall not, except as permitted by paragraph (e) of this section, 
currently be certified as a locomotive engineer.
    (c) Except as provided in paragraph (e), each person shall have 
visual acuity that meets or exceeds the following thresholds:
    (1) For distant viewing either
    (i) Distant visual acuity of at least 20/40 (Snellen) in each eye 
without corrective lenses or
    (ii) Distant visual acuity separately corrected to at least 20/40 
(Snellen) with corrective lenses and distant binocular acuity of at 
least 20/40 (Snellen) in both eyes with or without corrective lenses;
    (2) A field of vision of at least 70 degrees in the horizontal 
meridian in each eye; and

[[Page 533]]

    (3) The ability to recognize and distinguish between the colors of 
signals.
    (d) Except as provided in paragraph (e) of this section, each person 
shall have hearing acuity that meets or exceeds the following thresholds 
when tested by use of an audiometric device (calibrated to American 
National Standard Specification for Audiometers, S3.6-1969): the person 
does not have an average hearing loss in the better ear greater than 40 
decibels at 500Hz, 1,000 Hz, and 2,000 Hz with or without use of a 
hearing aid.
    (e) A person not meeting the thresholds in paragraphs (c) and (d) of 
this section may be subject to further medical evaluation by a 
railroad's medical examiner to determine that person's ability to safely 
operate a locomotive. If the medical examiner concludes that, despite 
not meeting the threshold(s), the person has the ability to safely 
operate a locomotive, the person may be certified as a locomotive 
engineer and such certification conditioned on any special restrictions 
the medical examiner determines in writing to be necessary.



Sec. 240.123  Criteria for initial and continuing education.

    (a) Each railroad's program shall include criteria and procedures 
for implementing this section.
    (b) A railroad shall provide for the continuing education of 
certified locomotive engineers to ensure that each engineer maintains 
the necessary knowledge, skill and ability concerning personal safety, 
operating rules and practices, mechanical condition of equipment, 
methods of safe train handling (including familiarity with physical 
characteristics), and relevant Federal safety rules.
    (c) A railroad that elects to train a previously untrained person to 
be a locomotive engineer shall provide initial training which, at a 
minimum:
    (1) Is composed of classroom, skill performance, and familiarization 
with physical characteristics components;
    (2) Includes both knowledge and performance skill testing;
    (3) Is conducted under the supervision of a qualified class 
instructor;
    (4) Is subdivided into segments or periods of appropriate duration 
to effectively cover the following subject matter areas:
    (i) Personal safety,
    (ii) Railroad operating rules,
    (iii) Mechanical condition of equipment,
    (iv) Train handling procedures (including use of locomotive and 
train brake systems),
    (v) Familiarization with physical characteristics including train 
handling, and
    (vi) Compliance with Federal regulations;
    (5) Is conducted so that the performance skill component shall
    (i) Be under the supervision of a qualified instructor engineer 
located in the same control compartment whenever possible;
    (ii) Place the student engineer at the controls of a locomotive for 
a significant portion of the time; and
    (iii) Permit the student to experience whatever variety of types of 
trains are normally operated by the railroad.



Sec. 240.125  Criteria for testing knowledge.

    (a) Each railroad's program shall include criteria and procedures 
for implementing this section.
    (b) A railroad shall have procedures for testing a person being 
evaluated for qualification as a locomotive engineer in either train or 
locomotive service to determine that the person has sufficient knowledge 
of the railroad's rules and practices for the safe operation of trains.
    (c) The testing methods selected by the railroad shall be:
    (1) Designed to examine a person's knowledge of the railroad's rules 
and practices for the safe operation of trains;
    (2) Objective in nature;
    (3) Administered in written form;
    (4) Cover the following subjects:
    (i) Personal safety practices;
    (ii) Operating practices;
    (iii) Equipment inspection practices;
    (iv) Train handling practices including familiarity with the 
physical characteristics of the territory; and
    (v) Compliance with Federal safety rules;

[[Page 534]]

    (5) Sufficient to accurately measure the person's knowledge of the 
covered subjects; and
    (6) Conducted without open reference books or other materials except 
to the degree the person is being tested on his or her ability to use 
such reference books or materials.
    (d) The conduct of the test shall be documented in writing and the 
documentation shall contain sufficient information to identify the 
relevant facts relied on for evaluation purposes.



Sec. 240.127  Criteria for examining skill performance.

    (a) Each railroad's program shall include criteria and procedures 
for implementing this section.
    (b) A railroad shall have procedures for examining the performance 
skills of a person being evaluated for qualification as a locomotive 
engineer in either train or locomotive service to determine whether the 
person has the skills to safely operate locomotives and/or trains, 
including the proper application of the railroad's rules and practices 
for the safe operation of locomotives or trains, in the most demanding 
class or type of service that the person will be permitted to perform.
    (c) The testing procedures selected by the railroad shall be:
    (1) Designed to examine a person's skills in safely operating 
locomotives or trains including the proper application of the railroad's 
rules and practices for the safe operation of locomotives or trains when 
performing the most demanding class or type of service that the person 
will be permitted to perform;
    (2) Conducted by a designated supervisor of locomotive engineers;
    (3) Cover the following subjects during the test period
    (i) Operating practices;
    (ii) Equipment inspection practices;
    (iii) Train handling practices; and
    (iv) Compliance with Federal safety rules;
    (4) Be of sufficient length to effectively evaluate the person's 
ability to operate trains; and
    (5) Conducted when the person either
    (i) Is at the controls of the type of train normally operated on 
that railroad or segment of railroad and which this person might be 
permitted or required by the railroad to operate in the normal course of 
events after certification or
    (ii) Is at the controls of a Type I or Type II simulator programmed 
to replicate the responsive behavior of the type of train normally 
operated on that railroad or segment of railroad and which this person 
might be permitted or required by the railroad to operate in the normal 
course of events after certification.
    (d) The conduct of the test shall be documented in writing by the 
designated supervisor and the documentation shall contain:
    (1) The relevant facts concerning the train being operated;
    (2) The constraints applicable to its operation; and
    (3) The factors observed and relied on for evaluation purposes by 
the designated supervisor.



Sec. 240.129  Criteria for monitoring operational performance of certified engineers.

    (a) Each railroad's program shall include criteria and procedures 
for implementing this section.
    (b) A railroad shall have procedures for monitoring the operational 
performance of those it has determined as qualified as a locomotive 
engineer in either train or locomotive service.
    (c) The procedures shall:
    (1) Be designed to determine that the person possesses and routinely 
employs the skills to safely operate locomotives and/or trains, 
including the proper application of the railroad's rules and practices 
for the safe operation of locomotives and trains;
    (2) Be designed so that each engineer shall be annually monitored by 
a designated supervisor of locomotive engineers;
    (3) Be designed so that the locomotive engineer is either 
accompanied by the designated supervisor for a reasonable length of time 
or has his or her train handling activities electronically recorded by a 
train operations event recorder;
    (d) The procedures may be designed so that the locomotive engineer 
being monitored either (i) is at the controls of the type of train 
normally operated

[[Page 535]]

on that railroad or segment of railroad and which this person might be 
permitted or required by the railroad to operate in the normal course of 
events after certification or (ii) is at the controls of a Type I or 
Type II simulator programmed to replicate the responsive behavior of the 
type of train normally operated on that railroad or segment of railroad 
and which this person might be permitted or required by the railroad to 
operate in the normal course of events after certification.
    (e) The testing and examination procedures selected by the railroad 
for the conduct of a monitoring program shall be:
    (1) Designed so that each locomotive engineer shall be given at 
least one unannounced test each calendar year.
    (2) Designed to test engineer compliance with provisions of the 
railroad's operating rules that require response to signals that display 
less than a ``clear'' aspect, if the railroad operates with a signal 
system that must comply with part 236 of this chapter;
    (3) Designed to test engineer compliance with provisions of the 
railroad's operating rules, timetable or other mandatory directives that 
require affirmative response by the locomotive engineer to less 
favorable conditions than that which existed prior to initiation of the 
test;
    (4) Designed to test engineer compliance with provisions of the 
railroad's operating rules, timetable or other mandatory directives 
violation of which by engineers were cited by the railroad as the cause 
of train accidents or train incidents in accident reports filed in 
compliance with part 225 of this chapter in the preceding calendar year;
    (5) Designed so that the administration of these tests is 
effectively distributed throughout whatever portion of a 24-hour day 
that the railroad conducts its operations; and
    (6) Designed so that individual tests are administered without prior 
notice to the engineer being tested.



         Subpart C--Implementation of the Certification Process



Sec. 240.201  Schedule for implementation.

    (a) After October 30, 1991, each railroad in operation on that date 
shall designate in writing any person(s) it deems qualified as a 
designated supervisor of locomotive engineers. Each person so designated 
shall have demonstrated to the railroad through training, testing or 
prior experience that he or she has the knowledge, skills, and ability 
to be a designated supervisor of locomotive engineers.
    (b) No later than November 1, 1991, each railroad shall designate in 
writing all persons that it will deem to be qualified as certified 
locomotive engineers for the purpose of initial compliance with 
paragraph (d) of this section, except as provided for in paragraph (h) 
of this section.
    (1) Each person so designated shall have demonstrated to the 
railroad through training, testing or prior experience that he or she 
has the knowledge and skills to be a certified locomotive engineer.
    (2) Each railroad shall issue, no later than December 31, 1991, a 
certificate that complies with Sec. 240.223 to each person that it 
designates as qualified under the provisions of paragraph (b) of this 
section.
    (c) No railroad shall permit or require a person, designated as 
qualified for certification under the provisions of paragraph (b) of 
this section, to perform service as a certified locomotive or train 
service engineer for more than the 36-month period beginning on the 
pertinent date for compliance with the mandatory procedures for testing 
and evaluation set forth in the applicable provisions of paragraph (e), 
(f) or (g) of this section unless that person has been determined to be 
qualified in accordance with procedures that comply with subpart C.
    (d) After December 31, 1991, no railroad shall permit or require any 
person to operate a locomotive in any class of locomotive or train 
service unless that person has been certified as a qualified locomotive 
engineer and issued a certificate that complies with Sec. 240.223.
    (e) After December 31, 1991, no Class I railroad (including the 
National Railroad Passenger Corporation) or railroad providing commuter 
service shall designate any person it deems qualified as a designated 
supervisor of locomotive engineers or initially certify or

[[Page 536]]

recertify a person as a locomotive engineer in either locomotive or 
train service unless that person has been tested, evaluated, and 
determined to be qualified in accordance with procedures that comply 
with subpart C.
    (f) After May 31, 1992 no Class II railroad shall designate any 
person it deems qualified as a designated supervisor of locomotive 
engineers or initially certify or recertify a person as a locomotive 
engineer in any class of locomotive or train service unless that person 
has been tested, evaluated and determined to be qualified in accordance 
with procedures that comply with subpart C.
    (g) After November 30, 1992 no Class III railroad (including a 
switching and terminal or other railroad not otherwise classified) shall 
designate any person it deems qualified as a designated supervisor of 
locomotive engineers or initially certify or recertify a person as a 
locomotive engineer in any class of locomotive or train service unless 
that person has been tested, evaluated and determined to be qualified in 
accordance with procedures that comply with subpart C.
    (h) A railroad may continue to designate any person it deems 
qualified as a designated supervisor of locomotive engineers or as a 
certified engineer, on the basis of paragraph (b) determinations, prior 
to the pertinent date by which a railroad of its class must comply with 
the procedures for testing and evaluating persons required under subpart 
C. Each person designated as a locomotive engineer shall be issued a 
certificate that complies with Sec. 240.223 prior to being required or 
permitted to operate a locomotive.
    (i) A railroad commencing operations prior to the pertinent date for 
compliance by a railroad of its class may designate any person it deems 
qualified as a designated supervisor of locomotive engineers or as a 
certified locomotive engineer on the basis of paragraph (b) until the 
pertinent date for compliance with the procedures for testing and 
evaluating required under subpart C. Each person designated as a 
locomotive engineer shall be issued a certificate that complies with 
Sec. 240.223 prior to being required or permitted to operate a 
locomotive.



Sec. 240.203  Determinations required as a prerequisite to certification.

    (a) Except as provided in paragraph (c), after the pertinent date 
specified in paragraph (e), (f), or (g) of Sec. 240.201, each railroad, 
prior to initially certifying or recertifying any person as an engineer 
for any class of service, shall, in accordance with its FRA-approved 
program determine in writing that:
    (1) The individual meets the eligibility requirements of 
Secs. 240.115, 240.117 and 240.119; and
    (2) The individual meets the vision and hearing acuity standards of 
Sec. 240.121;
    (3) The individual has the necessary knowledge, as demonstrated by 
successfully completing a test that meets the requirements of 
Sec. 240.125;
    (4) The individual has the necessary applied knowledge and operating 
performance skills, as demonstrated by successfully completing an 
operational performance test that meets the requirements of 
Sec. 240.127; and
    (5) Where a person has not previously been certified, that the 
person has completed a training program that meets the requirements of 
Sec. 240.123.
    (b) A railroad may certify a person as a student engineer after 
determining that the person meets the vision and hearing acuity 
standards of Sec. 240.121. A railroad may subsequently certify that 
student engineer as either a locomotive servicing engineer or a train 
service engineer without further review of his or her acuity status 
provided it determines that:
    (1) The person successfully completed a training program that 
complies with Sec. 240.123;
    (2) The person meets the eligibility requirements of Secs. 240.109 
and 240.119; and
    (3) A period of not more than twenty-four months has elapsed since 
the student engineer certification was issued.

[56 FR 28254, June 19, 1991, as amended at 60 FR 53136, Oct. 12, 1995]



Sec. 240.205  Procedures for determining eligibility based on prior safety conduct.

    (a) After the pertinent date specified in paragraph (e), (f), or (g) 
of Sec. 240.201, each railroad, prior to initially certifying or 
recertifying any person as an

[[Page 537]]

engineer for any class of service, shall determine that the person meets 
the eligibility requirements of Sec. 240.115 involving prior conduct as 
a motor vehicle operator, Sec. 240.117 involving prior conduct as a 
railroad worker, and Sec. 240.119 involving substance abuse disorders 
and alcohol/drug rules compliance.
    (b) In order to make the determination required under paragraph (a) 
of this section, a railroad shall have on file documents pertinent to 
the determinations referred to in paragraph (a) of this section, 
including a written document from its EAP Counselor either a document 
reflecting his or her professional opinion that the person has been 
evaluated as not currently affected by a substance abuse disorder or 
that the person has been evaluated as affected by an active substance 
abuse disorder and is ineligible for certification.



Sec. 240.207  Procedures for making the determination on vision and hearing acuity.

    (a) After the pertinent date specified in paragraph (e), (f), or (g) 
of Sec. 240.201, each railroad, prior to initially certifying or 
recertifying any person as an engineer for any class of service, shall 
determine that the person meets the standards for visual acuity and 
hearing acuity prescribed in Sec. 240.121.
    (b) In order to make the determination required under paragraph (a), 
a railroad shall have on file either:
    (1) A medical examiner's certificate that the individual has been 
medically examined and meets these acuity standards; or
    (2) A written document from its medical examiner documenting his or 
her professional opinion that the person does not meet one or both 
acuity standards and stating the basis for his or her determination that
    (i) The person can nevertheless be certified under certain 
conditions or
    (ii) The person's acuity is such that he or she cannot safely 
operate a locomotive even with conditions attached.
    (c) Any examination required for compliance with this section shall 
be performed by or under the supervision of a medical examiner or a 
licensed physician's assistant such that:
    (1) A licensed optometrist or a technician responsible to that 
person may perform the portion of the examination that pertains to 
visual acuity; and
    (2) A licensed or certified audiologist or a technician responsible 
to that person may perform the portion of the examination that pertains 
to hearing acuity.
    (d) If the examination required under this section discloses that 
the person needs corrective lenses or a hearing aid, or both, either to 
meet the threshold acuity levels established in Sec. 240.121 or to meet 
a lower threshold determined by the railroad's medical examiner to be 
sufficient to safely operate a locomotive or train on that railroad, 
that fact shall be noted on the certificate issued in accordance with 
the provisions of this part.
    (e) Any person with such a certificate notation shall use the 
relevant corrective device(s) while operating a locomotive in locomotive 
or train service unless the railroad's medical examiner subsequently 
determines in writing that the person can safely operate without using 
the device.



Sec. 240.209  Procedures for making the determination on knowledge.

    (a) After the pertinent date specified in paragraph (e), (f), or (g) 
of Sec. 240.201, each railroad, prior to initially certifying or 
recertifying any person as an engineer for any class of train or 
locomotive service, shall determine that the person has, in accordance 
with the requirements of Sec. 240.125 of this part, demonstrated 
sufficient knowledge of the railroad's rules and practices for the safe 
operation of trains.
    (b) In order to make the determination required by paragraph (a) a 
railroad shall have written documentation showing that the person either
    (i) Exhibited his or her knowledge by achieving a passing grade in 
testing that complies with this part or
    (ii) Did not achieve a passing grade in such testing.
    (c) If a person fails to achieve a passing score under the testing 
procedures required by this part no railroad shall permit or require 
that person to operate a locomotive as a locomotive or train service 
engineer prior to that person's achieving a passing score during

[[Page 538]]

a reexamination of his or her knowledge.



Sec. 240.211  Procedures for making the determination on performance skills.

    (a) After the pertinent date specified in paragraph (e), (f), or (g) 
of Sec. 240.201, each railroad, prior to initially certifying or 
recertifying any person as an engineer for any class of train or 
locomotive service, shall determine that the person has demonstrated, in 
accordance with the requirements of Sec. 240.127 of this part, the 
skills to safely operate locomotives or locomotives and trains, 
including the proper application of the railroad's rules and practices 
for the safe operation of locomotives or trains, in the most demanding 
class or type of service that the person will be permitted to perform.
    (b) In order to make this determination, a railroad shall have 
written documentation showing the person either
    (i) Exhibited his or her knowledge by achieving a passing grade in 
testing that complies with this part or
    (ii) Did not achieve a passing grade in such testing.
    (c) If a person fails to achieve a passing score under the testing 
and evaluation procedures required by this part, no railroad shall 
permit or require that person to operate a locomotive as a locomotive or 
train service engineer prior to that person's achieving a passing score 
during a reexamination of his or her performance skills.
    (d) No railroad shall permit a designated supervisor of locomotive 
engineers to test, examine or evaluate his or her own performance skills 
when complying with this section.



Sec. 240.213  Procedures for making the determination on completion of training program.

    (a) After the pertinent date specified in paragraph (e), (f), or (g) 
of Sec. 240.201, each railroad, prior to the initial issuance of a 
certificate to any person as a train or locomotive service engineer, 
shall determine that the person has, in accordance with the requirements 
of Sec. 240.123 of this part, the knowledge and skills to safely operate 
a locomotive or train in the most demanding class or type of service 
that the person will be permitted to perform.
    (b) In making this determination, a railroad shall have written 
documentation showing that:
    (1) The person completed a training program that complies with 
Sec. 240.123 of this part;
    (2) The person demonstrated his or her knowledge and skills by 
achieving a passing grade under the testing and evaluation procedures of 
that training program; and
    (3) The person is familiar with the physical characteristics of the 
railroad or its pertinent segments.



Sec. 240.215  Retaining information supporting determinations.

    (a) After the pertinent date in paragraphs (e), (f) or (g) of 
Sec. 240.201, a railroad that issues, denies, or revokes a certificate 
after making the determinations required under Sec. 240.203 shall 
maintain a record for each certified engineer or applicant for 
certification that contains the information the railroad relied on in 
making the determinations.
    (b) The information concerning eligibility that the railroad shall 
retain includes:
    (1) Any relevant data from the railroad's records concerning the 
person's prior safety conduct;
    (2) Any relevant data furnished by another railroad;
    (3) Any relevant data furnished by a governmental agency concerning 
the person's motor vehicle driving record; and
    (4) Any relevant data furnished by the person seeking certification 
concerning his or her eligibility.
    (c) The information concerning vision and hearing acuity that the 
railroad shall retain includes:
    (1) The relevant test results data concerning acuity; and,
    (2) If applicable, the relevant data concerning the professional 
opinion of the railroad's medical examiner on the adequacy of the 
person's acuity.
    (d) The information concerning demonstrated knowledge that the 
railroad shall retain includes:
    (1) Any relevant data from the railroad's records concerning the 
person's

[[Page 539]]

success or failure of the passage of knowledge test(s); and
    (2) A sample copy of the written knowledge test or tests 
administered.
    (e) The information concerning demonstrated performance skills that 
the railroad shall retain includes:
    (1) The relevant data from the railroad's records concerning the 
person's success or failure on the performance skills test(s) that 
documents the relevant operating facts on which the evaluation is based 
including the observations and evaluation of the designated supervisor 
of locomotive engineers;
    (2) If a railroad relies on the use of a locomotive operations 
simulator to conduct the performance skills testing required under this 
part, the relevant data from the railroad's records concerning the 
person's success or failure on the performance skills test(s) that 
documents the relevant operating facts on which the determination was 
based including the observations and evaluation of the designated 
supervisor of locomotive engineers; and;
    (3) The relevant data from the railroad's records concerning the 
person's success or failure on tests the railroad performed to monitor 
the engineer's operating performance in accordance with Sec. 240.129.
    (f) If a railroad is relying on successful completion of an approved 
training program conducted by another entity, the relying railroad shall 
maintain a record for each certified engineer that contains the relevant 
data furnished by the training entity concerning the person's 
demonstration of knowledge and performance skills and relied on by the 
railroad in making its determinations.
    (g) If a railroad is relying on a certification decision initially 
made by another railroad, the relying railroad shall maintain a record 
for each certified engineer that contains the relevant data furnished by 
the other railroad which it relied on in making its determinations.
    (h) All records required under this section shall be retained for a 
period of six years from the date of the certification, recertification, 
denial or revocation decision and shall be made available to FRA 
representatives upon request during normal business hours.
    (i) It shall be unlawful for any railroad to knowingly or any 
individual to willfully:
    (1) Make, cause to be made, or participate in the making of a false 
entry on the record(s) required by this section; or
    (2) Otherwise falsify such records through material misstatement, 
omission, or mutilation.
    (j) Nothing in this section precludes a railroad from maintaining 
the information required to be retained under this section in an 
electronic format provided that:
    (1) The railroad adequately limits and controls those who have 
access to such information;
    (2) The railroad employs a system for data storage that permits 
reasonable access and retrieval of the information in usable format when 
requested to furnish data by FRA representatives; and
    (3) Information retrieved from the system can be easily produced in 
a printed format which can be readily provided to FRA representatives 
and authenticated by a designated representative of the railroad as a 
true and accurate copy of the railroad's records if requested to do so 
by FRA representatives.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19003, Apr. 9, 1993]



Sec. 240.217  Time limitations for making determinations.

    (a) After the pertinent date in paragraph (e), (f) or (g) of 
Sec. 240.201, a railroad shall not certify or recertify a person as a 
qualified locomotive engineer in any class of train or engine service, 
if the railroad is making:
    (1) A determination concerning eligibility and the eligibility data 
being relied on were furnished more than 180 days before the date of the 
railroad's certification decision;
    (2) A determination concerning visual and hearing acuity and the 
medical examination being relied on was conducted more than 180 days 
before the date of the railroad's certification decision;
    (3) A determination concerning demonstrated knowledge and the 
knowledge examination being relied on was conducted more than 360 days 
before

[[Page 540]]

the date of the railroad's certification decision; or
    (4) A determination concerning demonstrated performance skills and 
the performance skill testing being relied on was conducted more than 
360 days before the date of the railroad's certification decision;
    (b) The time limitations of paragraph (a) of this section do not 
apply to a railroad that is making a certification decision in reliance 
on determinations made by another railroad in accordance with paragraph 
(c)(2) of this section, Sec. 240.227, or Sec. 240.229.
    (c) Except as provided in Sec. 240.201 concerning implementation 
dates for initial certification decisions and paragraph (b) of this 
section, no railroad shall:
    (1) Certify a person as a qualified locomotive engineer for an 
interval of more than 36 months; or
    (2) Rely on a certification issued by another railroad that is more 
than 12 months old.
    (d) Except as provided for in Sec. 240.201 concerning initial 
implementation of the program, a railroad shall issue each person 
designated as a certified locomotive engineer a certificate that 
complies with Sec. 240.223 no later than 30 days from the date of its 
decision to certify or recertify that person.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19003, Apr. 9, 1993; 60 
FR 53137, Oct. 12, 1995]



Sec. 240.219  Denial of certification.

    (a) A railroad shall notify a candidate for certification or 
recertification of information known to the railroad that forms the 
basis for denying the person certification and provide the person a 
reasonable opportunity to explain or rebut that adverse information in 
writing prior to denying certification.
    (b) This section does not require further opportunity to comment if 
the railroad's denial is based solely on factors addressed by 
Secs. 240.115, 240.117, and 240.119 and the opportunity to comment 
afforded by those sections has been provided.
    (c) If it denies a person certification or recertification, a 
railroad shall notify the person of the adverse decision and explain, in 
writing, the basis for its denial decision. The document explaining the 
basis for the denial shall be mailed or delivered to the person within 
10 days after the railroad's decision and shall give the date of the 
decision.



Sec. 240.221  Identification of qualified persons.

    (a) After November 1, 1991, a railroad shall maintain a written 
record identifying each person designated by it as a supervisor of 
locomotive engineers.
    (b) After November 1, 1991, a railroad shall maintain a written 
record identifying each person designated as a certified locomotive 
engineer. That listing of certified engineers shall indicate the class 
of service the railroad determines each person is qualified to perform 
and date of the railroad's certification decision.
    (c) If a railroad is responsible for controlling joint operations 
territory, the listing shall include person(s) certified in accordance 
with Sec. 240.229.
    (d) The listing required by paragraphs (a), (b), and (c) shall be 
updated at least annually.
    (e) The record required under this section shall be kept at the 
divisional or regional headquarters of the railroad and shall be 
available for inspection or copying by FRA during regular business 
hours.
    (f) A railroad may obtain approval from FRA to maintain this record 
electronically or maintain this record at the railroad's general 
offices, or both. Requests for such approval shall be filed in writing 
with the Associate Administrator for Safety and contain sufficient 
information to explain how FRA will be given access to the data that is 
fully equivalent to that created by compliance with paragraph (e).



Sec. 240.223  Criteria for the certificate.

    (a) As a minimum, each certificate issued in compliance with this 
part shall:
    (1) Identify the railroad that is issuing it;
    (2) Indicate that the railroad, acting in conformity with this part, 
has determined that the person to whom it is being issued has been 
determined to be qualified to operate a locomotive;
    (3) Identify the person to whom it is being issued (including the 
person's

[[Page 541]]

name, date of birth and employee identification number, and either a 
physical description or photograph of the person);
    (4) Identify any conditions or limitations, including the class of 
service or conditions to ameliorate vision or hearing acuity 
deficiencies, that restrict the person's operational authority;
    (5) Show the date of its issuance;
    (6) Be signed by a supervisor of locomotive engineers or other 
individual designated in accordance with paragraph (b) of this section;
    (7) Show the date of the person's last operational monitoring event 
as required by Sec. 240.129(c) and Sec. 240.303(b), unless that 
information is reflected on supplementary documents which the locomotive 
engineer has in his or her possession when operating a locomotive; and
    (8) Be of sufficiently small size to permit being carried in an 
ordinary pocket wallet.
    (b) Each railroad to which this part applies shall designate in 
writing any person, other than a supervisor of locomotive engineers, 
that it authorizes to sign the certificates described in this section. 
The designation can identify such persons by name or job title.
    (c) Nothing in paragraph (a) of this section shall prohibit any 
railroad from including additional information on the certificate or 
supplementing the certificate through other documents.
    (d) It shall be unlawful for any railroad to knowingly or any 
individual to willfully:
    (1) Make, cause to be made, or participate in the making of a false 
entry on that certificate; or
    (2) Otherwise falsify that certificate through material 
misstatement, omission, or mutilation.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19003, Apr. 9, 1993]



Sec. 240.225  Reliance on qualification determinations made by other railroads.

    After December 31, 1991, any railroad that is considering 
certification of a person as a qualified engineer may rely on 
determinations made by another railroad concerning that person's 
qualifications. A railroad relying on another's certification shall 
determine that:
    (a) The prior certification is still valid in accordance with the 
provisions of Secs. 240.201, 240.217, and 240.307;
    (b) The prior certification was for the same classification of 
locomotive or train service being issued under this section;
    (c) The person has received training on and visually observed the 
physical characteristics of the new territory in accordance with 
Sec. 240.123;
    (d) The person has demonstrated the necessary knowledge concerning 
its operating rules in accordance with Sec. 240.125.
    (e) The person has demonstrated the necessary performance skills 
concerning its operating rules in accordance with Sec. 240.127.



Sec. 240.227  Reliance on qualification requirements of other countries.

    (a) A railroad that conducts joint operations with a Canadian 
railroad may certify, for the purposes of compliance with this part, 
that a person is qualified to be a locomotive or train service engineer 
provided it determines that:
    (1) The person is employed by the Canadian railroad; and
    (2) The person meets or exceeds the qualifications standards issued 
by Transport Canada for such service.
    (b) Any Canadian railroad that is required to comply with this 
regulation may certify that a person is qualified to be a locomotive or 
train service engineer provided it determines that:
    (1) The person is employed by the Canadian railroad; and
    (2) The person meets or exceeds the qualifications standards issued 
by Transport Canada for such service.



Sec. 240.229  Requirements for joint operations territory.

    (a) Except for minimal joint operations provided for in paragraph 
(f) of this section, no railroad that is responsible for controlling the 
conduct of joint operations with another railroad shall permit or 
require any person to operate a locomotive in any class of train or 
engine service unless that person has been certified as a qualified 
locomotive engineer for the purposes of

[[Page 542]]

joint operations and issued a certificate that complies with 
Sec. 240.223.
    (b) Each railroad that is responsible for controlling the conduct of 
joint operations with another railroad shall certify a person as a 
qualified locomotive engineer for the purposes of joint operations 
either by making the determinations required under subpart C of this 
part or by relying on the certification issued by another railroad under 
this part.
    (c) If the controlling railroad relies on the certification issued 
by another railroad, the controlling railroad shall determine:
    (1) That the person has been certified as a qualified engineer under 
the provisions of this part by the railroad which employs that 
individual;
    (2) That the person certified as a locomotive engineer by the other 
railroad has demonstrated the necessary knowledge concerning the 
controlling railroad's operating rules, if the rules are different;
    (3) That the person certified as a locomotive engineer by the other 
railroad has the necessary operating skills concerning the joint 
operations territory; and
    (4) That the person certified as a locomotive engineer by the other 
railroad has the necessary familiarity with the physical characteristics 
for the joint operations territory.
    (d) A railroad that controls joint operations and certifies 
locomotive engineers from a different railroad may comply with the 
requirements of paragraph (a) of this section by noting its supplemental 
certification decision on the original certificate as provided for in 
Sec. 240.223(c).
    (e) A railroad responsible for controlling the conduct of joint 
operations with another railroad shall be deemed to be in compliance 
with paragraph (a) of this section when it provides a qualified person 
to accompany a locomotive engineer who lacks joint operations 
certification during that engineer's operations in joint operations 
territory. As used in this section qualified person means either a 
designated supervisor of locomotive engineers or a certified train 
service engineer determined by the controlling railroad to have the 
necessary knowledge concerning the controlling railroad's operating 
rules and to have the necessary operating skills including familiarity 
with its physical characteristics concerning the joint operations 
territory.
    (f) A railroad that is responsible for controlling the conduct of 
joint operations with another railroad may permit a certified locomotive 
engineer to operate a locomotive in any class of train or engine service 
without determining that the person has been certified as a qualified 
locomotive engineer for the purposes of joint operations when a minimal 
joint operation is involved. For the purposes of this section a minimal 
joint operation exists when a locomotive or train belonging to one 
railroad is being operated on the same track on which operations are 
conducted by the railroad controlling operations, under the following 
conditions:
    (1) The maximum authorized speed for operations on the track does 
not exceed 20 miles per hour;
    (2) The track is other than a main track;
    (3) Operations are conducted under operating rules that require 
every locomotive and train to proceed at a speed that permits stopping 
within one half the range of vision of the locomotive engineer; and
    (4) The maximum distance for joint operations on the track does not 
exceed one mile.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19003, Apr. 9, 1993]



         Subpart D--Administration of the Certification Programs



Sec. 240.301  Replacement of certificates.

    A railroad shall have a system for the prompt replacement of lost, 
stolen or mutilated certificates and that system shall be reasonably 
accessible to certified locomotive engineers in need of a replacement 
certificate.



Sec. 240.303  Operational monitoring requirements.

    (a) After December 31, 1991, each railroad to which this part 
applies shall, prior to FRA approval of its program

[[Page 543]]

in accordance with Sec. 240.201, have a program to monitor the conduct 
of its certified locomotive engineers by performing both operational 
monitoring observations and by conducting unannounced operating rules 
compliance tests.
    (b) The program shall be conducted so that each locomotive engineer 
shall be given at least one operational monitoring observation by a 
qualified supervisor of locomotive engineers in each calendar year.
    (c) The program shall be conducted so that each locomotive engineer 
shall be given at least one unannounced compliance test each calendar 
year.
    (d) The unannounced test program shall:
    (1) Test engineer compliance with one or more provisions of the 
railroad's operating rules that require response to signals that display 
less than a ``clear'' aspect, if the railroad operates with a signal 
system that must comply with part 236 of this chapter;
    (2) Test engineer compliance with one or more provisions of the 
railroad's operating rules, timetable or other mandatory directives that 
require affirmative response by the locomotive engineer to less 
favorable conditions than that which existed prior to initiation of the 
test;
    (3) Test engineer compliance with provisions of the railroad's 
operating rules, timetable or other mandatory directives the violations 
of which by engineers were cited by the railroad as the cause of train 
accidents or train incidents in accident reports filed in compliance 
with part 225 of this chapter for the preceding year;
    (4) Be conducted that so that the administration of these tests is 
effectively distributed throughout whatever portion of a 24-hour day 
that the railroad conducts its operations;
    (5) Be conducted so that individual tests are administered without 
prior notice to the locomotive engineer being tested; and
    (6) Be conducted so that the results of the test are recorded on the 
certificate and entered on the record established under Sec. 240.215 
within 30 days of the day the test is administered.



Sec. 240.305  Prohibited conduct.

    After December 31, 1991,
    (a) It shall be unlawful to:
    (1) Operate a locomotive or train at a speed that exceeds the 
maximum authorized limit by at least 10 miles per hour or by more than 
one half of the authorized speed, whichever is less;
    (2) Operate a locomotive or train past any signal, without 
completely stopping the locomotive or train, when that signal requires a 
complete stop before passing it; or
    (3) Fail to comply with any mandatory directive concerning the 
movement of a locomotive or train by occupying a segment of main track 
without authority.
    (b) Each locomotive engineer who has received a certificate required 
under this part shall:
    (1) Have that certificate in his or her possession while on duty as 
an engineer; and
    (2) Display that certificate upon the receipt of a request to do so 
from
    (i) A representative of the Federal Railroad Administration,
    (ii) An officer of the issuing railroad, or
    (iii) An officer of another railroad when operating a locomotive or 
train in joint operations territory.
    (c) Any locomotive engineer who is notified or called to operate a 
locomotive or train and such operation would cause the locomotive 
engineer to exceed certificate limitations, set forth in accordance with 
subpart B of this part, shall immediately notify the railroad that he or 
she is not qualified to perform that anticipated service and it shall be 
unlawful for the railroad to require such service.
    (d) During the duration of any certification interval, a locomotive 
engineer who has a current certificate from more than one railroad shall 
immediately notify the other certifying railroad(s) if he or she is 
denied recertification by a railroad or has his or her certification 
revoked by a railroad.
    (e) Nothing in this section shall be deemed to alter a certified 
locomotive engineer's duty to comply with other provisions of this 
chapter concerning railroad safety.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19004, Apr. 9, 1993]

[[Page 544]]



Sec. 240.307  Revocation of certification.

    (a) Except as provided for in Sec. 240.119(e), a railroad that 
certifies or recertifies a person as a qualified locomotive engineer 
and, during the period that certification is valid, acquires information 
which convinces the railroad that the person no longer meets the 
qualification requirements of this part, shall revoke the person's 
certificate as a qualified locomotive engineer.
    (b) Pending a revocation determination under this section, the 
railroad shall:
    (1) Upon receipt of reliable information indicating the person's 
lack of qualification under this part, immediately suspend the person's 
certificate;
    (2) Prior to or upon suspending the person, provide notice of the 
reason for this suspension, the pending revocation, and an opportunity 
for hearing before a presiding officer other than the charging official;
    (3) Convene the hearing within the deadline prescribed by either 
paragraph (c)(1) of this section or the applicable collective bargaining 
agreement as permitted under paragraph (d) of this section;
    (4) Determine, on the record of the hearing, whether the person no 
longer meets the qualification requirements of this part stating 
explicitly the basis for the conclusion reached;
    (5) When appropriate, impose the pertinent period of revocation 
provided for in Sec. 240.117 or Sec. 240.119; and
    (6) Retain the record of the hearing for 3 years after the date the 
decision is rendered.
    (c) Except as provided for in paragraphs (d) and (f) of this 
section, a hearing required by this section shall be conducted in 
accordance with the following procedures:
    (1) The hearing shall be convened within 10 days of the date the 
certificate is suspended unless the locomotive engineer requests or 
consents to delay in the start of the hearing.
    (2) The hearing shall be conducted by a presiding officer, who can 
be any qualified person authorized by the railroad other than the 
charging officer.
    (3) The presiding officer will exercise the powers necessary to 
regulate the conduct of the hearing for the purpose of achieving a 
prompt and fair determination of all material issues in controversy.
    (4) The presiding officer shall convene and preside over the 
hearing.
    (5) Testimony by witnesses at the hearing shall be recorded 
verbatim.
    (6) All relevant and probative evidence shall be received unless the 
presiding officer determines the evidence to be unduly repetitive or so 
extensive and lacking in relevancy that its admission would impair the 
prompt, orderly, and fair resolution of the proceeding.
    (7) The presiding officer may:
    (i) Adopt any needed procedures for the submission of evidence in 
written form;
    (ii) Examine witnesses at the hearing;
    (iii) Convene, recess, adjourn or otherwise regulate the course of 
the hearing; and
    (iv) Take any other action authorized by or consistent with the 
provisions of this part and permitted by law that may expedite the 
hearing or aid in the disposition of the proceeding.
    (8) Parties may appear and be heard on their own behalf or through 
designated representatives. Parties may offer relevant evidence 
including testimony and may conduct such examination of witnesses as may 
be required for a full disclosure of the relevant facts.
    (9) The record in the proceeding shall be closed at conclusion of 
the hearing unless the presiding officer allows additional time for the 
submission of information. In such instances the record shall be left 
open for such time as the presiding officer grants for that purpose.
    (10) At the close of the record, the presiding officer shall prepare 
a written decision in the proceeding.
    (11) The decision shall:
    (i) Contain the findings of fact as well as the basis therefor, 
concerning all material issues of fact presented on the record; and
    (ii) Be served on the employee.
    (12) The railroad shall have the burden of proving that the 
locomotive engineer's conduct was not in compliance with the applicable 
railroad operating

[[Page 545]]

rule or practice or part 219 of this chapter.
    (d) A hearing required by this section which is conducted in a 
manner that conforms procedurally to the applicable collective 
bargaining agreement shall be deemed to satisfy the procedural 
requirements of this section.
    (e) A hearing required under this section may be consolidated with 
any disciplinary or other hearing arising from the same facts, but in 
all instances the presiding officer for the hearing shall make separate 
findings as to the revocation required under this section.
    (f) A person may waive the right to the hearing provided under this 
section. That waiver shall:
    (1) Be made in writing;
    (2) Reflect the fact that the person has knowledge and understanding 
of these rights and voluntarily surrenders them; and
    (3) Be signed by the person making the waiver.
    (g) A railroad that has relied on the certification by another 
railroad under the provisions of Sec. 240.227 or Sec. 240.229, shall 
revoke its certification if, during the period that certification is 
valid, the railroad acquires information which convinces it that another 
railroad has revoked its certification after determining, in accordance 
with the provisions of this section, that the person no longer meets the 
qualification requirements of this part. The requirement to provide a 
hearing under this section is satisfied when any single railroad holds a 
hearing and no additional hearing is required prior to a revocation by 
more than one railroad arising from the same facts.
    (h) The period of certificate suspension prior to the commencement 
of a hearing required under this section shall be credited towards 
satisfying any applicable revocation period imposed in accordance with 
the provisions of Sec. 240.117.

[58 FR 19004, Apr. 9, 1993, as amended at 60 FR 53137, Oct. 12, 1995]



Sec. 240.309  Railroad oversight responsibilities.

    (a) No later than March 31 of each year (beginning in calendar year 
1993), each Class I railroad (including the National Railroad Passenger 
Corporation and a railroad providing commuter service) and Class II 
railroad shall conduct a formal annual review and analysis concerning 
the administration of its program for responding to detected instances 
of poor safety conduct by certified locomotive engineers during the 
prior calendar year.
    (b) Each review and analysis shall involve:
    (1) The number and nature of the instances of detected poor safety 
conduct including the nature of the remedial action taken in response 
thereto;
    (2) The number and nature of FRA reported train accidents attributed 
to poor safety performance by locomotive engineers;
    (3) The number and type of operational monitoring test failures and 
observations of inadequate skill performance recorded by supervisors of 
locomotive engineers; and
    (4) If it conducts joint operations with another railroad, the 
number of locomotive engineers employed by such other railroad(s) to 
which such events were ascribed which the controlling railroad certified 
for joint operations purposes.
    (c) Based on that review and analysis each railroad shall determine 
what action(s) it will take to improve the safety of train operations to 
reduce or eliminate future incidents of that nature.
    (d) If requested in writing by FRA, the railroad shall provide a 
report of the findings and conclusions reached during such annual review 
and analysis effort.
    (e) For reporting purposes, the nature of detected poor safety 
conduct shall be capable of segregation for study and evaluation 
purposes in the following manner:
    (1) Incidents involving noncompliance with part 218;
    (2) Incidents involving noncompliance with part 219;
    (3) Incidents involving noncompliance with part 232;
    (4) Incidents involving noncompliance with the railroad's operating 
rules involving operation of a locomotive or train to operate at a speed 
that exceeds the maximum authorized limit;
    (5) Incidents involving noncompliance with the railroad's operating 
rules

[[Page 546]]

resulting in operation of a locomotive or train past any signal that 
requires a complete stop before passing it;
    (6) Incidents involving noncompliance with the railroad's operating 
practices including train handling procedures resulting in improper use 
of dynamic brakes;
    (7) Incidents involving noncompliance with the railroad's operating 
practices (including train handling procedures) resulting in improper 
use of automatic brakes;
    (8) Incidents involving noncompliance with the railroad's operating 
practices (including train handling procedures) resulting in improper 
use of a locomotive's independent brake;
    (9) Incidents involving noncompliance with the railroad's operating 
practices (including train handling procedures) resulting in excessive 
in-train force levels; and
    (10) Incidents involving noncompliance with the railroad's operating 
practices that require operation of a train at a speed that permits 
stopping within less than the engineers range of vision.
    (e) For reporting purposes each category of detected poor safety 
conduct identified in paragraph (d) of this section shall be capable of 
being annotated to reflect the following:
    (1) The total number of incidents in that category;
    (2) The number of incidents within that total which reflects 
incidents requiring an FRA accident/incident report; and
    (3) The number of incidents within that total which were detected as 
a result of a scheduled operational monitoring effort.
    (f) For reporting purposes each category of detected poor safety 
conduct identified in paragraph (d) of this section shall be capable of 
being annotated to reflect the following:
    (1) The nature of the remedial action taken and the number of events 
subdivided so as to reflect which of the following actions was selected:
    (i) Imposition of informal discipline;
    (ii) Imposition of formal discipline;
    (iii) Provision of informal training; or
    (iv) Provision of formal training; and
    (2) If the nature of the remedial action taken was formal 
discipline, the number of events further subdivided so as to reflect 
which of the following punishments was imposed by the hearing officer:
    (i) The person was withheld from service;
    (ii) The person was dismissed from employment or
    (iii) The person was issued demerits. If more than one form of 
punishment was imposed only that punishment deemed the most severe shall 
be shown.
    (g) For reporting purposes each category of detected poor safety 
conduct identified in paragraph (d) of this section which resulted in 
the imposition of formal or informal discipline shall be annotated to 
reflect the following:
    (1) The number of instances in which the railroad's internal appeals 
process reduced the punishment initially imposed at the conclusion of 
its hearing; and
    (2) The number of instances in which the punishment imposed by the 
railroad was reduced by any of the following entities: The National 
Railroad Adjustment Board, a Public Law Board, a Special Board of 
Adjustment or other body for the resolution of disputes duly constituted 
under the provisions of the Railway Labor Act.



                Subpart E--Dispute Resolution Procedures



Sec. 240.401  Review board established.

    (a) Any person who has been denied certification, denied 
recertification, or has had his or her certification revoked and 
believes that a railroad incorrectly determined that he or she failed to 
meet the qualification requirements of this regulation when making the 
decision to deny or revoke certification, may petition the Federal 
Railroad Administrator to review the railroad's decision.
    (b) The Federal Railroad Administrator has delegated initial 
responsibility for adjudicating such disputes to the Locomotive Engineer 
Review Board.
    (c) The Locomotive Engineer Review Board shall be composed of at 
least

[[Page 547]]

three employees of the Federal Railroad Administration selected by the 
Administrator.

[56 FR 28254, June 19, 1991, as amended at 58 FR 19005, Apr. 9, 1993]



Sec. 240.403  Petition requirements.

    (a) To obtain review of a railroad's decision to deny certification, 
deny recertification, or revoke certification, a person shall file a 
petition for review that complies with this section.
    (b) Each petition shall:
    (1) Be in writing;
    (2) Be submitted in triplicate to the Docket Clerk, Federal Railroad 
Administration, 400 Seventh Street SW., Washington, DC, 20590;
    (3) Contain all available information that the person thinks 
supports the person's belief that the railroad acted improperly, 
including:
    (i) The petitioner's full name;
    (ii) The petitioner's current mailing address;
    (iii) The petitioner's daytime telephone number;
    (iv) The name and address of the railroad; and
    (v) The facts that the petitioner believes constitute the improper 
action by the railroad, specifying the locations, dates, and identities 
of all persons who were present or involved in the railroad's actions 
(to the degree known by the petitioner);
    (4) Explain the nature of the remedial action sought;
    (5) Be supplemented by a copy of all written documents in the 
petitioner's possession that document that railroad's decision; and
    (6) Be filed in a timely manner.
    (c) A petition seeking review of a railroad's decision to deny 
certification or recertification filed with FRA more than 180 days after 
the date of the railroad's denial decision will be denied as untimely.
    (d) A petition seeking review of a railroad's decision to revoke 
certification in accordance with the procedures required by Sec. 240.307 
filed with FRA more than 180 days after the date of the railroad's 
revocation decision will be denied as untimely.



Sec. 240.405  Processing qualification review petitions.

    (a) Each petition shall be acknowledged in writing by FRA and the 
acknowledgement shall contain the docket number assigned to the 
petition.
    (b) Upon receipt of the petition, FRA will notify the railroad that 
it has received the petition and provide the railroad with a copy of the 
petition.
    (c) The railroad will be given a period of not to exceed 30 days to 
submit to FRA any information that the railroad considers pertinent to 
the petition.
    (d) A railroad that submits such information shall:
    (1) Identify the petitioner by name and the docket number of the 
review proceeding;
    (2) Provide a copy of the information being submitted to FRA to the 
petitioner.
    (e) Each petition will then be referred to the Locomotive Engineer 
Review Board for a decision.
    (f) The Board will determine whether the denial or revocation of 
certification or recertification was improper under this regulation 
(i.e., based on an incorrect determination that the person failed to 
meet the qualification requirements of this regulation) and grant or 
deny the petition accordingly. The Board will not otherwise consider the 
propriety of a railroad's decision, i.e., it will not consider whether 
the railroad properly applied its own more stringent requirements.
    (g) Notice of that decision will be provided in writing to both the 
petitioner and the railroad. The decision will include findings of fact 
on which it is based.



Sec. 240.407  Request for a hearing.

    (a) If adversely affected by the Locomotive Engineer Review Board 
decision, either the petitioner before the Board or the railroad 
involved shall have a right to an administrative proceeding as 
prescribed by Sec. 240.409.
    (b) To exercise that right, the adversely affected party shall file 
with the Docket Clerk a written request within 20 days of service of the 
Board's decision on that party.
    (c) The result of a failure to request a hearing within the period 
provided in paragraph (b) of this section is that the

[[Page 548]]

Locomotive Engineer Review Board's decision will constitute final agency 
action.
    (d) If a party elects to request a hearing, that person shall submit 
a written request to the Docket Clerk containing the following:
    (1) The name, address, and telephone number of the respondent and 
the requesting party's designated representative, if any;
    (2) The specific factual issues, industry rules, regulations, or 
laws that the requesting party alleges need to be examined in connection 
with the certification decision in question; and
    (3) The signature of the requesting party or the requesting party's 
representative, if any.
    (e) Upon receipt of a hearing request complying with paragraph (d) 
of this section, FRA shall arrange for the appointment of a presiding 
officer who shall schedule the hearing for the earliest practicable 
date.

[60 FR 53137, Oct. 12, 1995]



Sec. 240.409  Hearings.

    (a) An administrative hearing for a locomotive engineer 
qualification petition shall be conducted by a presiding officer, who 
can be any person authorized by the Administrator, including an 
administrative law judge.
    (b) The presiding officer may exercise the powers of the 
Administrator to regulate the conduct of the hearing for the purpose of 
achieving a prompt and fair determination of all material issues in 
controversy.
    (c) The presiding officer shall convene and preside over the 
hearing. The hearing shall be a de novo hearing to find the relevant 
facts and determine the correct application of this part to those facts. 
The presiding officer may determine that there is no genuine issue 
covering some or all material facts and limit evidentiary proceedings to 
any issues of material fact as to which there is a genuine dispute.
    (d) The presiding officer may authorize discovery of the types and 
quantities which in the presiding officer's discretion will contribute 
to a fair hearing without unduly burdening the parties. The presiding 
officer may impose appropriate non-monetary sanctions, including 
limitations as to the presentation of evidence and issues, for any 
party's willful failure or refusal to comply with approved discovery 
requests.
    (e) Every petition, motion, response, or other authorized or 
required document shall be signed by the party filing the same, or by a 
duly authorized officer or representative of record, or by any other 
person. If signed by such other person, the reason therefor must be 
stated and the power of attorney or other authority authorizing such 
other person to subscribe the document must be filed with the document. 
The signature of the person subscribing any document constitutes a 
certification that he or she has read the document; that to the best of 
his or her knowledge, information and belief every statement contained 
in the document is true and no such statements are misleading; and that 
it is not interposed for delay or to be vexatious.
    (f) After the request for a hearing is filed, all documents filed or 
served upon one party must be served upon all parties. Each party may 
designate a person upon whom service is to be made when not specified by 
law, regulation, or directive of the presiding officer. If a party does 
not designate a person upon whom service is to be made, then service may 
be made upon any person having subscribed to a submission of the party 
being served, unless otherwise specified by law, regulation, or 
directive of the presiding officer. Proof of service shall accompany all 
documents when they are tendered for filing.
    (g) If any document initiating, filed, or served in, a proceeding is 
not in substantial compliance with the applicable law, regulation, or 
directive of the presiding officer, the presiding officer may strike or 
dismiss all or part of such document, or require its amendment.
    (h) Any party to a proceeding may appear and be heard in person or 
by an authorized representative.
    (i) Any person testifying at a hearing or deposition may be 
accompanied, represented, and advised by an attorney or other 
representative, and may be examined by that person.
    (j) Any party may request to consolidate or separate the hearing of 
two or

[[Page 549]]

more petitions by motion to the presiding officer, when they arise from 
the same or similar facts or when the matters are for any reason deemed 
more efficiently heard together.
    (k) Except as provided in Sec. 240.407(c) of this part and paragraph 
(u)(4) of this section, whenever a party has the right or is required to 
take action within a period prescribed by this part, or by law, 
regulation, or directive of the presiding officer, the presiding officer 
may extend such period, with or without notice, for good cause, provided 
another party is not substantially prejudiced by such extension. A 
request to extend a period which has already expired may be denied as 
untimely.
    (l) An application to the presiding officer for an order or ruling 
not otherwise specifically provided for in this part shall be by motion. 
The motion shall be filed with the presiding officer and, if written, 
served upon all parties. All motions, unless made during the hearing, 
shall be written. Motions made during hearings may be made orally on the 
record, except that the presiding officer may direct that any oral 
motion be reduced to writing. Any motion shall state with particularity 
the grounds therefor and the relief or order sought, and shall be 
accompanied by any affidavits or other evidence desired to be relied 
upon which is not already part of the record. Any matter submitted in 
response to a written motion must be filed and served within fourteen 
(14) days of the motion, or within such other period as directed by the 
presiding officer.
    (m) Testimony by witnesses at the hearing shall be given under oath 
and the hearing shall be recorded verbatim. The presiding officer shall 
give the parties to the proceeding adequate opportunity during the 
course of the hearing for the presentation of arguments in support of or 
in opposition to motions, and objections and exceptions to rulings of 
the presiding officer. The presiding officer may permit oral argument on 
any issues for which the presiding officer deems it appropriate and 
beneficial. Any evidence or argument received or proffered orally shall 
be transcribed and made a part of the record. Any physical evidence or 
written argument received or proffered shall be made a part of the 
record, except that the presiding officer may authorize the substitution 
of copies, photographs, or descriptions, when deemed to be appropriate.
    (n) The presiding officer shall employ the Federal Rules of Evidence 
for United States Courts and Magistrates as general guidelines for the 
introduction of evidence. Notwithstanding paragraph (m) of this section, 
all relevant and probative evidence shall be received unless the 
presiding officer determines the evidence to be unduly repetitive or so 
extensive and lacking in relevancy that its admission would impair the 
prompt, orderly, and fair resolution of the proceeding.
    (o) The presiding officer may:
    (1) Administer oaths and affirmations;
    (2) Issue subpoenas as provided for in Sec. 209.7 of part 209 in 
this chapter;
    (3) Adopt any needed procedures for the submission of evidence in 
written form;
    (4) Examine witnesses at the hearing;
    (5) Convene, recess, adjourn or otherwise regulate the course of the 
hearing; and
    (6) Take any other action authorized by or consistent with the 
provisions of this part and permitted by law that may expedite the 
hearing or aid in the disposition of the proceeding.
    (p) The petitioner before the Locomotive Engineer Review Board, the 
railroad involved in taking the certification action, and FRA shall be 
parties at the hearing. All parties may participate in the hearing and 
may appear and be heard on their own behalf or through designated 
representatives. All parties may offer relevant evidence, including 
testimony, and may conduct such cross-examination of witnesses as may be 
required to make a record of the relevant facts.
    (q) The party requesting the administrative hearing shall be the 
``hearing petitioner.'' The hearing petitioner shall have the burden of 
proving its case by a preponderance of the evidence. Hence, if the 
hearing petitioner is the railroad involved in taking the certification 
action, that railroad will have the burden of proving that its decision 
to deny certification, deny recertification, or revoke certification

[[Page 550]]

was correct. Conversely, if the petitioner before the Locomotive 
Engineer Review Board is the hearing petitioner, that person will have 
the burden of proving that the railroad's decision to deny 
certification, deny recertification, or revoke certification was 
incorrect. Between the petitioner before the Locomotive Engineer Review 
Board and the railroad involved in taking the certification action, the 
party who is not the hearing petitioner will be a respondent.
    (r) FRA will be a mandatory party to the administrative hearing. At 
the start of each proceeding, FRA will be a respondent.
    (s) The record in the proceeding shall be closed at the conclusion 
of the evidentiary hearing unless the presiding officer allows 
additional time for the submission of additional evidence. In such 
instances the record shall be left open for such time as the presiding 
officer grants for that purpose.
    (t) At the close of the record, the presiding officer shall prepare 
a written decision in the proceeding.
    (u) The decision:
    (1) Shall contain the findings of fact and conclusions of law, as 
well as the basis for each concerning all material issues of fact or law 
presented on the record;
    (2) Shall be served on the hearing petitioner and all other parties 
to the proceeding;
    (3) Shall not become final for 35 days after issuance;
    (4) Constitutes final agency action unless an aggrieved party files 
an appeal within 35 days after issuance; and
    (5) Is not precedential.

[60 FR 53137, Oct. 12, 1995]



Sec. 240.411  Appeals.

    (a) Any party aggrieved by the presiding officer's decision may file 
an appeal. The appeal must be filed within 35 days of issuance of the 
decision with the Federal Railroad Administrator, 400 Seventh Street 
SW., Washington, DC 20590. A copy of the appeal shall be served on each 
party. The appeal shall set forth objections to the presiding officer's 
decision, supported by reference to applicable laws and regulations and 
with specific reference to the record. If no appeal is timely filed, the 
presiding officer's decision constitutes final agency action.
    (b) A party may file a reply to the appeal within 25 days of service 
of the appeal. The reply shall be supported by reference to applicable 
laws and regulations and with specific reference to the record, if the 
party relies on evidence contained in the record.
    (c) The Administrator may extend the period for filing an appeal or 
a response for good cause shown, provided that the written request for 
extension is served before expiration of the applicable period provided 
in this section.
    (d) The Administrator has sole discretion to permit oral argument on 
the appeal. On the Administrator's own initiative or written motion by 
any party, the Administrator may grant the parties an opportunity for 
oral argument.
    (e) The Administrator may affirm, reverse, alter or modify the 
decision of the presiding officer and the Administrator's decision 
constitutes final agency action.

[56 FR 28254, June 19, 1991, as amended at 60 FR 53138, Oct. 12, 1995]

         Appendix A to Part 240--Schedule of Civil Penalties \1\
------------------------------------------------------------------------
                                                                Willful
                     Section                       Violation   violation
------------------------------------------------------------------------
Subpart B--Component Elements
240.101--Program Failures
  (a) Failure to have program...................      $5,000     $10,000
  (b) Program that fails to address a subject...       2,500       5,000
240.103--Failure to:
  (a) follow Appendix B.........................       1,000       2,000
  (d) to resubmit, when directed by FRA.........       1,000       2,000
240.105--Failure to have adequate procedure for        2,500       5,000
 selection of supervisors.......................
240.107--Classes of Service
  (a) Failure to designate classes of service...       2,000       4,000
240.109--Limitations on considering prior
 conduct records
  (a) Failure to have procedure for determining        2,500       5,000
   eligibility..................................
  (e) Considering excluded data.................       2,000       4,000

[[Page 551]]

 
  (f,g) Failure to provide timely review               2,000       4,000
   opportunity..................................
240.111--Furnishing Motor Vehicle Records
  (a) Failure to action required to make               1,000       2,000
   information available........................
  (b) Failure to request
    (1) local record............................       1,000       2,000
    (2) NDR record..............................       1,000       2,000
  (f) Failure to request additional record......       1,000       2,000
  (e) Failure to notify of absence of license...         750       1,500
  (h) Failure to submit request in timely manner         750       1,500
240.113--Furnishing prior employment information
  (a) Failure to take action required to make          1,000       2,000
   information available........................
  (b) Failure to request record.................       1,000       2,000
240.115--Criteria for considering prior motor
 vehicle conduct
  (b) Considering excluded data.................       2,000       4,000
  (c) Failure to
    (1) consider data...........................       5,000       7,500
    (3,4) properly act in response to data......       2,500       5,000
240.117--Consideration of operational rules
 compliance records
  (a) Failure to have program and procedures....       5,000      10,000
  (b-d) Failure to have adequate program or            2,500       5,000
   procedure....................................
240.119--Consideration of substance abuse /rules
 compliance records
  (a) Failure to have program and procedures....       5,000      10,000
  (b-e) Failure to have adequate program or            2,500       5,000
   procedure....................................
240.121--Failure to have adequate procedure for        2,500       5,000
 determining acuity.............................
240.123--Failure to have
  (a) adequate procedures for continuing               2,500       5,000
   education....................................
  (b) adequate procedures for training new             2,500       5,000
   engineers....................................
240.125--Failure to have
  (a) adequate procedures for testing knowledge.       2,500       5,000
  (d) adequate procedures for documenting              2,500       5,000
   testing......................................
240.127--Failure to have
  (a) adequate procedures for evaluatinq skill         2,500       5,000
   performance..................................
  (c) adequate procedures for documentinq skills       2,500       5,000
   testing......................................
240.129--Failure to have
  (a-b) adequate procedures for monitoring             2,500       5,000
   performance..................................
Subpart C--Implementation of the Process
240.201--Schedule for implementation
  (a) Failure to select supervisors by specified       1,000       2,000
   date.........................................
  (b) Failure to identify grandfathered                2,000       4,000
   engineers....................................
  (c) Failure to issue certificate to engineer..       1,000       2,000
  (d) Allowing uncertified person to operate....       5,000      10,000
  (e-g) Certifying without complying with              2,500       5,000
   subpart C....................................
  (h-i) Failure to issue certificate to engineer       1,000       2,000
240.203 (a) Designating a person as a supervisor
 without determining that
    (1) person knows and understands this part..       2,500       5,000
    (2) person can test and evaluate engineers..       5,000       7,500
    (3) person has experience to prescribe             2,500       5,000
     remedies...................................
  (b) Certifying a person without determining
   that
    (1) person meets the eligibility criteria...       5,000       7,500
    (2) person meets the medical criteria.......       2,500       5,000
    (3) person has demonstrated knowledge.......       2,500       5,000
    (4) person has demonstrated skills..........       2,500       5,000
  (c) Certifying a person without determining
   that
    (1) person has completed training program...       2,500       5,000
    (2) person meets the eligibility criteria...       2,500       5,000
    (3) time has elapsed........................       2,500       5,000
240.205--Procedures for determining eligibility
 based on prior safety conduct
  (a) Selecting person lacking eligibility......       5,000       7,500
  (d) Failure to have basis for taking action...       2,500       5,000
240.207--Ineligibility based on medical
 condition
  (a) Selecting person lacking proper acuity....       2,000       4,000
  (b) Failure to have basis for finding of             1,000       2,000
   proper acuity................................
  (c) Acuity examinations performed by                 1,000       2,000
   unauthorized person..........................
  (d) Failure to note need for device to achieve       1,000       2,000
   acuity.......................................
  (e) Failure to use device needed for proper          1,000       2,000
   acuity.......................................
240.209--Demonstrating knowledge
  (b) Failure to properly determine knowledge...       2,500       5,000
  (c) Improper test procedure...................       2,000       4,000
  (d) Failure to document test results..........       1,000       2,000
  (e) Allowing person to operate despite test          2,500       5,000
   failure......................................
240.211--Demonstrating skills
  (b) Failure to properly determine knowledge...       2,500       5,000

[[Page 552]]

 
  (c) Improper test procedure...................       2,000       4,000
  (d) Failure to document test results..........       1,000       2,000
  (e) Allowing person to operate despite test          2,500       5,000
   failure......................................
240.213--Completion of approved training program
  (a) Failure to properly determine.............       2,500       5,000
  (b) Failure to document successful program           2,000       4,000
   completion...................................
240.215--Supporting information
  (a, f-h) Failure to have a record.............       1,000       2,000
  (b) Failure to have complete record...........         500       1,000
  (i) Falsification of record...................         (-)      10,000
240.217--Time limits for making determinations
  (a, c) Exceeding time limit...................       2,000       4,000
240.219--Denial of certification
  (a) Failure to notify or provide opportunity         2,000       4,000
   for comment..................................
  (c) Failure to notify, provide data, or              2,000       4,000
   untimely notification........................
240.221--Identification of persons
  (a-c) Failure to have a record................       2,000       4,000
  (d) Failure to update a record................       2,000       4,000
  (e-f) Failure to make a record available......       1,000       2,000
240.223--Certificate criteria
  (a) Improper certificate......................         500       1,000
  (b) Failure to designate those with signatory          500       1,000
   authority....................................
  (d) Falsification of certificate..............         (-)      10,000
240.225--Railroad Relying on Determination of
 Another
  (a) Reliance on expired certification.........       2,500       5,000
  (b) Reliance on wrong class of service........       2,500       5,000
  (c) Failure to familiarize person with new           2,000       4,000
   operational territory........................
  (d) Failure to determine knowledge............       2,000       4,000
240.227--Railroad Relying on Requirements of a
 Different Country
  (a) Joint operator reliance
    (1) on person not employed..................       1,000       2,000
    (2) on person who fails to meet Canadian           1,000       2,000
     requirements...............................
  (b) Canadian railroad reliance
    (1) on person not employed..................       1,000       2,000
    (2) on person who fails to meet Canadian           1,000       2,000
     requirements...............................
240.229--Railroad Controlling Joint Operation
 Territory
  (a) Allowing uncertified person to operate....       2,000       4,000
  (b) Certifying without making determinations         2,500       5,000
   or relying on another railroad...............
  (c) Certifying without determining
    (1) certification status....................       2,500       5,000
    (2) knowledge...............................       2,500       5,000
    (3) skills..................................       2,500       5,000
    (4) familiarity with physical                      2,000       4,000
     characteristics............................
  (d) Failure to provide qualified person.......       2,000       4,000
Subpart D--Program Administration
240.301--Failure to have system for certificate        2,000       4,000
 replacement
240.303--Monitoring operations
  (a) Failure to have program...................       5,000      10,000
  (b) Failure to observe each person annually...       1,000       2,000
  (c) Failure to test each person annually......       1,000       2,000
  (d) Failure to test properly..................       1,000       2,000
240.305--Prohibited conduct
  (a) Unlawful
    (1) control of speed........................       2,500       5,000
    (2) passing of stop signal..................       2,500       5,000
    (3) occupancy of main track without                2,500       5,000
     authority..................................
  (b) Failure of engineer to
    (1) carry certificate.......................       1,000       2,000
    (2) display certificate when requested......       1,000       2,000
  (c) Failure of engineer to notify railroad of        4,000       8,000
   limitations or railroad requiring engineer to
   exceed limitations...........................
  (d) Failure of engineer to notify railroad of        4,000       8,000
   denial or revocation.........................
240.307--Revocation of certification
  (a) Failure to withdraw person from service...       2,500       5,000
  (b) Failure to notify, provide hearing               2,000       4,000
   opportunity; or untimely procedures..........
240.309--Oversight responsibility report
  (a) Failure to report or to report on time....         500       1,000
  (b-f) Incomplete or inaccurate report.........       2,000       4,000
------------------------------------------------------------------------
\1\ A penalty may be assessed against an individual only for a willful
  violation. The Administrator reserves the right to assess a penalty of
  up to $22,000 for any violation where circumstances warrant. See 49
  CFR part 209, appendix A.

[56 FR 28254, June 19, 1991, as amended at 60 FR 53138, Oct. 12, 1995; 
63 FR 11624, Mar. 10, 1998]

[[Page 553]]

   Appendix B to Part 240--Procedures for Submission and Approval of 
               Locomotive Engineer Qualification Programs

    This appendix establishes procedures for the submission and approval 
of a railroad's program concerning the training, testing, and evaluating 
of persons seeking certification or recertification as a locomotive 
engineer in accordance with the requirements of this part (see 
Secs. 240.101, 240.103, 240.105, 240.107, 240.123, 240.125, 240.127 and 
240.129). lt also contains guidance on how FRA will exercise its review 
and approval responsibilities.

                        Submission by a Railroad

    As provided for in Sec. 240.101, each railroad must have a program 
for determining the qualifications of each person it permits or requires 
to operate a locomotive. In designing its program a railroad must take 
into account the trackage and terrain over which it operates, the 
system(s) for train control that are employed, the operational design 
characteristics of the track and equipment being operated including 
train length, train makeup, and train speeds. Each railroad must submit 
its individual program to FRA for approval as provided for in 
Sec. 240.103. Each program must be accompanied by a request for approval 
organized in accordance with this appendix. Requests for approval must 
contain appropriate references to the relevant portion of the program 
being discussed. Requests should be submitted in writing on standard 
sized paper (8-1/2 x 11) and can be in letter or narrative format. The 
railroad's submission shall be sent to the Associate Administrator for 
Safety, FRA. The mailing address for FRA is 400 Seventh Street, SW., 
Washington, DC 20590.

                     Organization of the Submission

    Each request should be organized to present the required information 
in the following standardized manner. Each section must begin by giving 
the name, title, telephone number, and mailing address of the person to 
be contacted concerning the matters addressed by that section. If a 
person is identified in a prior section, it is sufficient to merely 
repeat the person's name in a subsequent section.

     Section 1 of the Submission: General Information and Elections

    The first section of the request must contain the name of the 
railroad, the person to be contacted concerning the request (including 
the person's name, title, telephone number, and mailing address) and a 
statement electing either to accept responsibility for educating 
previously untrained persons to be qualified locomotive engineers or 
recertify only engineers previously certified by other railroads (see 
Sec. 240.103(b)).
    If a railroad elects not to conduct the training of persons not 
previously trained to be a locomotive engineer, the railroad is not 
obligated to submit information on how the previously untrained will be 
trained. A railroad that makes this election will be limited to 
recertifying persons initially certified by another railroad. A railroad 
that initially elects not to accept responsibility for training its own 
locomotive engineers can rescind its initial election by obtaining FRA 
approval of a modification of its program (see Sec. 240.103(e)).
    If a railroad elects to accept responsibility for conducting the 
education of persons not previously trained to be locomotive engineers, 
the railroad is obligated to submit information on how such persons will 
be trained but has no duty to actually conduct such training. A railroad 
that elects to accept the responsibility for the training of such 
persons may authorize another railroad or a non-railroad entity to 
perform the actual training effort. The electing railroad remains 
responsible for assuring that such other training providers adhere to 
the training program the railroad submits.
    This section must also state which class or classes of service the 
railroad will employ. (See Sec. 240.107).

  Section 2 of the Submission: Selection of Supervisors of Locomotive 
                                Engineers

    The second section of the request must contain information 
concerning the railroad's procedure for selecting the person or persons 
it will rely on to evaluate the knowledge, skill, and ability of persons 
seeking certification or recertification. As provided for in 
Sec. 240.105 each railroad must have a procedure for selecting 
supervisors of locomotive engineers which assures that persons so 
designated can appropriately test and evaluate the knowledge, skill, and 
ability of individuals seeking certification or recertification.
    Section 240.105 provides a railroad latitude to select the criteria 
and evaluation methodology it will rely on to determine which person or 
persons have the required capacity to perform as a supervisor of 
locomotive engineers. The railroad must describe in this section how it 
will use that latitude and evaluate those it designates as supervisors 
of locomotive engineers so as to comply with the performance standard 
set forth in Sec. 240.105(b). The railroad must identify, in sufficient 
detail to permit effective review by FRA, the criteria for evaluation it 
has selected. For example, if a railroad intends to rely on one or more 
of the following, a minimum level of prior experience as an engineer, 
successful completion of a course of study, or successful passage of a 
standardized testing program,

[[Page 554]]

the submission must state which criteria it will employ.

   Section 3 of the Submission: Training Persons Previously Certified

    The third section of the request must contain information concerning 
the railroad's program for training previously certified locomotive 
engineers. As provided for in Sec. 240.123(b) each railroad must have a 
program for the ongoing education of its locomotive engineers to assure 
that they maintain the necessary knowledge concerning personal safety, 
operating rules and practices, mechanical condition of equipment, 
methods of safe train handling (including familiarity with physical 
characteristics), and relevant Federal safety rules.
    Section 240.123(b) provides a railroad latitude to select the 
specific subject matter to be covered, duration of the training, method 
of presenting the information, and the frequency with which the training 
will be provided. The railroad must describe in this section how it will 
use that latitude to assure that its engineers remain knowledgeable 
concerning the safe discharge of their train operation responsibilities 
so as to comply with the performance standard set forth in 
Sec. 240.123(b). This section must contain sufficient detail to permit 
effective evaluation of the railroad's training program in terms of the 
subject matter covered, the frequency and duration of the training 
sessions, the training environment employed (for example, and use of 
classroom, use of computer based training, use of simulators, use of 
film or slide presentations, use of on-job-training) and which aspects 
of the program are voluntary or mandatory.
    Safe train handling involves both abstract knowledge about the 
appropriate use of engine controls and the application of that knowledge 
to trains of differing composition traversing varying terrain. Time and 
circumstances have the capacity to diminish both abstract knowledge and 
the proper application of that knowledge to discrete events. Time and 
circumstances also have the capacity to alter the value of previously 
obtained knowledge and the application of that knowledge. In formulating 
how it will use the discretion being afforded, each railroad must design 
its program to address both loss of retention of knowledge and changed 
circumstances, and this section of the submission to FRA must address 
these matters.
    For example, locomotive engineers need to have their fundamental 
knowledge of train operations refreshed periodically. Each railroad 
needs to advise FRA how that need is satisfied in terms of the interval 
between attendance at such training, the nature of the training being 
provided, and methods for conducting the training. A matter of 
particular concern to FRA is how each railroad acts to assure that 
engineers remain knowledgeable about safe train handling procedures if 
the territory over which a locomotive engineer is authorized to operate 
is territory from which the engineer has been absent. The railroad must 
have a plan for the familiarization training that addresses the question 
of how long a person can be absent before needing more education and, 
once that threshold is reached, how the person will acquire the needed 
education. Similarly, the program must address how the railroad responds 
to changes such as the introduction of new technology, new operating 
rule books, or significant changes in operations including alteration in 
the territory engineers are authorized to operate over.

 Section 4 of the Submission: Testing and Evaluating Persons Previously 
                                Certified

    The fourth section of the request must contain information 
concerning the railroad's program for testing and evaluating previously 
certified locomotive engineers. As provided for in Sec. 240.125 and 
Sec. 240.127, each railroad must have a program for the ongoing testing 
and evaluating of its locomotive engineers to assure that they have the 
necessary knowledge and skills concerning personal safety, operating 
rules and practices, mechanical condition of equipment, methods of safe 
train handling (including familiarity with physical characteristics), 
and relevant Federal safety rules. Similarly, each railroad must have a 
program for ongoing testing and evaluating to assure that its locomotive 
engineers have the necessary vision and hearing acuity as provided for 
in Sec. 240.121.
    Sections 240.125 and 240.127 require that a railroad rely on written 
procedures for determining that each person can demonstrate his or her 
knowledge of the railroad's rules and practices and skill at applying 
those rules and practices for the safe operation of a locomotive or 
train. Section 240.125 directs that, when seeking a demonstration of the 
person's knowledge, a railroad must employ a written test that contains 
objective questions and answers and covers the following subject 
matters: (i) Personal safety practices; (ii) operating practices; (iii) 
equipment inspection practices; (iv) train handling practices (including 
familiarity with the physical characteristics of the territory); and (v) 
compliance with relevant Federal safety rules. The test must accurately 
measure the person's knowledge of all of these areas.
    Section 240.125 provides a railroad latitude in selecting the design 
of its own testing policies (including the number of questions each test 
will contain, how each required subject matter will be covered, 
weighting (if any) to be given to particular subject matter responses, 
selection of passing scores, and

[[Page 555]]

the manner of presenting the test information). The railroad must 
describe in this section how it will use that latitude to assure that 
its engineers will demonstrate their knowledge concerning the safe 
discharge of their train operation responsibilities so as to comply with 
the performance standard set forth in Sec. 240.125.
    Section 240.127 directs that, when seeking a demonstration of the 
person's skill, a railroad must employ a test and evaluation procedure 
conducted by a designated supervisor of locomotive engineers that 
contains an objective evaluation of the person's skills at applying the 
railroad's rules and practices for the safe operation of trains. The 
test and evaluation procedure must examine the person's skills in terms 
of all of the following subject matters: (i) Operating practices; (ii) 
equipment inspection practices; (iii) train handling practices 
(including familiarity with the physical characteristics of the 
territory); and (iv) compliance with relevant Federal safety rules. The 
test must be sufficient to effectively examine the person's skills while 
operating a train in the most demanding type of service which the person 
is likely to encounter in the normal course of events once he or she is 
deemed qualified.
    Section 240.127 provides a railroad latitude in selecting the design 
of its own testing and evaluation procedures (including the duration of 
the evaluation process, how each required subject matter will be 
covered, weighing (if any) to be given to particular subject matter 
response, selection of passing scores, and the manner of presenting the 
test information). The section should provide information concerning the 
procedures which the railroad will follow that achieve the objectives 
described in FRA's recommended practices (see appendix E) for conducting 
skill performance testing. The section also gives a railroad the 
latitude to employ either a Type 1 or a Type 2 simulator (properly 
programmed) to conduct the test and evaluation procedure. A railroad 
must describe in this section how it will use that latitude to assure 
that its engineers will demonstrate their skills concerning the safe 
discharge of their train operation responsibilities so as to comply with 
the performance standard set forth in Sec. 240.127.
    Section 240.121 provides a railroad latitude to rely on the 
professional medical opinion of the railroad's medical examiner 
concerning the ability of a person with substandard acuity to safely 
operate a locomotive. The railroad must describe in this section how it 
will assure that its medical examiner has sufficient information 
concerning the railroad's operations to effectively form appropriate 
conclusions about the ability of a particular individual to safely 
operate a train.

 Section 5 of the Submission: Training, Testing, and Evaluating Persons 
                        Not Previously Certified

    Unless a railroad has made an election not to accept responsibility 
for conducting the initial training of persons to be locomotive 
engineers, the fifth section of the request must contain information 
concerning the railroad's program for educating, testing, and evaluating 
persons not previously trained as locomotive engineers. As provided for 
in Sec. 240.123(c), a railroad that is issuing an initial certification 
to a person to be a locomotive engineer must have a program for the 
training, testing, and evaluating of its locomotive engineers to assure 
that they acquire the necessary knowledge and skills concerning personal 
safety, operating rules and practices, mechanical condition of 
equipment, methods of safe train handling (including familiarity with 
physical characteristics), and relevant Federal safety rules.
    Section 240.123 establishes a performance standard and gives a 
railroad latitude in selecting how it will meet that standard. A 
railroad must describe in this section how it will use that latitude to 
assure that its engineers will acquire sufficient knowledge and skill 
and demonstrate their knowledge and skills concerning the safe discharge 
of their train operation responsibilities. This section must contain the 
same level of detail concerning initial training programs as that 
described for each of the components of the overall program contained in 
sections 2 through 4 of this appendix. A railroad that plans to accept 
responsibility for the initial training of locomotive engineers may 
authorize another railroad or a non-railroad entity to perform the 
actual training effort. The authorizing railroad may submit a training 
program developed by that authorized trainer but the authorizing 
railroad remains responsible for assuring that such other training 
providers adhere to the training program submitted. Railroads that elect 
to rely on other entities, to conduct training away from the railroad's 
own trackage, must indicate how the student will be provided with the 
required familiarization with the physical characteristics for its 
trackage.

   Section 6 of the Submission: Monitoring Operational Performance by 
                           Certified Engineers

    The final section of the request must contain information concerning 
the railroad's program for monitoring the operation of its certified 
locomotive engineers. As provided for in Sec. 240.129, each railroad 
must have a program for the ongoing monitoring of its locomotive 
engineers to assure that they operate their locomotives in conformity 
with the railroad's operating rules and practices including methods of 
safe train handling and relevant Federal safety rules.

[[Page 556]]

    Section 240.129 requires that a railroad annually observe each 
locomotive engineer demonstrating his or her knowledge of the railroad's 
rules and practices and skill at applying those rules and practices for 
the safe operation of a locomotive or train. Section 240.129 directs 
that the observation be conducted by a designated supervisor of 
locomotive engineers but provides a railroad latitude in selecting the 
design of its own observation procedures (including the duration of the 
observation process, reliance on tapes that record the specifics of 
train operation, and the specific aspects of the engineer's performance 
to be covered). The section also gives a railroad the latitude to employ 
either a Type 1 or a Type 2 simulator (properly programmed) to conduct 
monitoring observations. A railroad must describe in this section how it 
will use that latitude to assure that the railroad is monitoring that 
its engineers demonstrate their skills concerning the safe discharge of 
their train operation responsibilities. A railroad that intends to 
employ train operation event recorder tapes to comply with this 
monitoring requirement shall indicate in this section how it anticipates 
determining what person was at the controls and what signal indications 
or other operational constraints, if any, were applicable to the train's 
movement.

 Section 7 of the Submission: Procedures for Routine Administration of 
                   the Engineer Certification Program

    The final section of the request must contain a summary of how the 
railroad's program and procedures will implement the various specific 
aspects of the regulatory provisions that relate to routine 
administration of its certification program for locomotive engineers. At 
a minimum this section needs to address the procedural aspects of the 
rule's provisions identified in the following paragraph.
    Section 240.109 provides that each railroad must have procedures for 
review and comment on adverse prior safety conduct, but allows the 
railroad to devise its own system within generalized parameters. 
Sections 240.115, 240.117 and 240.119 require a railroad to have 
procedures for evaluating data concerning prior safety conduct as a 
motor vehicle operator and as railroad workers, yet leave selection of 
many details to the railroad. Sections 240.203, 240.217, and 240.219 
place a duty on the railroad to make a series of determinations but 
allow the railroad to select what procedures it will employ to assure 
that all of the necessary determinations have been made in a timely 
fashion; who will be authorized to conclude that person is or is not 
qualified; and how it will communicate adverse decisions. Documentation 
of the factual basis the railroad relied on in making determinations 
under Secs. 240.205, 240.207, 240.209, 240.211, and 240.213 is required, 
but these sections permit the railroad to select the procedures it will 
employ to accomplish compliance with these provisions. Sections 240.225 
and 240.227 permit reliance on qualification determinations made by 
other entities and permit a railroad latitude in selecting the 
procedures it will employ to assure compliance with these provisions. 
Similarly, Sec. 240.229 permits use of railroad selected procedures to 
meet the requirements for certification of engineers performing service 
in joint operations territory. Sections 240.301 and 240.307 allow a 
railroad a certain degree of discretion in complying with the 
requirements for replacing lost certificates or the conduct of 
certification revocation proceedings.
    This section of the request should outline in summary fashion the 
manner in which the railroad will implement its program so as to comply 
with the specific aspects of each of the rule's provisions described in 
preceding paragraph.

                               FRA Review

    The submissions made in conformity with this appendix will be deemed 
approved within 30 days after the required filing date or the actual 
filing date whichever is later. No formal approval document will be 
issued by FRA. The brief interval for review reflects FRA's judgment 
that railroads generally already have existing programs that will meet 
the requirements of this part. FRA has taken the responsibility for 
notifying a railroad when it detects problems with the railroad's 
program. FRA retains the right to disapprove a program that has obtained 
approval due to the passage of time as provided for in section 
Sec. 240.103.
    FRA initially proposed specifying the details for most aspects of 
the programs being submitted under this appendix. The proposed rule 
contained a distillation of the essential elements of pre-existing 
training, testing, evaluating, and monitoring programs that appear to 
result in railroads having locomotive engineers who operate locomotives 
and trains safely. The proposal contained very specific details for each 
aspect of the program that appeared to contribute to that result. Those 
details included such things as the duration of classes intended to 
teach operating rules as well as the interval and methodology for 
acquiring familiarization with physical characteristics of an engineer's 
operational territory. Railroads commenting on the proposed rule did not 
question the validity of the FRA's views concerning the essential 
elements of an effective program but did convince FRA that they should 
be given more discretion to formulate the design of their individual 
programs.
    Rather than establish rigid requirements for each element of the 
program as initially proposed, FRA has given railroads discretion

[[Page 557]]

to select the design of their individual programs within a specified 
context for each element. The proposed rule, however, provides a good 
guide to the considerations that should be addressed in designing a 
program that will meet the performance standards of this final rule. In 
reviewing program submissions, FRA will focus on the degree to which a 
particular program deviates from the norms identified in its proposed 
rule. To the degree that a particular program submission materially 
deviates from the norms set out in its proposed rule which was published 
in the Federal Register on December 11, 1989 (54 FR 50890), FRA's review 
and approval process will be focused on determining the validity of the 
reasoning relied on by a railroad for selecting its alternative approach 
and the degree to which the alternative approach is likely to be 
effective in producing locomotive engineers who have the knowledge, 
skill, and ability to safely operate trains.

 Appendix C to Part 240--Procedures for Obtaining and Evaluating Motor 
                       Vehicle Driving Record Data

    The purpose of this appendix is to outline the procedures available 
to individuals and railroads for complying with the requirements of 
section 4(a) of the Railroad Safety Improvement Act of 1988 and 
Secs. 240.109, 240.111 and 240.205 of this part. Those provisions 
require that railroads consider the motor vehicle driving record of each 
person prior to issuing him or her certification or recertification as a 
qualified locomotive engineer.
    To fulfill that obligation, a railroad must review a certification 
candidate's recent motor vehicle driving record. Generally, that will be 
a single record on file with the state agency that issued the 
candidate's current license. However, it can include multiple records if 
the candidate has been issued a motor vehicle driving license by more 
than one state agency. In addition, the railroad must determine whether 
the certification candidate is listed in the National Driver Register 
and, if so listed, to review the data that caused the candidate to be so 
listed.

            Access to State Motor Vehicle Driving Record Data

    The right of railroad workers, their employers, or prospective 
employers to have access to a state motor vehicle licensing agency's 
data concerning an individual's driving record is controlled by state 
law. Although many states have mechanisms through which employers and 
prospective employers such as railroads can obtain such data, there are 
some states in which privacy concerns make such access very difficult or 
impossible. Since individuals generally are entitled to obtain access to 
driving record data that will be relied on by a state motor vehicle 
licensing agency when that agency is taking action concerning their 
driving privileges, FRA places responsibility on individuals, who want 
to serve as locomotive engineers to request that their current state 
drivers licensing agency or agencies furnish such data directly to the 
railroad considering certifying them as a locomotive operator. Depending 
on the procedures adopted by a particular state agency, this will 
involve the candidate's either sending the state agency a brief letter 
requesting such action or executing a state agency form that 
accomplishes the same effect. It will normally involve payment of a 
nominal fee established by the state agency for such a records check. In 
rare instances, when a certification candidate has been issued multiple 
licenses, it may require more than a single request.

                      The National Driver Register

    In addition to seeking an individual state's data, each engineer 
candidate is required to request that a search and retrieval be 
performed of any relevant information concerning his or her driving 
record contained in the National Driver Register. The National Driver 
Register (NDR) is a system of information created by Congress in 1960. 
In essence it is a nationwide repository of information on problem 
drivers that was created in an effort to protect motorists. It is a 
voluntary State/Federal cooperative program that assists motor vehicle 
driver licensing agencies in gaining access to data about actions taken 
by other state agencies concerning an individual's motor vehicle driving 
record. The NDR is designed to address the problem that occurs when 
chronic traffic law violators, after losing their license in one State 
travel to and receive licenses in another State. Currently the NDR is 
maintained by the National Highway Traffic Safety Administration (NHTSA) 
of the Department of Transportation under the provisions of the National 
Driver Register Act (23 U.S.C. 401 note). Under that statute, state 
motor vehicle licensing authorities voluntarily notify NHTSA when they 
take action to deny, suspend, revoke or cancel a person's motor vehicle 
driver's license and, under the provisions of a 1982 change to the 
statute, states are also authorized to notify NHTSA concerning 
convictions for operation of a motor vehicle while under the influence 
of, or impaired by, alcohol or a controlled substance, and for traffic 
violations arising in connection with a fatal traffic accident, reckless 
driving or racing on the highway even if these convictions do not result 
in an immediate loss of driving privileges.
    The information submitted to NHTSA contains, at a minimum, three 
specific pieces of

[[Page 558]]

data: the identification of the state authority providing the 
information, the name of the person whose license is being affected, and 
the date of birth of that person. It may be supplemented by data 
concerning the person's height, weight, color of eyes, and social 
security account number, if a State collects such data.

                           Access to NDR Data

    Essentially only individuals and state licensing agencies can obtain 
access to the NDR data. Since railroads have no direct access to the NDR 
data, FRA requires that individuals seeking certification as a 
locomotive engineer request that an NDR search be performed and direct 
that the results be furnished to the railroad. FRA requires that each 
person request the NDR information directly from NHTSA unless the 
prospective operator has a motor vehicle driver license issued by a 
state motor vehicle licensing agency that is ``participating'' under the 
provisions of the National Driver Register Act of 1982. Participating 
states can directly access the NDR data on behalf of the prospective 
engineer. The state agencies that currently are authorized to access NDR 
data in that manner are identified in appendix D of this regulation.

                Requesting NHTSA to Perform the NDR Check

    The procedures for requesting NHTSA performance of an NDR check are 
as follows:
    1. Each person shall submit a written request to National Highway 
Traffic Safety Administration at the following address: Chief, National 
Driver Register, National Highway Traffic Safety Administration, 400 
Seventh Street, SW., Washington, DC 20590.
    2. The request must contain:
    (a) The full legal name;
    (b) Any other names used by the person (e.g., nickname or 
professional name);
    (c) The date of birth;
    (d) Sex;
    (e) Height;
    (f) Weight;
    (g) Color of eyes;
    (h) Driver's license number (unless that is not available).
    3. The request must authorize NHTSA to perform the NDR check and to 
furnish the results of the search directly to the railroad.
    4. The request must identify the railroad to which the results are 
to be furnished, including the proper name of the railroad, and the 
proper mailing address of the railroad.
    5. The person seeking to become a certified locomotive engineer 
shall sign the request, and that signature must be notarized.
    FRA requires that the request be in writing and contain as much 
detail as is available to improve the reliability of the data search. 
Any person may supply additional information to that being mandated by 
FRA. Furnishing additional information, such as the person's Social 
Security account number, will help to more positively identify any 
records that may exist concerning the requester. Although no fee is 
charged for such NDR checks, a minimal cost may be incurred in having 
the request notarized. The requirement for notarization is designed to 
ensure that each person's right to privacy is being respected and that 
records are only being disclosed to legally authorized parties.

           Requesting a State Agency to Perform the NDR Check

    As discussed earlier in connection with obtaining data compiled by 
the state agency itself, a person can either write a letter to that 
agency asking for the NDR check or can use the agency's forms for making 
such a request. If a request is made by letter the individual must 
follow the same procedures required when directly seeking the data from 
NHTSA. At present there are only a limited number of state licensing 
agencies that have the capacity to make a direct NDR inquiry of this 
nature. It is anticipated that the number of states with such capability 
will increase in the near future; therefore, FRA will continue to update 
the identification of such states by revising appendix D to this 
regulation to identify such state agencies. Since it would be more 
efficient for a prospective locomotive engineer to make a single request 
for both aspects of the information required under this rule, FRA 
anticipates that state agency inquiry will eventually become the 
predominant method for making these NDR checks. Requests to state 
agencies may involve payment of a nominal fee established by the state 
agency for such a records check.
    State agencies normally will respond in approximately 30 days or 
less and advise whether there is or is not a listing for a person with 
that name and date of birth. If there is a potential match and the 
inquiry state was not responsible for causing that entry, the agency 
normally will indicate in writing the existence of a probable match and 
will identify the state licensing agency that suspended, revoked or 
canceled the relevant license or convicted the person of one of the 
violations referenced earlier in this appendix.

                Actions When a Probable NDR Match Occurs

    The response provided after performance of an NDR check is limited 
to either a notification that no potential record match was identified 
or a notification that a potential record match was identified. If the 
latter event occurs, the notification will include the identification of 
the state motor vehicle licensing authority which possesses the relevant 
record. If the NDR check results indicate a potential match and that the 
state

[[Page 559]]

with the relevant data is the same state which furnished detailed data 
(because it had issued the person a driving license), no further action 
is required to obtain additional data. If the NDR check results indicate 
a potential match and the state with the relevant data is different from 
the state which furnished detailed data, it then is necessary to contact 
the individual state motor vehicle licensing authority that furnished 
the NDR information to obtain the relevant record. FRA places 
responsibility on the railroad to notify the engineer candidate and on 
the candidate to contact the state with the relevant information. FRA 
requires the certification candidate to write to the state licensing 
agency and request that the agency inform the railroad concerning the 
person's driving record. If required by the state agency, the person may 
have to pay a nominal fee for providing such data and may have to 
furnish written evidence that the prospective operator consents to the 
release of the data to the railroad. FRA does not require that a 
railroad or a certification candidate go beyond these efforts to obtain 
the information in the control of such a state agency, and a railroad 
may act upon the pending certification without the data if an individual 
state aqency fails or refuses to supply the records.
    If the non-issuing state licensing agency does provide the railroad 
with the available records, the railroad must verify that the record 
pertains to the person being considered for certification. It is 
necessary to perform this verification because in some instances only 
limited identification information is furnished for use in the NDR and 
this might result in data about a different person being supplied to the 
railroad. Among the available means for verifying that the additional 
state record pertains to the certification candidate are physical 
description, photographs and handwriting comparisons.
    Once the railroad has obtained the motor vehicle driving record 
which, depending on the circumstance, may consist of more than two 
documents, the railroad must afford the prospective engineer an 
opportunity to review that record and respond in writing to its contents 
in accordance with the provisions of Sec. 240.219. The review 
opportunity must occur before the railroad evaluates that record. The 
railroad's required evaluation and subsequent decision making must be 
done in compliance with the provisions of this part.

 Appendix D to Part 240--Identification of State Agencies That Perform 
                     National Driver Register Checks

    Under the provisions of Sec. 240.111 of this part, each person 
seeking certification or recertification as a locomotive operator must 
request that a check of the National Driver Register (NDR) be conducted 
and that the resulting information be furnished to his or her employer 
or prospective employer. Under the provisions of paragraphs (d) and (e) 
of Sec. 240.111, each person seeking certification or recertification as 
a locomotive engineer must request that National Highway Traffic Safety 
Administration conduct the NDR check, unless he or she was issued a 
motor vehicle driver license by one of the state agencies identified in 
this appendix. If the certification candidate received a license from 
one of the designated state agencies, he or she must request the state 
agency to perform the NDR check. The state motor vehicle licensing 
agencies listed in this appendix participate in a program that 
authorizes these state agencies, in accordance with the National Driver 
Register Act of 1982, to obtain information from the NDR on behalf of 
individuals seeking data about themselves. Since these state agencies 
can more efficiently supply the desired data and, in some instances, can 
provide a higher quality of information, FRA requires that certification 
candidates make use of this method in preference to directly contacting 
NHTSA.
    Although the number of state agencies that participate in this 
manner is limited, FRA anticipates that an increasing number of states 
will do so in the future. This appendix will be revised periodically to 
reflect current participation in the program. As of December 31, 1989, 
the motor vehicle licensing agencies of the following states participate 
under the provisions of the 1982 changes to the NDR Act: North Dakota, 
Ohio, Virginia, and Washington.

  Appendix E to Part 240--Recommended Procedures for Conducting Skill 
                            Performance Tests

    FRA requires (see Sec. 240.127 and Sec. 240.211) that locomotive 
engineers be given a skill performance test prior to certification or 
recertification and establishes certain criteria for the conduct of that 
test. Railroads are given discretion concerning the manner in which to 
administer the required testing. FRA has afforded railroads this 
discretion to allow individual railroad companies latitude to tailor 
their testing procedures to the specific operational realities. This 
appendix contains FRA's recommendations for the administration of skill 
performance testing that occurs during operation of an actual train. It 
can be modified to serve in instances where a locomotive simulator is 
employed for testing purposes. These recommended practices, if followed, 
will ensure a more thorough and systematic assessment of locomotive 
engineer performance.

[[Page 560]]

                   The Need for a Systematic Approach

    There are numerous criteria that should be monitored when a 
designated supervisor of locomotive engineers is observing a person to 
determine whether that individual should be certified or recertified as 
a qualified locomotive engineer. The details of those criteria will vary 
for the different classes of service, types of railroads, and terrain 
over which trains are being operated. At a minimum, the attention of a 
designated supervisor of locomotive engineers should concentrate on 
several general areas during any appraisal. Compliance with the 
railroad's operating rules, including its safety directives and train 
handling rules, and compliance with Federal regulations should be 
carefully monitored. But, in order to effectively evaluate employees, it 
is necessary to have something against which to compare their 
performance. In order to hold a locomotive engineer accountable for 
compliance, a railroad must have adequate operating, safety and train 
handling rules. Any railroad that fails to have adequate operating, 
safety, or train handling rules will experience difficulty in 
establishing a objective method of measuring an individual's skill 
level. Any railroad that requires the evaluation of an individual's 
performance relative to its train handling rules needs to have 
established preferred operating ranges for throttle use, brake 
application, and train speed. The absence of such criteria results in 
the lack of a meaningful yardstick for the designated supervisor of 
locomotive engineers to use in measuring the performance of locomotive 
engineers. It also is essential to have a definite standard so that the 
engineer and any reviewing body can know what the certification 
candidate is being measured against.
    Evaluating the performance of certain train operation skills will 
tend to occur in all situations. For example, it would be rare for a 
designated supervisor of locomotive engineers to observe any operator 
for a reasonable period of time and not have some opportunity to review 
that engineer's compliance with some basic safety rules, compliance with 
basic operating rules, and performance of a brake test. As the 
complexity of the operation increases, so does the number of items that 
the operator must comply with. Higher speeds, mountainous terrain, and 
various signal systems place increased emphasis on the need for operator 
compliance with more safety, operating, and train handling rules. 
Accounting for such variables in any universal monitoring scheme 
immediately results in a fairly complex system.
    FRA therefore recommends that designated supervisors of locomotive 
engineers employ a written aid to help record events and procedures that 
as a minimum should be observed for when conducting a skills performance 
test. FRA is providing the following information to assist railroads in 
developing such a written aid so as to ensure meaningful testing. When 
conducting a skills performance test, a designated supervisor of 
locomotive engineers should be alert to the following:

    --Does the employee have the necessary books (Operating Rules, 
Safety Rules, Timetable, etc.)?
    --Are predeparture inspections properly conducted (Radio, Air Brake 
Tests, Locomotive, etc.)?
    --Does the employee comply with applicable safety rules?
    --Does the employee read the bulletins, general orders, etc.?
    --Enroute, does the employee:
    --Comply with applicable Federal Rules?
    --Monitor gauges?
    --Properly use the horn, whistle, headlight?
    --Couple to cars at a safe speed?
    --Properly control in train slack and buff forces?
    --Properly use the train braking systems?
    --Comply with speed restrictions?
    --Display familiarity with the physical characteristics?
    --Comply with signal indications?
    --Respond properly to unusual conditions?
    --At the conclusion of the trip, does the employee:
    --Apply a hand brake to the locomotives?
    --Properly report locomotive defects?

    Obviously, the less sophisticated the railroad's operations are, the 
fewer the number of identified practices that would be relevant. Hence, 
this list should modified accordingly.

            The Need for Objectivity, Use of Observation Form

    It is essential that railroads conduct the performance skills 
testing in the most objective manner possible, whether this testing is 
the locomotive engineer's initial qualification testing or periodic 
retesting. There will always be some potential for the subjective views, 
held by the designated supervisor of locomotive engineers conducting the 
testing, to enter into evaluations concerning the competency of a 
particular individual to handle the position of locomotive engineer. 
Steps can be taken, and need to be taken, to minimize the risk that 
personality factors adversely influence the testing procedure.
    One way to reduce the entry of subjective matters into the 
qualification procedures is through the use of a document that specifies 
those criteria that the designated supervisor of locomotive engineers is 
to place emphasis on. The use of an observation form will reduce but not 
eliminate subjectivity. Any skill performance test will contain some 
amount of subjectivity. While compliance with the operating rules or the 
safety rules

[[Page 561]]

is clear in most cases, with few opportunities for deviation, train 
handling offers many options with few absolute right answers. The fact 
that an engineer applies the train air brakes at one location rather 
than a few yards away does not necessarily indicate a failure but a 
question of judgment. The use of dynamic braking versus air brakes at a 
particular location may be a question of judgment unless the carrier has 
previously specified the use of a preferred braking method. In any case 
the engineer's judgment, to apply or not apply a braking system at a 
given location, is subject to the opinion of the designated supervisor 
of locomotive engineers.
    A railroad should attempt to reduce or eliminate such subjectivity 
through use of some type of observation or evaluation. For railroads 
developing any evaluation form, the areas of concern identified earlier 
will not be relevant in all instances. Railroads that do not have 
sophisticated operations would only need a short list of subjects. For 
example, most smaller railroads would not require line items pertaining 
to compliance with signal rule compliance or the use of dynamic brakes. 
Conversely, in all instances the observation forms should include the 
time and location that the observer started and ended the observation. 
FRA believes that there should be a minimum duration for all performance 
skills examinations. FRA allows railroads to select a duration 
appropriate for their individual circumstances, requiring only that the 
period be ``of sufficient length to effectively evaluate the person.'' 
In exercising its discretion FRA suggests that the minimums selected by 
a railroad be stated in terms of a distance since the examination has to 
be of a sufficient duration to adequately monitor the operator's skills 
in a variety of situations. FRA also suggests that the format for the 
observation form include a space for recording the observer's comments. 
Provision for comments ideally would allow for the inclusion of 
``constructive criticism'' without altering the import of the evaluation 
and would permit subjective comments where merited.



PART 245--RAILROAD USER FEES--Table of Contents




                           Subpart A--General

Sec.
245.1  Purpose and scope.
245.3  Application.
245.5  Definitions.
245.7  Penalties.

                 Subpart B--Reporting and Recordkeeping

245.101  Reporting requirements.
245.103  Recordkeeping.
245.105  Retention of records.

                     Subpart C--User Fee Calculation

245.201  User fee calculation.

            Subpart D--Collection Procedures and Duty to Pay

245.301  Collection procedures.
245.303  Duty to pay.

    Authority: 45 U.S.C. 431, 437, 438, 446; 49 CFR 1.49(m).

    Source: 57 FR 30602, July 9, 1992, unless otherwise noted.



                           Subpart A--General



Sec. 245.1  Purpose and scope.

    (a) The purpose of this part is to implement section 216 of the 
Federal Railroad Safety Act of 1970 (45 U.S.C. 446) (the ``Safety Act'') 
which requires the Secretary of Transportation to establish a schedule 
of fees to be assessed equitably to railroads to cover the costs 
incurred by the Federal Railroad Administration (``FRA'') in 
administering the Safety Act (not including activities described in 
section 202(a)(2) thereof).
    (b) Beginning in the fiscal year ending September 30, 1991, each 
railroad subject to this part shall pay an annual user fee to the FRA. 
For fiscal years 1992 through 1995, the user shall be calculated by FRA 
in accordance with Sec. 245.101. The Secretary's authority to collect 
user fees shall expire on September 30, 1995, as provided for in section 
216(f) of the Safety Act.



Sec. 245.3  Application.

    This part applies to all railroads except those railroads whose 
entire operations are confined within an industrial installation.



Sec. 245.5  Definitions.

    As used in this part--
    (a) Employee hours means the number of hours worked by all employees 
of the railroad during the previous calendar year.
    (b) FRA means the Federal Railroad Administration.
    (c) Industrial track means a switching track serving industries, 
such as mines, mills smelters, and factories.
    (d) Light density railroad means railroads with 1200 or less train-
miles per road mile.

[[Page 562]]

    (e) Main track means a track, other than an auxiliary track, 
extending through yards or between stations, upon which trains are 
operated by timetable or train order or both, or the use of which is 
governed by a signal system.
    (f) Passenger service means both intercity rail passenger service 
and commuter rail passenger service.
    (g) Railroad means all forms of non-highway ground transportation 
that run on rails or electro-magnetic guideways, including (1) commuter 
or other short-haul rail passenger service in a metropolitan or suburban 
area, as well as any commuter rail service which was operated by the 
Consolidated Rail Corporation as of January 1, 1979, and (2) high speed 
ground transportation systems that connect metropolitan areas, without 
regard to whether they use new technologies not associated with 
traditional railroads. Such term does not include rapid transit 
operations within an urban area that are not connected to the general 
railroad system of transportation (See, 45 U.S.C. 431(e)).
    (h) Responsible entity means the railroad subject to this part as of 
December 31 of the applicable fiscal year (October 1 to September 30), 
i.e December 31, 1991, for fiscal year 1992, December 31, 1992, for 
fiscal year 1993, etc.
    (i) Road miles means the length in miles of the single or first main 
track, measured by the distance between terminals or stations, or both. 
Road miles does not include industrial and yard tracks, sidings, and all 
other tracks not regularly used by road trains operated in such specific 
service, and lines operated under a trackage rights agreement.
    (j) Safety Act means the Federal Railroad Safety Act of 1970 (45 
U.S.C. 421 et seq.)
    (k) Sliding Scale means the adjustment made to the mile of road of 
light density railroads. The sliding scale is as follows:

------------------------------------------------------------------------
                                                                Scaling
                  Train miles per road mile                      factor
------------------------------------------------------------------------
Up to 500....................................................         .0
501 to 750...................................................        .25
751 to 1000..................................................        .50
1001 to 1200.................................................        .75
1201 and above...............................................       1.00
------------------------------------------------------------------------

    The scaling factor is multiplied by the preliminary rate per road 
mile for each railroad for the year.
    (l) Trackage rights agreement means an agreement through which a 
railroad obtains access and provides service over tracks owned by 
another railroad where the owning railroad retains the responsibility 
for operating and maintaining the tracks.
    (m) Train means a unit of equipment, or a combination of units of 
equipment (including light locomotives) in condition for movement over 
tracks by self-contained motor equipment.
    (n) Train mile means the movement of a train a distance of one mile 
measured by the distance between terminals and/or stations and includes 
yard switching miles, train switching miles, and work train miles. Yard 
switching miles may be computed on any reasonable, supportable, and 
verifiable basis. In the event actual mileage is not computable by other 
means, yard switching miles may be computed at the rate of 6 mph for the 
time actually engaged in yard switching service.
    (o) Yard track means a system of tracks within defined limits used 
for the making up or breaking up of trains, for the storing of cars, and 
for other related purposes, over which movements not authorized by 
timetable, or by train order may be made subject to prescribed signals, 
rules or other special instructions. Sidings used exclusively as passing 
track and main line track within yard limits are not included in the 
term yard track.



Sec. 245.7  Penalties.

    Any person (including a railroad and any manager, supervisor, 
official, or other employee or agent of a railroad) who violates any 
requirement of this part or causes the violation of any such requirement 
is subject to a civil penalty of at least $250 and not more than $10,000 
per violation. Civil penalties may be assessed against individuals only 
for willful violations. Each day a violation continues shall constitute 
a separate offense. A person may also be subject to the criminal 
penalties provided for in 45 U.S.C. 438(e) for knowingly and willfully 
falsifying records or reports required by this part.

[[Page 563]]



                 Subpart B--Reporting and Recordkeeping



Sec. 245.101  Reporting requirements.

    (a) Each railroad subject to this part shall submit to FRA, not 
later than March 1st of each year (August 1st, for the fiscal year 
ending September 30, 1992) a report identifying the railroad's total 
train miles for the prior calendar year, the total road miles owned, 
operated under lease, or controlled (but not including trackage rights) 
by the railroad as of December 31 of the previous calendar year, and the 
railroad's total number of employee hours for the prior calendar year. 
An entity shall be considered a railroad subject to this part if it 
conforms to the definitions found in Sec. 245.5(g) and (h) above. Each 
railroad shall report all of the data for the entire relevant calendar 
year whether or not its present operations generated all of the 
reportable data. This report shall be made on FRA Form 6180.91--Annual 
Report of Railroads Subject to User Fees and shall be filed by the 
Responsible Entity (see Sec. 245.5(h)). The report shall include an 
explanation for an entry of zero for train miles, road miles, or 
employee hours. Each railroad shall also identify all subsidiary 
railroads for which it is reporting and provide a breakdown of train 
miles, road miles, and employee hours for each subsidiary. Finally, each 
railroad shall enter its corporate billing address for the user fees, 
and the name, title, telephone number, date, and a signature of the 
person submitting the form to FRA.
    (b) FRA anticipates mailing blank copies of FRA Form 6180.91--Annual 
Report of Railroads Subject to User Fees to each railroad during the 
month of January (the month of July for the fiscal year ending September 
30, 1992) for the railroad's use in preparing the report. This action by 
FRA is for the convenience of the railroads only and in no way affects 
the obligation of railroads subject to this part to obtain and submit 
FRA Form 6180.91 to FRA in a timely fashion in the event a blank form is 
not received from FRA. Blank copies of FRA Form 6180.91 may be obtained 
from the Office of Safety, FRA, 400 Seventh Street, SW., Washington, DC 
20590.
    (c) Train miles, as defined in Sec. 245.5(n), shall be calculated by 
the railroad in accordance with the following considerations:
    (1) Each railroad subject to this part is to report the train miles 
for the freight and passenger service it operates without regard to 
track or facility ownership.
    (2) Train miles are to be reported by both freight and passenger 
railroads and shall include miles run between terminals or stations, or 
both, miles run by trains consisting of empty freight cars or without 
cars, locomotive train miles run, miles run by trains consisting of 
deadhead passenger equipment, motor train miles run, yard-switching 
miles run, work train miles, and train switching miles.
    (d) Road miles, as defined in Sec. 245.5(i), shall be calculated by 
the railroad in accordance with the following considerations:
    (1) Road miles to be reported shall include all track owned, 
operated under lease, or controlled by the railroad but shall not 
include track used under trackage rights agreements. (Note: road miles 
consisting of leased track are to be reported by the lessee railroad). 
Road miles consisting of jointly-owned track or track jointly operated 
under lease shall be reported by the railroad controlling operations 
over the track. Road miles for a given section of railroad should be 
reported by only one railroad.
    (2) Road miles to be reported shall not include industrial track, 
yard tracks, sidings, and other tracks not regularly used by road trains 
operated in such specific service. The determination that a particular 
track segment qualifies as industrial track or yard track must be made 
on a reasonable and supportable basis. Road miles do not include track 
which was out of service for the entire calendar year that is the 
subject of the user fee report.
    (e) Employee hours, as defined in Sec. 245.5(a), shall be calculated 
by the railroad in accordance with the following considerations: 
Employees hours to be reported include the number of hours worked by all 
railroad employees, regardless of occupation, during the previous 
calendar year. Include

[[Page 564]]

all employees in the occupational categories shown in appendix D of the 
FRA Guide for Preparing Accident/Incident Reports. Employee hours do not 
include time paid but not actually worked, such as holidays, vacations, 
etc. Employee hours do not include hours worked by volunteers. Employee 
hours do not include hours worked by individuals not employed directly 
by the reporting railroad (i.e. contractor employees).
    (f) In computing both train miles and road miles, fractions 
representing less than one-half mile shall be disregarded and other 
fractions considered as one mile.
    (g) Each railroad subject to this part has a continuing obligation 
to assure that the information provided to FRA on Form 6180.91--Annual 
Report of Railroads Subject to User Fees is accurate. Should a railroad 
learn at a later date that the information provided was not correct, it 
shall submit a revised Form 6180.91 along with a letter explaining in 
detail the discrepancy.
    (h) Each railroad subject to this part has an obligation to assure 
that the information provided to FRA under this part is consistent with 
information provided to FRA under other reporting requirements, in 
particular reports submitted under 49 CFR part 225--Railroad Accidents/
Incidents: Reports Classification, and Investigations. The railroad 
shall fully explain and resolve any discrepancies.
    (i) The FRA has prepared a questionnaire entitled ``Written 
Questionnaire on Whether Your Company Is A `Railroad' Subject To FRA 
User Fee Regulations'' (FRA Form 6180.90) in order to assist in 
determining whether certain entities meet the definition of ``railroad'' 
included in Sec. 245.5 or constitute railroads whose entire operations 
are confined within an industrial installation (``plant railroads'') 
excluded from this part under Sec. 245.3. Copies of FRA Form 6180.90 are 
available from the Office of Safety, FRA, 400 Seventh Street, SW., 
Washington, DC 20590.



Sec. 245.103  Recordkeeping.

    Each railroad subject to this part shall maintain adequate records 
supporting its calculation of the railroad's total train miles for the 
prior calendar year, total road miles as of December 31 of the previous 
calendar year, and the total employee hours for the previous calendar 
year. Such records shall be sufficient to enable the FRA to verify the 
information provided by the railroad on FRA Form 6180.91--Annual Report 
of Railroads Subject to User Fees. Such records shall also be available 
for inspection and copying by the Administrator or the Administrator's 
designee during normal business hours.



Sec. 245.105  Retention of records.

    Each railroad subject to this part shall retain records required by 
Sec. 245.103 for at least three years after the end of the calendar year 
to which they relate.



                     Subpart C--User Fee Calculation



Sec. 245.201  User fee calculation.

    (a) The fee to be paid by each railroad shall be determined as 
follows:
    (1) After March 15th of each year (August 1st for the fiscal year 
ending September 30, 1992), FRA will tabulate the total train miles, 
total employee hours, and total road miles for railroads subject to this 
part for the preceding calendar year. FRA's calculations will be based 
on the information supplied by railroads under Sec. 245.101 hereof, and 
other reports and submissions which railroads are required to make to 
FRA under applicable regulations (i.e. 49 CFR parts 225 and 228). At the 
same time, FRA will calculate the total cost of administering the Safety 
Act for the current fiscal year (other than activities described in 
section 202(a)(2) thereof) which will represent the total amount of user 
fees to be collected.
    (2) Using tabulations of total train miles, total employee hours, 
total road miles, and the total cost of administering the Safety Act, 
FRA will calculate a railroad's user fee assessment as follows:
    (i) The assessment rate per train mile will be calculated by 
multiplying the total costs of administering the Safety Act by 0.55 and 
then dividing this amount (i.e., fifty-five percent of the total amount 
to be collected) by the total number of train miles reported to the FRA 
for the previous calendar year. The result will be the railroad

[[Page 565]]

user fee assessment rate per train mile for the current fiscal year.
    (ii) The assessment rate per employee hour will be calculated by 
multiplying the total costs of administering the Safety Act by 0.1 and 
then dividing this amount (i.e., 10 percent of the total amount to be 
collected) by the total number of employee hours reported to the FRA for 
the previous calendar year. The result will be the railroad user fee 
rate per employee hour for the fiscal year.
    (iii) The assessment rate per road mile will be calculated in three 
steps. First, FRA will determine a preliminary assessment rate per road 
mile by multiplying the total costs of administering the Safety Act by 
0.35 and dividing this amount (i.e., thirty-five percent of the total 
amount to be collected) by the total road miles reported to FRA for the 
previous calendar year. Second, FRA will adjust this preliminary rate 
per road mile for each light density railroad by multiplying the 
preliminary rate by the appropriate scaling factor identified in 
Sec. 245.5(h). The result will be a reduced assessment rate per road 
mile for light density railroads. Third, FRA will adjust the preliminary 
assessment rate per road mile for all railroads except light density 
railroads by adding to their preliminary rate an incremental amount 
reflecting the reallocation of the relief provided to light density 
railroads under step 2 using the sliding scale. The incremental amount 
is calculated by subtracting (A) the total amount to be collected from 
light density railroads after application of the sliding scale from (B) 
the total amount that would have been collected from light density 
railroads using the preliminary assessment rate and developed under step 
1 and (C) dividing the resulting amount by the total road miles reported 
to FRA by all railroads except light density railroads. The incremental 
amount is then added to the preliminary assessment rate for all 
railroads except light density railroads to derive the assessment rate 
per road mile for all railroads except light density railroads. The 
results will be a modified assessment rate per road mile for light 
density railroads qualifying under step 2 and a general assessment rate 
applicable to all other railroads. In those cases where the computed fee 
is less than the defined minimum, the net increase attributable to the 
application of the minimum standard is not included in the reallocation 
process under step 3 and is instead added to total collections.
    (b) The user fee to be paid by each covered railroad is the greater 
of $500.00 or the sum of the railroad's train miles times the assessment 
rate per train mile, the railroad's employee hours times the assessment 
rate per employee hour, and the railroad's road miles times the 
applicable assessment rate per road mile.



            Subpart D--Collection Procedures and Duty to Pay



Sec. 245.301  Collection procedures.

    (a) After March 15th of each year (August 15th for the fiscal year 
ending September 30, 1992), FRA will publish in the Federal Register a 
notice containing FRA's preliminary estimates of the total user fee to 
be collected, the assessment rate per train mile, the assessment rate 
per employee hour, and the assessment rate per road mile (as adjusted by 
the sliding scale). The information published by FRA will be sufficient 
to enable each railroad to calculate its estimated user fee bill for the 
fiscal year on the basis of the train mile, employee hour, and road mile 
information provided by the railroad to FRA.
    (b) After June 1st of each year, (August 15th for the fiscal year 
ending September 30, 1992), FRA will provide to each covered railroad a 
notice (the ``Assessment Notice'') containing FRA's final calculations 
of the total user fee to be collected, the assessment rate per train 
mile, the assessment rate per employee hour, the assessment rate per 
road mile (as adjusted by the sliding scale), the train miles, employee 
hours, and road miles for the railroad for the prior calendar year, the 
user fee to be paid by the railroad, and a statement and payment record 
form. FRA will mail the Assessment Notice sufficiently in advance of the 
end of the fiscal year in order to allow all collections to be completed 
prior to the end of the fiscal year. FRA will

[[Page 566]]

mail the Assessment Notice to the billing address designated by the 
railroad on FRA Form 6180.91--Annual Report of Railroads Subject to User 
Fees.



Sec. 245.303  Duty to pay.

    (a) Beginning in the fiscal year ending September 30, 1991, each 
railroad subject to this part shall pay an annual railroad user fee to 
the FRA. Payment in full shall be received by FRA no later than thirty 
days after the Assessment Notice is mailed. Payment is made only when 
received by FRA. Payments in excess of ten thousand dollars ($10,000.00) 
shall be made by wire transfer through the Federal Reserve 
communications, commonly known as Fedwire, to the account of the U.S. 
Treasury in accordance with the instructions provided in the Assessment 
Notice. Payments of ten thousand dollars or less shall be by check or 
money order payable to the Federal Railroad Administration. The payment 
shall be identified as the railroad's user fee by noting it with the 
User Fee Bill Number as assigned by FRA and by returning the payment 
record received with the Assessment Notice. Payment shall be sent to the 
address stated in the assessment notice. Any railroad making an 
aggregate payment for one r more subsidiaries or affiliates should 
return the payment records for each and list all applicable Bill Numbers 
with the payment.
    (b) The responsibility for paying the user fee rests with the 
responsible entity (see Sec. 245.5(h)). Parties involved in purchase and 
sale transactions of railroad(s) or portions of a railroad shall be 
responsible for allocating the user fee amongst the interested entities 
in an appropriate fashion. FRA will not prorate user fee bills.
    (c) No user fee will be collected from railroads that properly 
report zero train miles and zero road miles on FRA Form 6180.91--Annual 
Report of Railroads Subject to User Fees.
    (d) Payments not received by the due date will be subject to 
allowable interest charges, penalties, and administrative charges (31 
U.S.C. 3717). Follow-up demands for payment and other actions intended 
to assure timely collection, including referral to local collection 
agencies or court action, will be conducted in accordance with Federal 
Claims Collection Standards (4 CFR chapter II) and Departmental 
procedures (49 CFR 89).



PART 250--GUARANTEE OF CERTIFICATES OF TRUSTEES OF RAILROADS IN REORGANIZATION--Table of Contents




Sec.
250.1  Form and content of application.
250.2  Required exhibits.
250.3  Fees.
250.4  Execution and filing of application.
250.5  General instructions.

    Authority: Sec. 3(f) of the Emergency Rail Services Act of 1970, 
Pub. L. 91-663; sec. 1.49(m), regulations of the Office of the Secretary 
of Transportation, 49 CFR 1.49(m).

    Source: 36 FR 770, Jan. 16, 1971, unless otherwise noted.



Sec. 250.1  Form and content of application.

    The application shall include, in the order indicated and by section 
numbers and letters corresponding to those used in this part, the 
following:
    (a) As to the Trustee:
    (1) Full and correct name and principal business address.
    (2) The name and address of the reorganization court under the 
direction of which the Trustee is acting and the docket number of the 
proceeding.
    (3) Name, title, and address of the person to whom correspondence 
regarding the application should be addressed.
    (4) Brief description of the loan and its purpose or purposes, 
including statements of
    (i) The total amount of the loan and the amount of the guarantee 
being sought,
    (ii) The purpose or purposes for which the loan proceeds will be 
used,
    (iii) The maturity date or dates,
    (iv) The date or dates on which the Trustee desires the funds to be 
made available, and
    (v) The rate of interest.
    (5) Statement, in summary form, showing financial obligations to or 
claims against the United States or obligations for which the United 
States is guarantor, if any, by applicant or any applicant's parent as 
to the date of the application, including:

[[Page 567]]

    (i) Status of any claims under litigation; and
    (ii) Any other debts or credits existing between the applicant and 
the United States, showing the department or agency involved in such 
loans, claims and other debts;
    (6)(i) Statement on behalf of the Trustee that the Trustee has 
endeavored to obtain a loan or loans for the purpose or purposes 
proposed without a guarantee by the Secretary, but has not been able to 
obtain a loan therefor upon reasonable terms, or if only upon terms 
considered unreasonable, a statement setting forth such terms and 
describing any facts relevant thereto.
    (ii) Information as to the Trustee's efforts to obtain the needed 
financing without a guarantee thereof by the Secretary, and as to the 
results of such efforts. (See Sec. 250.2(b)(1) as to exhibits on this 
subject.)
    (7) Full and complete statement, together with independent 
supporting evidence, where feasible, concerning the effect that 
cessation of essential transportation services of carrier would have on 
the public welfare.
    (8) Full and complete statement, together with supporting evidence, 
where possible, demonstrating that cessation of essential transportation 
services by applicant carrier is imminent.
    (9) Full and complete statement, together with supporting evidence, 
if possible, that there is no other practicable means of obtaining funds 
to meet payroll and other expenses necessary to provide essential 
transportation services other than the issuance of Trustee certificates. 
Such statements shall include in detail a complete listing of all 
nontransportation assets of the carrier and corporate affiliates, or 
subsidiaries having a fair market value of not less than $50,000, 
together with the amount of encumbrances thereon, if any, and a 
statement or plan for the disposition or sale of such assets as a means 
of obtaining funds necessary for essential transportation services.
    (10) Full and complete statement, together with supporting evidence, 
if possible, demonstrating, with particularity, that the carrier can 
reasonably be expected to become self sustaining within a reasonable 
period of time.
    (11) Full and complete statement, together with supporting evidence, 
that the probable value of the assets of the carrier in the event of 
liquidation provides reasonable protection to the United States.
    (b) As to the holder or holders:
    (1) Full and correct name and principal business address.
    (2) Names and addresses of principal executive officers and 
directors, or partners.
    (3) Reference to applicable provisions of law and the charter or 
other governing instruments conferring authority to the lender to make 
the loan and to accept the proposed obligation.
    (4) Brief statement of the circumstances and negotiations leading to 
the agreement by the lender to make the proposed loan, including the 
name and address of any person or persons, or employees of the carrier, 
representing or purporting to represent the Trustee in connection with 
such negotiations.
    (5) Brief statement of the nature and extent of any affiliation or 
business relationship between the lender and any of its directors, 
partners, or principal executive officers, on the one hand, and, on the 
other, the carrier and any of its directors, partners, or principal 
executive officers, or any person or persons whose names are required to 
be furnished under paragraph (b)(4) of this section.
    (6) Full and complete statement of all sums paid or to be paid and 
of any other consideration given or to be given by lender in connection 
with the proposed loan, including with respect thereto:
    (i) Name and address of each person to whom the payment is made or 
to be made,
    (ii) The amount of the cash payment, or the nature and value of 
other consideration,
    (iii) The exact nature of the services rendered or to be rendered,
    (iv) Any condition upon the obligation of the lender to make such 
payment, and
    (v) The nature of any affiliation, association, or prior business 
relationship between any person named in answer to paragraph (6)(i) of 
this section

[[Page 568]]

and the lender or any of its directors, partners, or officers.
    (c) As to the impact of the financing on the environment. (1) 
Summary statement of the use to which funds will be put and any 
anticipated impact on the environment. After reviewing this submission, 
the Administrator retains the right to require the Trustee to submit a 
detailed assessment of the financing's impact on the environment in a 
general format to be supplied by the Administrator.
    (2) [Reserved]

[44 FR 23851, Apr. 23, 1979]



Sec. 250.2  Required exhibits.

    There shall be filed with and made a part of each application and 
copy thereof the following exhibits, except that exhibits filed with the 
Administrator pursuant to some other statutory provision or regulation 
which are in the same format as the following exhibits may be 
incorporated in and made part of the application filed under this part 
by reference. While the application is pending, when actual data become 
available in place of the estimated or forecasted data required in the 
exhibits under this part, such actual data must be reported promptly to 
the Administrator in the form required in the appropriate exhibit.
    (a) The following exhibits are required concerning the Trustee and 
the carrier:
    (1) As Exhibit 1, copy of duly certified order of the court, or 
instrument of appointment, appointing trustees of the carrier.
    (2) As Exhibit 2, a certified copy of the order(s) of the 
reorganization court having jurisdiction of applicant authorizing (i) 
the filing of the application with the Administrator for a guarantee of 
the Trustee's certificate; (ii) filing of the application with the 
Interstate Commerce Commission for authority to issue a Trustee's 
certificate; (iii) such pledge of security for the loan and the 
guarantee as the applicant proposes in connection with Exhibit 3; and 
(iv) compliance by the Trustee with conditions to the guarantee imposed 
by law and the Administrator.
    (3) As Exhibit 3, full and complete statement, together with 
supporting evidence, that the probable value of the assets of the 
railroad in the event of liquidation provides reasonable protection to 
the United States.
    (4) As Exhibit 4, a map of the carrier's existing railroad.
    (5) As Exhibit 5, statement showing miles of line owned; miles 
operated; number of units of locomotives, freight cars, and passenger 
cars owned and leased; principal commodities carried; and identification 
of the ten most important industries served.
    (6) As Exhibit 6, statement as to whether any railroad affiliated 
with the carrier has applied for or received any Federal assistance 
since 1970.
    (7) As Exhibit 7, statement showing total dividends, if any, 
declared and total dividends paid for each of the last 5 calendar years 
and for each month of the current year to latest available date.
    (8) As Exhibit 8, a copy of applicant's most recent year-end general 
balance sheet certified by applicant's independent public accountants, 
if available, and a copy of applicant's most recent unaudited general 
balance sheet as of a date no less recent than the end of the third 
month preceding the date of the filing of the application. The unaudited 
balance sheet shall be presented in account form and detail as required 
in Schedule 200 of the Commission's annual report R-1 or R-2, as 
appropriate, together with the following schedules (where changes in 
accounts from the end of the prior year to date of the application have 
not been significant, copies of the appropriate schedules in the prior 
year's R-1 or R-2 with marginal notations listing the changes may be 
substituted):
    (i) Particulars of Account 704, Loans and Notes Receivable, in form 
and detail as required in Schedule 201 of annual report R-1 for the 
Class I railroads, and in similar form for the Class II railroads except 
that for Class II railroads, loans and notes receivable that are each 
less than $25,000 may be combined into a single amount;
    (ii) Particulars of investment in affiliated companies and other 
investment in form and detail required in Schedules 205 and 206 of 
annual report R-1, or Schedules 1001 and 1002 of annual report R-2, as 
appropriate;

[[Page 569]]

    (iii) Particulars of balances in Accounts 741, Other Assets, and 
743, Other Deferred Changes, in form and detail required in Schedule 216 
of annual report R-1 or Schedule 1703 of annual report R-2, as 
appropriate;
    (iv) Particulars of loans and notes payable in form and detail 
required in Schedule 223 of annual report R-1, or Schedule 1701 of 
annual report R-2, as appropriate, as well as information as to bank 
loans, including the name of the bank, date and amount of the original 
loan, current balance, maturities, rate of interest, and security, if 
any;
    (v) Particulars of long-term debt in form and detail required in 
Schedules 218 and 219 of annual report R-1 or Schedules 670, 695, 901, 
902 and 1702 of annual report R-2, as appropriate, together with a brief 
statement concerning each mortgage, pledge, and other lien, indicating 
the property or securities encumbered, the mortgage limit per mile, if 
any, and particulars as to priority;
    (vi) Particulars of balance in Account 784. Other Deferred Credits, 
in form and detail required in Schedule 225 of annual report R-1 or 
Schedule 1704 of annual report R-2, as appropriate; and
    (vii) Particulars as to capital stock in form and detail required in 
Schedules 228, 229, and 230 of annual report R-1 or Schedule 690 in 
annual report R-2, as appropriate.
    (9) As Exhibit 9, a copy of carrier applicant's report to its 
stockholders or report of the trustee for each of the 3 years preceding 
the year in which the application is filed.
    (10) As Exhibit 10, applicant's most recent annual income statement 
certified by applicant's independent public accounts if available, and a 
spread sheet showing unaudited monthly and year-to-date income statement 
data for the calendar year in which the application is filed in account 
form similar to that required in column (a) of Schedule 300 of annual 
report R-1 or R-2 as appropriate. For those months preceding and ending 
upon the date of the unaudited balance sheet presented in Exhibit 8, the 
income statement shall be reported on an actual basis and so noted. For 
those months between the dates of the unaudited balance sheet and the 
filing of the application, the income statement data shall be reported 
on an estimated basis and so noted and shall be submitted in conjunction 
with corresponding estimated month-end balance sheets. For those months 
between the date of the application and the end of the year income 
statement data shall be presented on a forecasted basis and so noted and 
shall be submitted in conjunction with a forecasted balance sheet as at 
the year end.
    (11) As Exhibit 11, spread sheets showing for each of the four years 
subsequent to the year in which the application is filed, both before 
and after giving effect to the proceeds of the assistance required in 
the application:
    (i) Forecasted annual income statement data in account form and 
detail similar to that required in column (a) of Schedule 300 of annual 
report R-1 or R-2 as appropriate, including the subaccounts comprising 
line 2 (railway operating expenses), as specified by lines 64, 92, 105, 
159, 166, and 180 of Schedule 320; and
    (ii) Forecasted year-end balance sheets in account form and detail 
similar to that required in Schedule 200 of annual report R-1 or R-2, as 
appropriate. These spread sheets shall be accompanied by a statement 
setting forth the bases for such forecasts.
    (12) As Exhibit 12, a spread sheet showing changes in financial 
position for the year in which the application is filed in account form 
and detail as required in Schedule 309 of annual report R-1 and R-2 as 
appropriate as follows:
    (i) For that period ending on the date of the unaudited balance 
sheet in Exhibit C, based upon actual data; and
    (ii) For that period from the balance sheet date to the end of the 
year, based upon estimated and forecasted data.
    (13) As Exhibit 13, a spread sheet showing forecasted changes in 
financial position for each of the four calendar years subsequent to the 
year in which the application is filed, both before and after giving 
effect to any funds requested in the application and including a 
statement showing the bases for such estimates, in account form and 
detail as required in Schedule 309 of the annual Report R-1 for Class I 
railroads in similar form and detail for Class II railroads.

[[Page 570]]

    (14) As Exhibit 14, a statement showing actual cash balance at the 
beginning of each month and the actual cash receipts and disbursements 
during each month of the current year to the date of the latest balance 
sheet furnished as Exhibit 8, together with a monthly forecast (both 
before and after giving effect to use of proceeds from the proposed 
loan) for the balance of the current year and the year subsequent 
thereto.
    (15) As Exhibit 15, a general statement setting forth the facts as 
to estimated prospective earnings and other funds upon which applicant 
relies to repay the loan.
    (b) The following exhibits are required as to the transaction.
    (1) As Exhibit 16, copies of correspondence from all, and not less 
than three, lending institutions or security underwriters to which 
application for the financing has been made, evidencing that they have 
declined the financing unless guaranteed by the Secretary or specifying 
the terms upon which they will undertake the financing without such 
guarantee.
    (2) As Exhibit 17, specimens, or forms where specimens are not 
available, of all securities to be pledged or otherwise issued in 
connection with the proposed loan; and in case of mortgage, a copy of 
the mortgage or indenture.
    (3) As Exhibit 18, copies of the loan agreement entered into, or to 
be entered into, between the Trustee and lender, and of any agreements 
or instruments executed or be executed in connection with the proposed 
loan.

[44 FR 23852, Apr. 23, 1979]



Sec. 250.3  Fees.

    On date of final payment of the loan guaranteed by the Secretary 
pursuant to application filed under this part, the applicant carrier or 
the trustee, if still in existence, shall pay, or cause to be paid, to 
the Administrator as a guarantee fee such amount as the Administrator 
hereafter may determine and prescribe as necessary to cover the 
administrative costs of carrying out the provisions of the Emergency 
Rail Services Act of 1970.



Sec. 250.4  Execution and filing of application.

    The following procedure shall govern the execution and filing of the 
application:
    (a) The original application shall bear the date of execution and be 
signed with ink by or on behalf of the trustee and the lender. Execution 
on behalf of the trustee shall be by the trustee or trustees having 
knowledge of the matters therein set forth. Persons signing the 
application on behalf of the trustee and lender, respectively, shall 
also sign a certificate in form as follows:

    (Name of official) ________________________ certifies that he is the 
________________________ (title of official) of the 
________________________ (name of carrier or lender); that he is 
authorized on the part of said applicant to sign and file with the 
Administrator this application and exhibits attached thereto; that he 
has carefully examined all of the statements contained in such 
application and the exhibits attached thereto and made a part thereof 
relating to the aforesaid ________________ (name of carrier or lender); 
that he has knowledge of the matters set forth therein and that all such 
statements made and matters set forth therein are true and correct to 
the best of his knowledge, information, and belief.
                                                                  (Date)

    (b) There shall be made a part of the original application the 
following certificate by the Chief Accounting Officer of the carrier:

    (Name of officer) ________________________, certifies that he is 
________________________ (title of officer) of 
________________________________ (name of carrier applicant); that he 
has supervision over the books of account and other financial records of 
the carrier and has control over the manner in which they are kept; that 
such accounts are maintained in good faith in accordance with the 
effective accounting and other orders of the Interstate Commerce 
Commission; that he has examined the financial statements and supporting 
schedules included in this application and to the best of his knowledge 
and belief said statements accurately reflect the accounts as stated in 
the books of account; and that, other than the matters set forth in the 
exceptions attached to such statements, said financial statements and 
supporting schedules represent a true and complete statement of the 
financial position of the carrier applicant and that there are no 
undisclosed assets, liabilities,

[[Page 571]]

commitments to purchase property or securities, other commitments, 
litigation in the courts, contingent rental agreements, or other 
contingent transactions which might materially affect the financial 
position of the carrier applicant.
                                                                  (Date)

    (c) The original application and supporting papers, and six copies 
thereof for the use of the Administrator shall be filed with the 
Administrator, Federal Railroad Administration, Department of 
Transportation, Washington, DC. Simultaneously, one copy of the 
application and supporting papers shall be filed with the Secretary of 
the Interstate Commerce Commission, Washington, DC. Each copy shall bear 
the dates and signatures that appear in the original and shall be 
complete in itself, but the signatures in the copies may be stamped or 
typed. If unusual difficulties arise in the furnishing of any of the 
exhibits required in Sec. 250.2, the carrier applicant or the lender, 
upon appropriate showing and with the consent of the Administrator, may 
file a lesser number.
    (d) In the event the furnishing of exhibits in the detail required 
by Sec. 250.2 is shown by the applicant or applicants to be unduly 
burdensome in relation to the nature and amount of the loan, the 
Administrator may modify the requirements of said section. In addition, 
the Administrator may waive or modify any requirement of this part upon 
good cause shown, or make any additional requirements he deems 
necessary.



Sec. 250.5  General instructions.

    (a) If the application is approved by the Administrator and the 
Secretary of Transportation and the latter agrees to make the guarantee, 
the following documents will be required for deposit with the 
Administrator before the transaction is closed:
    (1) Final opinion by counsel for the Trustee to the effect that he 
is familiar with the corporate powers of the carrier applicant and the 
orders of the reorganization court; that the Trustees of the carrier 
applicant are authorized to execute and deliver the certificate or other 
obligations evidencing the same, and to pledge and hypothecate any 
securities pledged as collateral; that the certificate or other 
obligations so executed and so delivered constitute the valid and 
binding obligations of the Trustees of the carrier that the certificate 
or other obligations of the Trustee will be treated as an expense of 
administration and receive the highest lien on the railroads property 
and priority in payment under the Bankruptcy Act, and that the lender 
and the Secretary will obtain a lien on any security involved of the 
rank and priority represented by the Trustee. Such opinion shall also 
cover the priority and lien of each item of the collateral offered.
    (2) Certified copies of the reorganization court orders and decrees 
authorizing the Trustee to execute and deliver the certificates or other 
obligations and to give the security under and according to the terms of 
the loan and guarantee as prescribed by the Administrator. Such order or 
orders of the reorganization court shall specify that trustee 
certificates, guaranteed by the Secretary as to payment of principal and 
interest, shall be treated as an expense of administration and receive 
the highest lien on the railroad's property and priority in payment 
under the Bankruptcy Act.
    (3) Unexecuted copies of the foregoing documents will be delivered 
to the Administrator 3 business days prior to closing.
    (b) The guarantee by the Secretary of a loan pursuant to an 
application filed as provided in this part should not be construed as 
relieving a carrier from complying with applicable provisions of section 
20a of the Interstate Commerce Act (49 U.S.C. 20a) in relation to the 
issuance of Trustee certificates.



PART 256--FINANCIAL ASSISTANCE FOR RAILROAD PASSENGER TERMINALS--Table of Contents




  Regulations Governing Applications for and Disbursement of Financial 
                               Assistance

Sec.
256.1  Purpose.
256.3  Definitions.
256.5  Eligibility.
256.7  Financial assistance.
256.9  [Reserved]
256.11  Applications.
256.13  Review and approval of applications.
256.15  Disbursement of financial assistance.

[[Page 572]]


Appendix A to Part 256--Certificate

    Authority: Sec. 4(i) of the Department of Transportation Act, 49 
U.S.C. 1653(i), as amended by (1) sec. 15 of the Amtrak Improvement Act 
of 1974, Pub. L. 93-496, 88 Stat. 1528; (2) sec. 13 of the Amtrak 
Improvement Act of 1975, Pub. L. 94-25, 89 Stat. 93; (3) sec. 706 of the 
Railroad Revitalization and Regulatory Reform Act of 1976, Pub. L. 94-
210, 90 Stat. 125; and (4) sec. 219(a) of the Rail Transportation 
Improvement Act, Pub. L. 94-555, 90 Stat. 2629; and regulations of the 
Office of the Secretary of Transportation, 49 CFR 1.49(r).

  Regulations Governing Applications for and Disbursement of Financial 
                               Assistance



Sec. 256.1  Purpose.

    The purpose of this part is to establish procedures for implementing 
subsection 4(i) of the Department of Transportation Act as amended (49 
U.S.C. 1653(i)) with respect to all financial assistance provided under 
that subsection.

[40 FR 29080, July 10, 1975]



Sec. 256.3  Definitions.

    As used in this part--
    (a) Act means the Department of Transportation Act, as amended.
    (b) Administrator means the Federal Railroad Administrator, or his 
delegate.
    (c) Allowable project costs means those project costs for which 
Federal financial assistance may be expended under Sec. 256.7.
    (d) Applicant means a governmental entity, a non-profit public-
purpose organization, or any responsible person having the legal, 
financial, and technical capacity to implement an intermodal passenger 
terminal project under this part. The applicant must have legal 
authority to receive and expend Federal funds.
    (e) Chairman means the Chairman of the National Endowment for the 
Arts.
    (f) Civic and cultural activities includes, but is not limited to, 
museums, libraries, musical and dramatic presentations, art exhibitions, 
adult education programs, public meetings of community groups, 
convention visitors and others, and other public activities supported in 
whole or in part under Federal law.
    (g) Council means the Advisory Council on Historic Preservation.
    (h) Demonstration funds means funds authorized for the purpose set 
forth in paragraph (1)(A) of subsection 4(i) of the Act.
    (i) Intermodal passenger terminal means an existing railroad 
passenger terminal which has been or may be modified as necessary to 
accommodate several modes of transportation, including intercity rail 
service and some or all of the following: Intercity bus, commuter rail, 
intra-city rail transit and bus transportation, airport limousine 
service and airline ticket offices, rent-a-car facilities, taxis, 
private parking, and other transportation services.
    (j) National Register means the National Register of Historic Places 
maintained by the Secretary of the Interior.
    (k) Planning funds means funds authorized for the purpose set forth 
in paragraph (1)(D) of subsection 4(i) of the Act.
    (l) Preservation funds means funds authorized for the purpose set 
forth in paragraph (1)(B) of subsection 4(i) of the Act.
    (m) Project means a locally sponsored, coordinated, and administered 
program, or any part thereof, to plan, finance, construct, maintain, or 
improve an intermodal passenger terminal, which may incorporate civic or 
cultural activities where feasible in an architecturally or historically 
distinctive railroad passenger terminal.
    (n) 4R Act means the Railroad Revitalization and Regulatory Reform 
Act of 1976, as amended, Public Law 94-210, 90 Stat. 125, 49 U.S.C. 
1653.
    (o) Sufficient commitments means commitments of a binding nature 
adequate to ensure the successful operation of a project. Such 
commitments may be conditional, requiring, for example, the 
participation of other entities in the project, or action by a date 
certain.

[40 FR 29080, July 10, 1975, as amended at 43 FR 21887, May 22, 1978; 44 
FR 21647, Apr. 11, 1979]



Sec. 256.5  Eligibility.

    (a) General. A project is eligible for financial assistance under 
subsection 4(i) of the Act if:

[[Page 573]]

    (1) The applicant provides satisfactory assurance that such fiscal 
control and fund accounting procedures will be adopted as may be 
necessary to assure proper disbursement of and accounting for Federal 
financial assistance granted to the applicant under the Act;
    (2) The applicant complies with the regulations of the Administrator 
prescribed in this part, and with such other terms and conditions as may 
be included in the grant of assistance; and
    (3) The Council is given a reasonable opportunity to review and 
comment upon the project as it affects property listed or eligible for 
listing on the National Register.
    (b) Demonstration funds. A project is eligible for financial 
assistance in accordance with subsection 4(i) of the Act if the 
Administrator determines that:
    (1) The railroad passenger terminal can be converted to an 
intermodal passenger terminal;
    (2) There exist sufficient commitments by Amtrak or other rail 
passenger carriers, and by intercity bus carriers, the local public 
transportation authority, or other public or private transportation 
operators, to provide co-ordinated service for convenient intermodal 
interchange to meet the goals enumerated in paragraph (b) of 
Sec. 256.13;
    (3) The railroad passenger terminal is listed on the National 
Register;
    (4) The architectural integrity of the railroad passenger terminal 
will be preserved, and this determination is concurred in by the 
consultants recommended by the Chairman and Council and retained by the 
Administrator for this purpose;
    (5) To the extent practicable, the use of station facilities for 
transportation purposes may be combined with use for other civic and 
cultural activities, especially when such use is recommended by the 
Council or the Chairman, or the consultants retained by the 
Administrator upon their recommendation;
    (6) The applicant has provided the information and documentation 
required under Sec. 256.11(c).
    (7) The railroad passenger terminal and the conversion project meet 
such other criteria as the Administrator may develop and promulgate in 
consultation with the Chairman and the Council.
    (c) Preservation funds. A project is eligible for financial 
assistance in accordance with subsection 4(i) of the Act if the 
Administrator determines that:
    (1) The applicant is empowered by applicable law, and is qualified, 
prepared, and committed, on an interim basis pending the formulation of 
plans for reuse, to maintain and prevent the demolition, dismantling, or 
further deterioration of, a railroad passenger terminal;
    (2) The railroad passenger terminal is threatened with demolition, 
dismantling, or further deterioration;
    (3) There is a reasonable likelihood that the railroad passenger 
terminal will be converted to or conditioned for reuse as an intermodal 
passenger terminal. The primary use of the terminal shall be for 
intermodal purposes, but facilities for the provision of civic and 
cultural activities may be incorporated to the extent feasible. Such 
dual use of the terminal is particularly encouraged when it is 
recommended by the Council or the Chairman.
    (4) Planning activity aimed at conversion or reuse has commenced and 
is proceeding in a competent manner;
    (5) The expenditure of funds on such project would be in the manner 
most likely to maximize the preservation of railroad passenger terminals 
which are:
    (i) Reasonably capable of conversion to intermodal passenger 
terminals;
    (ii) Listed in the National Register; or
    (iii) Recommended on the basis of architectural integrity and 
quality by the Chairman or the Council; and
    (6) The applicant has provided the information and documentation 
required by Sec. 256.11(d).
    (d) Planning funds. A project is eligible for financial assistance 
in accordance with subsection 4(i)(5) of the Act if the Administrator 
determines that:
    (1) The applicant is prepared to develop practicable plans meeting 
the zoning, land use, and other requirements of the applicable State and 
local jurisdictions in which the rail passenger terminal is located;

[[Page 574]]

    (2) The applicant incorporates into its plans for the conversion of 
an historic terminal into an intermodal passenger terminal, features 
which appear reasonably likely to attract private investors willing to 
finance the planned conversion and/or its subsequent maintenance and 
operation. The primary use of the terminal shall be for intermodal 
purposes, but facilities for the provision of civic or cultural 
activities may be incorporated to the extent feasible.
    (3) The applicant will be able to complete the designs and plans for 
such conversion within two years following the approval of the 
application for Federal financial assistance;
    (4) The expenditure of funds on such project would be in the manner 
most likely to maximize the preservation of railroad passenger terminals 
which are listed in the National Register or recommended on the basis of 
architectural integrity and quality by the Chairman or the Council; and
    (5) The applicant has provided the information and documentation 
required under Sec. 256.11(e).

[40 FR 29080, July 10, 1975, as amended at 43 FR 21887, May 22, 1978; 44 
FR 21647, Apr. 11, 1979]



Sec. 256.7  Financial assistance.

    (a) Demonstration funds. Federal financial assistance for the 
conversion of a railroad passenger terminal into an intermodal passenger 
terminal, under subsection 4(i)(2) of the Act, may be expended for the 
following project costs incurred after the date of final project 
approval:
    (1) Acquisition or long-term lease of real property or other 
property interests, including air rights, subterranean rights, or 
easements, where necessary for project implementation;
    (2) Final architectural and engineering construction documentation, 
including all necessary plans, specifications, detailed cost estimates, 
and implementation schedules; and
    (3) Construction, which may include, but is not limited to:
    (i) Complete rehabilitation and refurbishment of the interior and 
exterior of the structure;
    (ii) Provision of necessary public service facilities;
    (iii) Structural modifications and minor additions necessary to 
permit the development of (A) improved rail passenger facilities, (B) 
intercity bus terminal and docking facilities, (C) adequate facilities 
for local mass transit, and (D) parking and access for automobiles and 
bicycles; and
    (iv) Provisions for accommodating major tenants and concessionaires 
such as airline ticket offices, rent-a-car offices, and other 
transportation service facilities.
    (b) Preservation funds. Federal financial assistance under 
subsection 4(i)(3) of the Act, for the preservation of a railroad 
passenger terminal which has a reasonable likelihood of being converted 
or otherwise maintained, may be expended for costs incurred after the 
date of project approval which are necessary to maintain (and prevent 
the demolition, dismantling, or further deterioration of) a railroad 
passenger terminal pending the completion of project planning, for a 
period not to exceed five years.
    (c) Planning funds. Federal financial assistance granted under 
subsection 4(i)(5) of the Act for the development of plans for the 
conversion of a railroad passenger terminal into an intermodal passenger 
terminal, which may incorporate civic and cultural activities where 
feasible, may be expended for the following project costs if incurred 
within two years after project approval:
    (1) Cost of a study or studies to:
    (i) Assess the need for and the feasibility of converting an 
existing railroad passenger terminal into an intermodal passenger 
terminal which may incorporate civic and cultural activities where 
feasible;
    (ii) Develop a fiscal plan and agreements for the plan's 
implementation; and
    (iii)(A) Relate the project to other transportation priorities in 
the area; and
    (B) Evaluate alternate means of providing needed intermodal 
passenger services within the community.
    (2) Costs of preparation of preliminary architectural and 
engineering design documents for the project, including:

[[Page 575]]

    (i) Plans, sections, and sketches illustrating the functional as 
well as preservation aspects of the recommended development;
    (ii) Assessment of the condition of existing structural and 
utilities systems and requirements for their improvement;
    (iii) Outline specifications and preliminary estimates of project 
costs; and
    (iv) Required environmental impact reviews and analyses.
    (d) Federal share. The Federal share of any project under this part 
shall not exceed 80 percent of the total allowable project costs. The 
non-Federal share may not be augmented by any Federal funds, directly or 
indirectly, unless the funds are provided through a Federal program 
which specifically authorizes the augmentation of a non-Federal share of 
a federally-assisted program with such funds.

[40 FR 29080, July 10, 1975, as amended at 43 FR 21887, May 22, 1978; 44 
FR 21647, Apr. 11, 1979]



Sec. 256.9  [Reserved]



Sec. 256.11  Applications.

    (a) Incorporation by reference in application of previously 
submitted information or material. Any information or material of any 
kind which has been submitted by an applicant need not be resubmitted if 
the prior submission is identified and incorporated by reference in the 
application. Where the prior submission is in need of any changes of any 
kind, the changes may be submitted provided the prior submission is 
identified and incorporated by reference with the changes. Any 
assurance, certification, or affirmation previously made by the 
applicant, in connection with a prior submission, must be reaffirmed by 
the applicant when any identification and incorporation by reference of 
previously submitted materials is made.
    (b) Pre-applications for demonstration funds. In accordance with 
appendix M of Office of Management and Budget Circular A-102, applicants 
shall use the pre-application form directed for use for construction, 
land acquisition, and land development projects when applying for 
demonstration funds under this program. Applicants shall include under 
Part IV (Program Narrative) of the pre-application form:
    (1) A statement of whether the railroad passenger terminal is listed 
in the National Register;
    (2) A statement as to the interest and anticipated cooperation of 
the terminal owner and the relevant transportation companies;
    (3) Where the applicant contemplates using funds it has received or 
will receive from other Federal programs for the planning or 
preservation stage of the projects, a brief description of the sources, 
and total anticipated amount of such funds; and
    (4) A breakdown of the total allowable project costs.
    (c) Applications for demonstration funds. Upon notification of the 
approval of the pre-application, applicants shall submit a final 
application for demonstration funds using the Federal Assistance 
Application for Construction Programs in accordance with appendix M of 
Office of Management and Budget Circular A-102. Applicants shall include 
under Part IV (Program Narrative) of the form:
    (1) A list of all organizations which will participate in the 
planning, implementation, or operation of each project, along with a 
discussion of the role of each organization;
    (2) A full discussion of the desirability and feasibility of the 
project and a summary of the benefits to be derived;
    (3) A summary of each proposed use of the intermodal passenger 
terminal for a civic or cultural activity;
    (4) A description and documentation of existing or potential markets 
for interline intermodal service making use of the project facility, and 
of any changes in existing services which must be provided to achieve 
this potential;
    (5) The proposed period during which the project will be evaluated 
to determine whether it has achieved the goals set forth in 
Sec. 256.13(b);
    (6) A detailed description of the rail passenger terminal (including 
where applicable the description on file with the National Register), 
the available

[[Page 576]]

transportation facilities, and the proposed intermodal passenger 
transportation improvements;
    (7) Evidence that the architectural integrity of the railroad 
passenger terminal will be preserved;
    (8) A detailed estimate of the total allowable project costs, 
listing and identifying each cost to the maximum possible extent;
    (9) Evidence of the applicant's ability and intent to furnish its 
share of the total allowable costs;
    (10) Evidence that the applicant has established, in accordance with 
Attachment G of Office of Management and Budget Circular A-102, adequate 
procedures for financial control, accounting, and performance 
evaluation, in order to assure proper use of the Federal funds;
    (11) An assurance by the applicant that it will use Federal funds 
provided under the Act solely for the purpose for which assistance is 
sought and in conformance with the limitations on the expenditures 
allowed under the Act and applicable regulations;
    (12) A description of the proposed methods of monitoring and 
evaluating the demonstration;
    (13) Copies of the following: Preliminary architectual and 
engineering design documents, plans, sections, sketches, and outline 
specifications;
    (14) A proposed draft of an environmental impact statement, 
including documentation that the project includes all possible planning 
to minimize harm to the historic nature of the facility as required by 
section 4(f) of the Act (49 U.S.C. 1653(f)), to be reviewed, analyzed 
and used by the Administrator in preparation of a final Environmental 
Impact Statement under Department of Transportation Order 5610.IB (39 FR 
35234, September 30, 1974);
    (15) Two copies of an affirmative action program prepared in 
accordance with section 905 of the 4R Act (45 U.S.C. 803) and 49 CFR 
part 265;
    (16) Assurances that the applicant will comply with the following 
Federal laws, policies, regulations and pertinent directives:
    (i) Title VI of the Civil Rights Act of 1964 42 U.S.C. 2000d et 
seq., and 49 CFR part 21;
    (ii) Section 905 of the 4R Act (45 U.S.C. 803), and 49 CFR part 265;
    (iii) Executive Order 11246, as amended (30 FR 12319, 32 FR 14303) 
and 41 CFR 60-4, as amended (43 FR 14888, Apr. 7, 1978) which require 
equal employment opportunity in federally-assisted construction 
programs.
    (iv) Titles II and III of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970, 42 U.S.C. 4601 et seq., and 
49 CFR part 25;
    (v) 42 U.S.C. 4151 et seq., with regard to Federal policies ensuring 
that physically handicapped persons will have ready access to, and use 
of, public buildings;
    (vi) The Rehabilitation Act of 1973, 29 U.S.C. 794, with regard to 
nondiscrimination under Federal grants;
    (vii) The Hatch Act, 5 U.S.C. 1501 et seq., which limits the 
political activities of employees; and
    (viii) Where applicable, the State and Local Fiscal Assistance Act 
of 1972, 31 U.S.C. 1221 et seq., and 31 CFR part 51.
    (17) Evidence of all legal commitments including, but not limited 
to, operating agreements and right-of-way leases which have been 
obtained from private carriers, public transportation operating 
agencies, and other entities as appropriate, to assure continued 
operation of the transportation services during the evaluation period;
    (18) Evidence (including, but not limited to, copies of leases, 
deeds, easements, certificates of title, and mortgage agreements) that 
the applicant's property interest in the railroad passenger terminal is 
or will be, at the commencement of the project, sufficient for the 
applicant to implement the project;
    (19) A summary of each proposed agreement permitting the use of any 
portion of the imtermodal passenger terminal for commercial purposes 
other than the provision of transportation services (if a standard form 
contract is to be used, applicant may submit a copy of the standard 
contract, a list of parties with whom it has contracted, and a list of 
any terms not common to the standard contract);
    (20) An opinion of the applicant's legal counsel advising that (i) 
counsel is familiar with (A) the applicant's corporate or other 
organization powers;

[[Page 577]]

(B) section 4(i) of the Act, as amended (49 U.S.C. 1653(i)); (C) the 
other Acts referred to in these regulations; and (D) any regulations 
issued to implement those Acts; (ii) the applicant is authorized to make 
the application including all certifications, assurances, and 
affirmations required; (iii) the applicant has the requisite authority 
to carry out the actions proposed in the application and to fulfill the 
obligations created thereby, including the obligation to pay a share of 
the costs of the proposed project; (iv) the applicant has the authority 
to enter into all of the legal commitments referred to in paragraph 
(c)(16) of this section and that these commitments are legal and binding 
by their terms; and (v) the applicant's property interest in the 
railroad passenger terminal is sufficient for the applicant to implement 
the project;
    (21) For projects located in urbanized areas, as defined by the 
Bureau of the Census, a statement that the application has been 
coordinated with the metropolitan planning organization, designated by 
the Governor of the State in which the project is located pursuant to 23 
U.S.C. 104(f)(3);
    (22) A certification by the applicant that, in accordance with 
Office of Management and Budget Circular A-95 (41 FR 2052, Jan. 13, 
1976), section 204 of the Demonstration Cities and Metropolitan 
Development Act of 1966 (42 U.S.C. 3334), and section 401 of the 
Intergovernmental Cooperation Act of 1968 (42 U.S.C. 4231), notification 
of the project has been submitted to, and comments thereon have been 
solicited from, the appropriate State and regional agencies and 
clearinghouses; and
    (23) Any other information that the Administrator may require.
    (d) Applications for preservation funds. Each application for 
preservation assistance shall include:
    (1) The complete name and principal business address of the 
applicant;
    (2) The complete name, title, and address of the person to whom 
correspondence regarding the application should be addressed;
    (3) A list of all organizations which will participate in the 
planning, implementation, or operation of each project, and a discussion 
of each organization's role;
    (4) A full discussion of the desirability and feasibility of the 
project and a summary of the benefits to be derived;
    (5) A detailed description of the rail passenger terminal (including 
where applicable the description on file with the National Register), 
the available transportation facilities, and the proposed intermodal 
passenger transportation improvements;
    (6) Documentation of the threat to the existing terminal, involving 
demolition, dismantling, or further deterioration of the terminal and 
the causes thereof;
    (7) Evidence that the planning for conversion or reuse of the 
terminal has commenced and that it is proceeding in a timely manner, 
including a copy of the projected planning schedule;
    (8) A proposed draft of an environmental impact statement or a 
negative declaration, including documentation that the project includes 
all possible planning to minimize harm to the historic nature of the 
facility as required by section 4(f) of the Act, 49 U.S.C. 1653(f), to 
be reviewed, analyzed, and used by the Administrator in preparation of a 
final Environmental Impact Statement or Negative Declaration as required 
by Department of Transportation Order 5610.1B (39 FR 35234, Sept. 30, 
1974);
    (9) A detailed estimate of the total allowable project costs, 
listing and identifying all anticipated preservation costs to the 
maximum extent possible;
    (10) The total amount of Federal assistance requested;
    (11) Evidence of the applicant's ability and intent to furnish its 
share of the total allowable project costs;
    (12) Where the applicant contemplates using funds which it has 
received or will receive from other Federal programs for the planning or 
demonstration stage of the project, a brief description of the sources, 
use and total anticipated amount of such funds;
    (13) Evidence that the applicant has established in accordance with 
Attachment G of Office of Management and Budget Circular A-102, adequate 
procedures for financial control, accounting, and performance evaluation 
in order to assure proper use of the Federal funds;

[[Page 578]]

    (14) An assurance by the applicant that it will use Federal funds 
provided under the Act solely for the purpose for which assistance is 
sought and in conformance with the limitations on the expenditures 
allowed under the Act and applicable regulations;
    (15) Evidence of substantial local public and/or private interest in 
organizing a project to convert the existing railroad passenger terminal 
to an intermodal passenger terminal, which may include use for civic or 
cultural activities;
    (16) An opinion of the applicant's legal counsel stating that:
    (i) Counsel is familiar with (A) the applicant's corporate or other 
organizational powers; (B) section 4(i) of the Act, as amended (49 
U.S.C. 1653(i)), (C) the other Acts referred to in these regulations; 
(D) and any regulation issued to implement those Acts;
    (ii) The applicant is authorized to make this application including 
all certifications, assurances, and affirmations required;
    (iii) The applicant has the requisite authority to carry out the 
actions proposed in its application and to fulfill the obligations 
created thereby, including the obligation to pay a share of the cost of 
the proposed project, and
    (iv) The applicant is empowered, for an interim period pending the 
formulation of plans for the conversion of the existing railroad 
passenger terminal, to maintain the terminal building and prevent its 
demolition, dismantling, or further deterioration;
    (17) For projects located in urbanized areas, as defined by the 
Bureau of the Census, a statement that the application has been 
coordinated with the metropolitan planning organization, designated by 
the Governor of the State in which the project is located, pursuant to 
23 U.S.C. 104(f)(3);
    (18) A certification by the applicant that, in accordance with 
Office of Management and Budget Circular A-95 (41 FR 2052, Jan. 13, 
1976), section 204 of the Demonstration Cities and Metropolitan 
Development Act of 1966 (42 U.S.C. 3334), and section 401 of the 
Intergovernmental Cooperation Act of 1968 (42 U.S.C. 4231), notification 
of the project has been submitted to, and comments thereon have been 
solicited from, the appropriate State and regional agencies and 
clearinghouses;
    (19) Two copies of an affirmative action program prepared in 
accordance with section 905 of the 4R Act (45 U.S.C. 803) and 49 CFR 
part 265;
    (20) Assurances that the applicant will comply with the following 
Federal laws, policies, regulations and pertinent directives:
    (i) Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d et 
seq., and 49 CFR part 21;
    (ii) Section 905 of the 4R Act (45 U.S.C. 803) and 49 CFR part 265;
    (iii) Executive Order 11246, as amended (30 FR 12319, 32 FR 14303) 
and 41 CFR 60-4, as amended (43 FR 14888, Apr. 7, 1978), which requires 
equal employment opportunity in federally-assisted construction 
programs.
    (iv) Titles II and III of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970, 42 U.S.C. 4601 et seq., and 
49 CFR part 25;
    (v) 42 U.S.C. 4151 et seq., with regard to Federal policies ensuring 
that physically handicapped persons will have ready access to, and use 
of, public buildings;
    (vi) The Rehabilitation Act of 1973, 29 U.S.C. 794, with regard to 
nondiscrimination under Federal grants;
    (vii) The Hatch Act, 5 U.S.C. 1501 et seq., which limits the 
political activities of employees; and
    (viii) Where applicable, the State and Local Fiscal Assistance Act 
of 1972, 31 U.S.C. 1221 et seq., and 31 CFR part 51; and
    (21) Any other information that the Administrator may require.
    (e) Applications for planning funds. Each application for planning 
assistance shall include:
    (1) The complete name and principal business address of the 
applicant;
    (2) The name, title, and address of the person to whom 
correspondence regarding the application should be addressed;
    (3) A list of all organizations which will participate in the 
planning, implementation, or operation of each project, and a discussion 
of each organization's role;
    (4) A preliminary statement of work, and a detailed estimate of all 
planning costs broken down by project task;

[[Page 579]]

    (5) A proposed schedule for the planning process;
    (6) A full discussion of the desirability and feasibility of the 
project and a summary of the benefits to be derived;
    (7) A detailed description of the rail passenger terminal 
(including, where applicable, the description on file with the National 
Register), the available transportation facilities, and the proposed 
intermodal passenger transportation improvements;
    (8) The total amount of Federal assistance requested;
    (9) Evidence of the applicant's ability and intent to furnish its 
share of the total allowable project costs;
    (10) Where the applicant contemplates using funds which it has 
received or will receive from other Federal programs for the 
preservation or demonstration stages of the project, a brief description 
of the sources, use, and anticipated amount of such funds;
    (11) Evidence that the applicant has established, in accordance with 
Attachment G of Office of Management and Budget Circular A-102, adequate 
procedures for financial control, accounting, and performance 
evaluation, in order to assure proper use of the Federal funds;
    (12) An assurance by the applicant that it will use Federal funds 
provided under the Act solely for the purpose for which assistance is 
sought and in conformance with the limitations on the expenditures 
allowed under the Act and applicable regulations;
    (13) An opinion of the applicant's legal counsel stating that:
    (i) Counsel is familiar with (A) the applicant's corporate or other 
organization powers; (B) section 4(i) of the Act, as amended, 49 U.S.C. 
1653(i); (C) the other Acts referred to in these regulations; and (D) 
any regulations issued to implement those Acts;
    (ii) The applicant is authorized to make this application including 
all certifications, assurances, and affirmations required; and
    (iii) The applicant has the requisite authority to carry out the 
actions proposed in its applications and to fulfill the obligations 
created thereby, including the obligation to pay a share of the costs of 
the proposed project;
    (14) A proposed schedule for the implementation of the applicant's 
completed designs and plans;
    (15) For projects located in urbanized areas, as defined by the 
Bureau of the Census, a statement that the application has been 
coordinated with the metropolitan planning organization, designated by 
the Governor of the State in which the project is located, pursuant to 
23 U.S.C. 104(f)(3);
    (16) A certification by the applicant that, in accordance with 
Office of Management and Budget Circular A-95 (41 FR 2052, Jan. 13, 
1976), section 204 of the Demonstration Cities and Metropolitan 
Development Act of 1966 (42 U.S.C. 3334), and section 401 of the 
Intergovernmental Cooperation Act of 1968 (42 U.S.C. 4231), notification 
of the project has been submitted to, and comments thereon have been 
solicited from, the appropriate State and regional agencies and 
clearinghouses;
    (17) Two copies of an affirmative action program prepared in 
accordance with section 905 of the 4R Act (45 U.S.C. 803) and 49 CFR 
part 265;
    (18) Assurances that the applicant will comply with the following 
Federal laws, policies, regulations, and pertinent directives:
    (i) Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d et 
seq. and 49 CFR part 21;
    (ii) Section 905 of the 4R Act (45 U.S.C. 803) and 49 CFR part 265;
    (iii) Title II and title III of the Uniform Relocation Assistance 
and Real Property Acquisition Policies Act of 1970, 42 U.S.C. 4601 et 
seq. and 49 CFR part 25;
    (iv) 42 U.S.C. 4151 et seq., with regard to Federal policies 
ensuring that physically handicapped persons will have ready access to, 
and use of, public buildings;
    (v) The Rehabilitation Act of 1973, 29 U.S.C. 794, with regard to 
nondiscrimination under Federal grants;
    (vi) The Hatch Act, 5 U.S.C. 1501, et seq., which limits the 
political activities of employees; and
    (vii) Where applicable, the State and Local Fiscal Assistance Act of 
1972, 31 U.S.C. 1221 et seq., and 31 CFR part 51;
    (19) A statement that the applicant is prepared to develop 
practicable plans meeting the zoning, land use, and other

[[Page 580]]

requirements of the applicable State and local jurisdictions in which 
the rail passenger terminal is located.
    (20) An assurance by the applicant that the designs and plans for 
the conversion to an intermodal passenger terminal, including any use 
for civic or cultural activities, will be completed within two years 
following the approval of the application for Federal financial 
assistance;
    (21) A description of how the applicant can incorporate features 
which appear reasonably likely to attract private investors willing to 
share in the implementation of the planned conversion and its subsequent 
maintenance and operation;
    (22) An environmental assessment using an interdisciplinary approach 
in identifying the type, degree, effect, and probability of occurrence 
of potential environmental impacts due to the conversion to an 
intermodal passenger terminal; and
    (23) Any other information that the Administrator may require.
    (f) Execution and filing of applications. (1) The original 
application shall bear the date of execution and be signed by the Chief 
Executive Officer of the applicant or by the applicant, where the 
applicant is an individual. Each person required to execute an 
application shall execute a certificate in the form of appendix A 
hereto.
    (2) The original application and two (2) copies shall be filed with 
the Federal Railroad Administrator, Department of Transportation, 400 
7th Street SW., Washington, DC 20590. Each copy shall show the dates and 
signatures that appear in the original and shall be complete in itself.
    (3) Pre-applications for demonstration funds must be submitted to 
the Administrator no later than August 21, 1978. Applications for 
planning, preservation and demonstration funds must be submitted to the 
Administrator no later than September 19, 1978. Applications received 
after these deadlines will not be considered for funding, unless all 
funds are not granted to applicants who have met the application 
deadline.

[43 FR 21887, May 22, 1978]



Sec. 256.13  Review and approval of applications.

    (a) Pre-applications. Pre-applications for demonstration funds shall 
be reviewed by the Administrator in consultation with the Chairman and 
the Council.
    (b) Applications. The Administrator shall review applications in 
consultation with the Chairman and the Council and select and monitor 
projects most likely to accomplish the following goals:
    (1) Demonstrate the capabilities of intermodal terminals to provide 
a more effective means of passenger interchange between various modes of 
transportation;
    (2) Demonstrate the advantages of joint use terminal facilities to 
carriers;
    (3) Demonstrate a more comprehensive and effective network of energy 
efficient surface common carrier transportation services through 
improving coordinated interline intermodal exchange at selected 
intermodal passenger terminals distinguished by coordinated information 
systems, schedules, and through ticketing and baggage handling;
    (4) Evaluate user response to such coordinated interline intermodal 
transportation services, and to joint carrier use of terminal 
facilities;
    (5) Demonstrate the potential of underutilized railroad passenger 
terminals of historical and architectural distinction for improving 
intermodal passenger transportation services and for providing an 
appropriate focal point for civic and cultural activities;
    (6) Stimulate local public and private investment, by transportation 
carriers and others, in improved intercity and local public 
transportation facilities and services;
    (7) Encourage the preservation of railroad passenger terminals 
pending the formulation of plans for reuse; and
    (8) Encourage the development of plans for the conversion of 
railroad passenger terminals into intermodal passenger terminals, which 
may incorporate civic and cultural activities where feasible.
    (c) Preferential consideration. In reviewing applications for 
planning funds, the Administrator shall give

[[Page 581]]

preferential consideration to applicants whose completed designs and 
plans will be implemented and effectuated within three years after the 
date of completion.
    (d) Approval within 90 days. The Administrator will approve or deny 
each application within 90 days of the submission dates set forth in 
Sec. 256.11(f)(3) and the Administrator will promptly notify in writing 
each applicant whose application has been approved.

[40 FR 29080, July 10, 1975, as amended at 43 FR 21890, May 22, 1978; 44 
FR 21647, Apr. 11, 1979]



Sec. 256.15  Disbursement of financial assistance.

    (a) Grant agreement. After receipt, review, and approval of an 
application, the Administrator will enter into a grant agreement with an 
applicant for the Federal share of the total allowable project costs. 
The terms and conditions of payment of the Federal share shall be set 
forth in the grant agreement.
    (b) Record retention. Each recipient of financial assistance under 
this part shall keep such records as the Administrator shall prescribe, 
including records which fully disclose the amount and disposition by 
such recipient of the proceeds of such assistance, the total cost of the 
project or undertaking in connection with which such assistance was 
given or used, the amount of that portion of the cost of the project or 
undertaking supplied by other sources, and such other records as will 
facilitate an effective audit.
    (c) Audit and examination. Until the expiration of three years after 
the completion of the project or undertaking referred to in paragraph 
(b) of this section, the Administrator and the Comptroller General of 
the United States, or any of their duly authorized representatives, 
shall have access for the purpose of aduit and examination to any books, 
documents, papers, and records of such receipts which, in the opinion of 
the Administrator or the Comptroller General, may be related or 
pertinent to such financial assistance.

[40 FR 29080, July 10, 1975, as amended at 43 FR 21890, May 22, 1978]

                   Appendix A to Part 256--Certificate

    The following is the form of the certificate to be executed by each 
person signing a pre-application or application:

    ______________ (Name of Person) certifies that he is the Chief 
Executive Officer of ______________ (Name of Agency or Organization); 
that he is authorized to sign and file with the Federal Railroad 
Administrator this (pre-application or application); that he has 
carefully examined all of the statements contained in the (pre-
application or application) relating to ______________; that he has 
knowledge of the matters set forth therein and that all statements made 
and matters set forth therein are true and correct to the best of his 
knowledge, information and belief.

[43 FR 21890, May 22, 1978]



PART 260--REGULATIONS GOVERNING SECTION 511 OF THE RAILROAD REVITALIZATION AND REGULATORY REFORM ACT OF 1976, AS AMENDED--Table of Contents




  Subpart A--Procedures for Application for Commitment to Guarantee or 
                        Guarantee of Obligations

Sec.
260.1  Applicability.
260.3  Definitions.
260.5  Eligibility.
260.7  Form and content of application.
260.9  Required exhibits.
260.11  Preapplication and application procedure.
260.13  Information requests.
260.15  Waivers and modifications.

Appendix to Subpart A--Environmental Assessments

  Subpart B--Standards for Maintenance of Facilities by Recipients of 
                          Obligation Guarantees

260.17  Applicability.
260.19  Definitions.
260.21  Standards.
260.23  Inspection and reporting.
260.25  Waiver.
260.27  Impact on other laws.
260.29  Penalties.

   Subpart C--Procedures for Computing the Internal Rate of Return on 
                                Projects

260.31  Applicability.
260.33  Definitions.
260.35  Procedures to be followed and format to be utilized.

[[Page 582]]


Appendix A to Part 260--Selected Cash Flow Impacts
Appendix B to Part 260--Forms to be Used in Computing IRR
  form I--analysis of capitalized investment
  form II--analysis of sale or retirement of assets
  form III--analysis of expenses and contribution to profit
  form IV--consolidation of cash flows
  form V--computation of irr

    Authority: Railroad Revitalization and Regulatory Reform Act of 
1976, Pub. L. 94-210, 90 Stat. 76, as amended by the Rail Transportation 
Improvement Act, Pub. L. 94-555, 90 Stat. 2625; the Department of 
Transportation Act, 49 U.S.C. 1651 et seq., regulations of the Office of 
the Secretary of Transportation, 49 CFR 1.49(u).

    Source: 43 FR 14870, Apr. 7, 1978, unless otherwise noted.



  Subpart A--Procedures for Application for Commitment to Guarantee or 
                        Guarantee of Obligations



Sec. 260.1  Applicability.

    This subpart prescribes the procedures governing applications for a 
commitment to guarantee or a guarantee of the payment of the principal 
balance of, and any interest on, an obligation of an applicant under 
section 511 of the Railroad Revitalization and Regulatory Reform Act of 
1976, as amended (``Act''). Applications for a commitment to guarantee 
or a guarantee of obligations of the Consolidated Rail Corporation for 
electrification of high-density mainline routes must be filed in 
accordance with these procedures, as provided in section 211(i) of the 
Regional Rail Reorganization Act of 1973, as amended (45 U.S.C. 721(i)). 
These procedures also govern applications for a commitment to guarantee 
or guarantee of obligations incurred for the purpose set forth in 
section 517 of the Act, improvement of intercity rail passenger service 
on lines of the applicant located outside the Northeast Corridor, being 
the properties acquired by the National Railroad Passenger Corporation 
pursuant to title VII of the Act and described in section 701(a)(4) of 
the Act.



Sec. 260.3  Definitions.

    As used in this part--
    (a) Act means the Railroad Revitalization and Regulatory Reform Act 
of 1976 (Pub. L. 94-210, February 5, 1976), as amended.
    (b) Administrator means the Federal Railroad Administrator, or his 
delegate.
    (c) Applicant means any railroad, or other person (including a 
governmental entity) that submits an application to the Administrator 
for the guarantee of an obligation under which it is an obligor or for a 
commitment to guarantee such an obligation.
    (d) Commission means the Interstate Commerce Commission.
    (e) Equipment means any type of new or rebuilt standard gauge 
locomotive, caboose, or general service railroad freight car the use of 
which is not limited to any specialized purpose by particular equipment, 
design, or other features, or any other type of car designated by the 
Administrator upon a written finding that such designation is consistent 
with the purposes of the Act. General service railroad freight car 
includes a boxcar, gondola, opentop or covered hopper car, and flatcar.
    (f) Facilities means--
    (1) Track, roadbed, and related structures, including rail, ties, 
ballast, other track materials, grading, tunnels, bridges, trestles, 
culverts, elevated structures, stations, office buildings used for 
operating purposes only, repair shops, enginehouses, and public 
improvements used or usable for rail service operations;
    (2) Communications and power transmission systems, including 
electronic, microwave, wireless, communication, and automatic data 
processing systems, electrical transmission systems, powerplants, power 
transmission systems, powerplant machinery and equipment, structures, 
and facilities for the transmission of electricity for use by railroads;
    (3) Signals, including signals and interlockers;
    (4) Terminal or yard facilities, including trailer-on-flat-car and 
container-on-flatcar terminals, express or railroad terminal and 
switching facilities, and services to express companies

[[Page 583]]

and railroads and their shippers, including ferries, tugs, carfloats, 
and related shoreside facilities designed for the transportation of 
equipment by water; or
    (5) Shop or repair facilities or any other property used or capable 
of being used in rail freight transportation services or in connection 
with such services or for originating, terminating, improving, and 
expediting the movement of equipment.
    (g) FRA means Federal Railroad Administration.
    (h) Guarantee means guarantee or commitment to guarantee unless the 
context in which it is used indicates otherwise.
    (i) Including means including but not limited to.
    (j) Holder means the obligee or creditor under an obligation, except 
that when a bank or trust company is acting as agent or trustee for such 
an obligee or creditor pursuant to an agreement to which the obligor is 
a part, the term refers to such bank or trust company.
    (k) Obligation means a bond, note, conditional sale agreement, 
equipment trust certificate, security agreement, or other obligation 
issued or granted to finance or refinance equipment or facilities 
acquisition, construction, rehabilitation or improvement.
    (l) Obligor means the debtor under an obligation, including the 
original obligor and any successor or assignee of such obligor who is 
approved by the Administrator.
    (m) Project means the use of the proceeds of the obligation for 
which a guarantee or guarantee commitment is sought.
    (n) Railroad means a common carrier by railroad or express as 
defined in section 1(3) of Part I of the Interstate Commerce Act (49 
U.S.C. 1(3)), including the National Railroad Passenger Corporation and 
the Alaska Railroad.
    (o) Trustee means the trustee, or trustees if more than one trustee 
has been appointed, of an applicant in bankruptcy.



Sec. 260.5  Eligibility.

    Under section 511 the Administrator may guarantee and make 
commitments to guarantee the payment of the principal balance of, and 
any interest on, an obligation of any applicant prior to, on, or after 
the date of execution or the date of disbursement of such obligation, if 
the proceeds of such obligation shall be or have been used to acquire or 
to rehabilitate and improve facilities or equipment, or to develop or 
establish new railroad facilities.



Sec. 260.7  Form and content of application.

    (a) Each application shall include, in the order indicated and 
identified by applicable section numbers and letters corresponding to 
those used in this part, the following information:
    (1) Full and correct name and principal business address of the 
applicant;
    (2) Date of applicant's incorporation, or organization if not a 
corporation, and name of the government, state or territory under the 
laws of which it was incorporated or organized. If applicant is a 
trustee then, in addition, the name and address of the reorganization 
court under the direction of which applicant is acting, and the docket 
number of the proceeding. If applicant is a partnership, association, or 
other form of organization other than a corporation, a full description 
of the organization should be furnished;
    (3) Name, title, and address of the person to whom correspondence 
regarding the application should be addressed;
    (4) Certified copy of proposed or executed obligation agreement, 
including and related agreements of other documents, and detailed 
description of the obligation, and of the series or issue of which the 
obligation is a part, including--
    (i) Total amount of the obligation;
    (ii) Detailed description of the project and its purpose or 
purposes, including--
    (A) A description of all facilities or equipment and the physical 
condition of such facilities or equipment included in or directly 
affected by the proposed project and a description of the project;
    (B) Each part or sub-part into which the project may reasonably be 
divided, the priority and schedule of expenditure for each part or sub-
part:

[[Page 584]]

    (C) Estimated timing of the expenditure of the proceeds of the 
obligation; and
    (D) Statement of whether the project involves another railroad or 
other participant, through joint execution, coordination, or otherwise; 
if so, description of the relative participation of applicant and such 
other railroad or participant, including statement or financing 
arrangements of each participant, portion of the work to be performed by 
each participant, and contemplated level of usage of the equipment or 
facility of each participant when the work is completed, along with a 
statement by a responsible officer or official of the other railroad or 
participant that the information provided reflects their agreement on 
these matters;
    (iii) Effective date;
    (iv) Schedule for repayment of principal;
    (v) Description of the security to be offered the Administrator in 
connection with any guarantee, applicant's opinion of the value of this 
security and the basis for such opinion; in the case of leased equipment 
to be rehabilitated or improved with the proceeds of the obligation 
proposed to be guaranteed, applicant shall state, in addition to the 
above, whether the lease provides for, or the lessor will permit, 
encumbrance of the leasehold or subordination of the lessor's interest 
in the equipment to the Administrator.
    (vi) Where the obligation for which a guarantee is sought is 
outstanding, actual effective rate of interest; or where the applicant 
has discussed with a potential holder the terms of an obligation to be 
issued, the proposed effective rate of interest;
    (5) Statement, in summary form, showing financial obligations to or 
claims against the United States or obligations for which the United 
States is guarantor, if any, by applicant or any affiliated corporate 
entity of the applicant or the applicant's parent as of the date of the 
application, including:
    (i) Status of any claims under litigation; and
    (ii) Any other debits or credits existing between the applicant and 
the United States, showing the department or agency involved in such 
loans, claims and other debts;
    (6) An analysis that includes:
    (i) Statement, together with supporting evidence including copies of 
all market analyses and studies that have been performed to determine 
present and future demand for rail services, that the financing is 
justified by present and future demand for rail services, will meet 
existing needs for such services, and will provide shippers with 
improved service;
    (ii) Description of the impact of the financing upon the projected 
traffic to be originated, terminated, or carried by the obligor for at 
least the five years immediately following completion of the project; 
and
    (iii) Description of any other benefit which would accrue to the 
applicant from the proceeds of the obligation;
    (7) Statement, together with supporting evidence, that the 
facilities or equipment being acquired, rehabilitated or improved will 
be efficiently and economically utilized, including:
    (i) A detailed statement setting forth the estimated internal rate 
of return on the project, computed in accord- ance with the provisions 
of subpart C of this part. This statement shall follow the procedures 
and follow the format required by subpart C. Relevant material presented 
elsewhere in the application need not be repeated in this statement, but 
must be explicitly referenced. If the project can be divided into parts 
such that each part:
    (A) Accounts for a significant portion of the total investment for 
which Federal assistance is sought; and
    (B) Produces approximately the same cash flow impacts regardless of 
whether the remainder of the project is undertaken; then the applicant 
must submit a separate internal rate of return computation, with the 
supporting documentation described in subpart C of this part, for each 
part of the project. In that case, all references to the term 
``project'' in subpart C of this part shall be deemed to refer to the 
part of the project for which the rate of return is being computed;
    (ii) Explanation of the manner in which the project will increase 
the economical and efficient utilization of equipment and facilities; 
and

[[Page 585]]

    (iii) Documentation of any other improvements in service as a result 
of the project, including service reliability between origin and 
destination point pairs and reduction in time from load to load car 
cycle by car type;
    (iv) A description of the project's effect on national energy 
consumption (over the life of the project and in light of the 
information provided in response to Sec. 260.6) by the applicant and 
other parties (as applicable) with particular emphasis on increases and 
decreases in national use of petroleum, natural gas, and coal.
    (8) Statement, together with supporting evidence, that the 
transaction will improve the ability of any affected railroad to 
transport passengers or freight;
    (9) Statement of applicant's maintenance program for its entire rail 
system and planned maintenance program for the equipment or facilities 
financed by the proceeds of the obligation;
    (10) Certified statement that applicant will pay to the 
Administrator in accordance with Sec. 260.11(b)(4) an initial 
investigation charge and any additional investigation charges the 
Administrator assesses with respect to analysis and evaluation of the 
application, appraisal of any security offered by an applicant, and all 
studies and investigations that the Administrator deems necessary in 
order to make determinations or findings prescribed in the Act, up to a 
maximum of one-half of one percent of the obligation for which a 
guarantee is sought.
    (11) With respect to each existing holder or proposed prospective 
holder, a statement as to:
    (i) Full and correct name and principal business address;
    (ii) Reference to applicable provisions of law and the charter or 
other governing instruments conferring authority on the holder to accept 
the obligation;
    (iii) Brief statement of the circumstances and negotiations leading 
to the agreement by the holder to take the proposed obligation;
    (iv) Brief statement of the nature and extent of any affiliation or 
business relationship between the existing or prospective holder and any 
of its directors, partners, or principal executive officers, on the one 
hand, and, on the other, the applicant and any of its directors, 
partners, or principal executive officers, or any person or persons 
whose name is required to be furnished under paragraph (a)(11)(v) of 
this section; and
    (v) Full and complete statement of all sums to be given by the 
holder in connection with the proposed obligation including:
    (A) Name and address of each person to whom the payment has been 
made or will be made and nature of any affiliation, association, or 
prior business relationship between any person named in this paragraph 
and the holder or any of its directors, partners, or officers;
    (B) Amount of the cash payment, or the nature and value of other 
consideration; and
    (C) Any condition upon the obligation of the obligee to make such 
payment;
    (12) Detailed assessment of impact of the project on the 
environment, in the general format and including the information set 
forth in the appendix to subpart A of this part;
    (13) Statement that notice of the application, including a brief 
description of the project, has been posted on bulletin boards 
convenient to interested employees of the railroad and by sending 
registered mail notice to the duly authorized representatives of such 
employees. This requirement is not in lieu of any other requirement 
imposed by reason of section 516 of the Act;
    (14) Any information that the applicant deems appropriate to convey 
a full and complete understanding of the project and its impact or to 
assist the Administrator in making the statutorily prescribed findings; 
and
    (15) Any other information which the Administrator may deem 
necessary concerning an application filed under this part.
    (b) When applicant is a trustee, the application shall provide all 
of the information required in paragraph (a) of

[[Page 586]]

this section, and in addition shall provide a full and complete 
statement, together with supporting evidence, demonstrating that 
applicant can reasonably be expected to become self-sustaining within a 
reasonable period of time.

[43 FR 14870, Apr. 7, 1978, as amended at 45 FR 58038, Aug. 29, 1980]



Sec. 260.9  Required exhibits.

    There shall be filed with and made a part of each application and 
copy thereof the following exhibits, except that exhibits filed with the 
Administrator pursuant to some other statutory provision or regulation 
which are in the same format as the following exhibits may be 
incorporated in and made part of the application filed under this part 
by reference. While the application is pending, when actual data become 
available in place of the estimated or forecasted data required in the 
exhibits under this part, such actual data must be reported promptly to 
the Administrator in the form required in the appropriate exhibit. All 
forecasted data required in the exhibits under this part must be based 
on the assumption that the project will be funded on the January 1 next 
following the date of the application.
    (a) Exhibit A. Map of applicant's existing railroad with location of 
project indicated, if appropriate.
    (b) Exhibit B. Statement showing to the latest available date but in 
any event to a date no less recent than the end of the 3d month 
preceding the date of filing of the application:
    (1) Maximum number of locomotive units out of service during each 
quarter due to business conditions; maximum number of such units out of 
service during each quarter due to mechanical defects; and ratio of each 
to total ownership quarterly for each of the last 3 calendar years but 
not earlier than the quarter ending June 1974, and the current calendar 
year; and
    (2) Maximum number of general service freight cars out of service 
during each quarter due to business conditions; maximum number of such 
cars out of service during each quarter due to mechanical defects; and 
ratio of each to total number of general service freight cars owned by 
applicant quarterly for each of the last 3 calendar years but not 
earlier than the quarter ending June 1974, and the current calendar 
year.
    (c) Exhibit C. A copy of applicant's most recent year-end general 
balance sheet certified by applicant's independent public accountants, 
if available, and a copy of applicant's most recent unaudited general 
balance sheet as of a date no less recent than the end of the third 
month preceding the date of filing of the application. The unaudited 
balance sheet shall be presented in account form and detail as required 
in Schedule 200 of the Commission's Annual Report R-1 or R-2, as 
appropriate, together with the following schedules (where changes in 
accounts from the end of the prior year to date of the application have 
not been significant, copies of the appropriate schedules in the prior 
year's R-1 or R-2 with marginal notations listing the changes may be 
submitted:
    (1) Particulars of Account 704, Loans and Notes Receivable, in form 
and detail as required in Schedule 201 of Annual Report R-1 for the 
Class I railroads, and in similar form for the Class II railroads except 
that for Class II railroads loans and notes receivable that are each 
less than $25,000 may be combined into a single amount;
    (2) Particulars of investments in affiliated companies and other 
investments in form and detail required in Schedules 205 and 206 of 
Annual Report R-1, or schedules 1001 and 1002 of Annual Report R-2, as 
appropriate;
    (3) Particulars of balances in Accounts 741, Other Assests, and 743, 
Other Deferred Charges, in form and detail required in Schedule 216 of 
Annual Report R-1 or Schedule 1703 of Annual Report R-2, as appropriate;
    (4) Particulars of loans and notes payable in form and detail 
required in Schedule 223 of Annual Report R-1, or Schedule 1701 of 
Annual Report R-2, as appropriate, as well as information as to bank 
loans, including the name of the bank, date and amount of the original 
loan, current balance, maturities, rate of interest, and security, if 
any;
    (5) Particulars of long-term debt in form and detail required in 
Schedules 218 and 219 of Annual Report R-1 or Schedules 670, 695, 901, 
902 and 1702 of

[[Page 587]]

Annual Report R-2, as appropriate, together with a brief statement 
concerning each mortgage, pledge, and other lien, indicating the 
property or securities encumbered, the mortgage limit per mile, if any, 
and particulars as to priority;
    (6) Particulars of balance in account 784, Other Deferred Credits, 
in form and detail required in Schedule 225 of Annual Report R-1 or 
Schedule 1704 of Annual Report R-2, as appropriate; and
    (7) Particulars as to capital stock in form and detail required in 
Schedules 228, 229, and 230 of Annual Report R-1 or Schedule 690 in 
Annual Report R-2, as appropriate.
    (d) Exhibit D. Applicant's most recent annual income statement 
certified by applicant's independent public accountants if available, 
and a spread sheet showing unaudited monthly and year-to-date income 
statement data for the calendar year in which the application is filed 
in account form similar to that required in column (a) of Schedule 300 
of Annual Report R-1 or R-2 as appropriate. For those months preceding 
and ending upon the date of the unaudited balance sheet presented in 
Exhibit C, the income statement data shall be reported on an actual 
basis and so noted. For those months between the dates of the unaudited 
balance sheet and the filing of the application, the income statement 
data shall be reported on an estimated basis and so noted and shall be 
submitted in conjunction with corresponding estimated month-end balance 
sheets. For those months between the date of the application and the end 
of the year the income statement data shall be presented on a forecasted 
basis and so noted and shall be submitted in conjunction with a 
forecasted balance sheet as at the year end.
    (e) Exhibit E. Spread sheets showing for each of the four years 
subsequent to the year in which the application is filed, both before 
and after giving effect to the proceeds of the assistance requested in 
the application:
    (1) Forecasted annual income statement data in account form and 
detail similar to that required in column (a) of Schedule 300 of Annual 
Report R-1 or R-2 as appropriate, including the subaccounts comprising 
line 2 (railway operating expenses), as specified by lines 64, 92, 105, 
159, 168, and 180 of Schedule 320; and
    (2) Forecasted year-end balance sheets in account form and detail 
similar to that required in Schedule 200 of Annual Report R-1 or R-2, as 
appropriate.

These spread sheets shall be accompanied by a statement setting forth 
the bases for such forecasts.
    (f) Exhibit F. A spread sheet showing changes in financial position 
for the year in which the application is filed in account form and 
detail as required in Schedule 309 of Annual Report R-1 or R-2 as 
appropriate as follows:
    (1) For that period ending on the date of the unaudited balance 
sheet in Exhibit C, based upon actual data; and
    (2) For that period from the balance sheet date to the end of the 
year, based upon estimated and forecasted data.
    (g) Exhibit G. A spread sheet showing forecasted changes in 
financial position for each of the four calendar years subsequent to the 
year in which the application is filed, both before and after giving 
effect to any funds requested in the application and including a 
statement showing the bases for such estimates, in account form and 
detail as required in Schedule 309 of the Annual Report R-1 for Class I 
railroads and in similar form and detail for Class II railroads.
    (h) Exhibit H. With respect to equipment proposed to be 
rehabilitated, improved, maintained, or acquired in the application, a 
statement indicating number of units and in-service or out-of-service 
status and, as appropriate:
    (1) For locomotives, service type, age, size, horsepower, name of 
builder, description of work, and unit cost of proposed work; and
    (2) For freight cars or intermodal equipment, information as to 
service type (box, gondola, flat, etc.), age, capacity, description of 
work, and unit costs of proposed work.

Such statement shall show the total cost of the project, types and 
quantities of work items, unit cost of each item, and distribution of 
such cost by primary accounts of the Commission's Uniform System of 
Accounts separated where applicable between material, labor, and other; 
the ownership of all

[[Page 588]]

equipment which is the subject of the project; and the dates on which 
work is to be commenced or completed. Direct labor, supervision, 
material costs, contingencies, and any applicable overhead expenses that 
are included in the total cost of the project should be shown separately 
and identified.
    (i) Exhibit I. With respect to the maintenance, rehabilitation, 
improvement, acquisition, or construction of facilities proposed in the 
application, a statement showing, as appropriate:
    (1) Track Class, as defined by the FRA Track Safety Standards in 
part 213 of this chapter, and maximum allowable speed under which each 
line on which maintenance, rehabilitation, improvement, acquisition or 
construction is proposed has been and is being operated and the reasons 
therefor, the track class, maximum allowable speed, and signal 
requirements necessary in the judgment of the railroad to provide safe, 
reliable and competitive rail services over such lines, and the highest 
track class and maximum allowable speed at which each such line will be 
designated when the proposed project is completed;
    (2) Dates on which project is proposed to be commenced and 
completed; and dates on which any part of sub-part into which the 
project may reasonably be divided is proposed to be commenced and 
completed;
    (3) Types and quantities of work items, unit cost of each item, cost 
of project in total and by parts or sub-parts into which the project may 
be reasonably divided, and distribution of such costs by primary 
accounts of the Commission's Uniform System of Accounts, separated where 
applicable between material, labor and other. Direct labor, supervision, 
material costs, contingencies, and any applicable overhead expenses that 
are included in the costs of the project should be shown separately and 
identified.
    (j) Exhibit J. A draft notice of filing, to be published by the 
Administrator in the Federal Register, which shall contain a brief 
summary of the project(s) proposed to be funded, including as 
applicable:
    (1) The name and address of applicant;
    (2) A brief description of the project(s) proposed to be funded, the 
total cost of such project(s), and the amount of Federal financial 
assistance sought;
    (3) A brief description of the facilities or equipment to be 
acquired, rehabilitated or improved, including where appropriate, city 
or county and State location termini, and approximate distance in miles;
    (4) The justification for the project(s); and
    (5) A final paragraph which shall read as follows:

    Interested persons may submit written comments on the application to 
the Associate Administrator for Federal Assistance, Federal Railroad 
Administration, 400 Seventh Street SW., Washington, DC 20590, not later 
than 30 days after the date on which this notice is published in the 
Federal Register. Such submission shall indicate the docket number shown 
on this notice and state whether the commenter supports or opposes the 
application and the reasons therefor.
    The comments will be taken into consideration by the Federal 
Railroad Administration in evaluating the application. However, formal 
acknowledgment of the comments will not be provided.

    Note: The account forms referred to in the exhibits are those of the 
Commission's Uniform System of Accounts for Railroad Companies in use on 
October 1, 1976. However, the information required in any of the 
exhibits shall give effect to any modification of the Commission's 
Uniform System of Accounts for Railroad Companies in effect on the date 
of filing the application.



Sec. 260.11  Preapplication and application procedure.

    (a) When a railroad or any other person has developed plans for a 
project for which it may wish to seek assistance under this part, a 
responsible official of the railroad or other person may request a 
meeting with the Associate Administrator for Federal Assistance of the 
FRA to discuss those plans. Upon receipt of such request, the Associate 
Administrator will promptly schedule a meeting at which the railroad or 
other person will present to representatives of the FRA the proposed 
project and discuss with them information which must be submitted in the 
application and the type of terms

[[Page 589]]

and conditions and financing documents that will be utilized in 
connection with financial assistance provided under section 511. 
Applicants are not required to prepare a draft application or other 
special information for the preapplication conference; however, 
applicants should be prepared to discuss information which management 
has used in making its initial decision to seek assistance.
    (b) The following procedure shall govern the execution and filing of 
the application:
    (1) The original application shall bear the date of execution, be 
signed with ink by or on behalf of the applicant, and shall bear the 
corporate seal in the case of an applicant which is a corporation. 
Execution shall be by all partners if a partnership, unless satisfactory 
evidence is furnished of the authority of a partner to bind the 
partnership, or if a corporation, an association or other similar form 
of organization, by its president or other executive officer having 
knowledge of the matters therein set forth. Persons signing the 
application on behalf of the applicant shall also sign a certificate in 
form as follows:

________________ (Name of official) certifies that he is the 
____________ (Title of official) of the ____________ (Name of 
applicant); that he is authorized on the part of the applicant to sign 
and file with the Administrator this application and exhibits attached 
thereto;that the consent of all parties whose consent is required, by 
law or by binding commitment of the applicant, in order to make this 
application has been given; that he has carefully examined all of the 
statements contained in such application and the exhibits attached 
thereto and made a part thereof relating to the aforesaid ____________ 
(Name of applicant); that he has knowledge of the matters set forth 
therein and that all such statements made and matters set forth therein 
are true and correct to the best of his knowledge, information, and 
belief.
                                                      (Name of official)
____________
(Date)

    (2) There shall be made a part of the original application the 
following certificate by the Chief Financial Officer or equivalent 
officer of the applicant:

____________ (Name of officer) certifies that he is ____________ (Title 
of officer) of ____________ (Name of applicant); that he has supervision 
over the books of accounts and other financial records of the affected 
applicant and has control over the manner in which they are kept; that 
such accounts are maintained in good faith in accordance with the 
effective accounting and other orders of the Interstate Commerce 
Commission; that such accounts are adequate to assure that proceeds from 
the financing being requested will be used solely and specifically for 
the purposes authorized; that he has examined the financial statements 
and supporting schedules included in this application and to the best of 
hisknowledge and belief those statements accurately reflect the accounts 
as stated in the books of account; and that, other than the matters set 
forth in the exceptions attached to such statements, those financial 
statements and supporting schedules represent a true and complete 
statement of the financial position of the applicant and that there are 
no undisclosed assets, liabilities, commitments to purchase property or 
securities, other commitments, litigation in the courts, contingent 
rental agreements, or other contingent transactions which might 
materially affect the financial position of the applicant.
                                                      (Name of official)

____________
_______________________________________________________________________
(Date)

    (3) The original application and supporting papers, and ten copies 
thereof for the use of the Administrator, shall be filed with the 
Associate Administrator for Federal Assistance of the Federal Railroad 
Administration, 400 Seventh Street SW., Washington, DC 20590. Each copy 
shall bear the dates and signatures that appear in the original and 
shall be complete in itself, but the signatures in the copies may be 
stamped or typed.
    (4) The application shall be accompanied by a filing fee in an 
amount equal to one-eighth of one percent of the principal amount of the 
obligation for which a guarantee is sought. This filing fee shall be 
applied towards the costs of analyzing and evaluating the application, 
appraising any security offered by applicant, and making any studies or 
investigations that the Administrator deems necessary in order to make 
the determinations and findings prescribed in the Act, except where the 
Administrator finds it necessary to retain contractors to perform or 
assist in performing these functions. Where any of these functions is 
performed under contract to the Administrator, the applicant will be 
charged,

[[Page 590]]

and shall pay promptly, an additional amount to cover the costs of such 
contract(s) but such charges will not exceed, when added to the initial 
charge, one-half of one percent of the obligation for which a guarantee 
is sought.
    (5) The application shall be accompanied by a transmittal letter in 
form as follows:

Re Application for a Commitment to Guarantee [Guarantee] under section 
          511 of the Railroad Revitalization and Regulatory Reform Act 
          of 1976, as amended (the ``Act'').

Federal Railroad Administrator,
c/o the Associate Administrator for Federal Assistance of the Federal 
          Railroad Administration, Department of Transportation, 
          Washington, DC.

    Dear Sir: Being duly authorized by ____________ (jointly and 
severally/if more than one) (the ``Applicant'') to convey the 
understandings hereinafter set forth, I respectfully submit this 
application and remit its filing fee. By this filing, Applicant requests 
the Administrator to investigate the application and make the necessary 
findings upon which Applicant's eligibility for a Commitment to 
Guarantee [Guarantee] may be determined.
    Applicant understands that neither the acceptance of this filing, 
the deposit of the filing fee, nor the commencement of an investigation 
acknowledges the sufficiency of the application's form, content or 
merit. Furthermore, Applicant understands that the Administrator will 
incur numerous expenses by this filing, and promises to pay, when 
charged, such amounts as the Administrator may assess with respect to 
the investigation of the application, the appraisal of security being 
offered, and the making of the necessary determinations and findings, up 
to one-half of one percent (including the filing fee) of the principal 
amount of the obligation for which Applicant seeks a Commitment to 
Guarantee [Guarantee].
    Finally, Applicant understands that (1) payment of all such charges 
is required prior to the Administrator's final determination, (2) no 
charge will be cancelled nor refund made upon any termination of this 
application, (3) notice of this application will be published in the 
Federal Register to invite comment by interested parties, and (4) the 
Administrator will assess an annual premium charge, pursuant to the Act, 
on any obligation guaranteed under section 511.
Respectfully submitted,
_______________________________________________________________________
                                                            Applicant(s)
_______________________________________________________________________
                                                                 Seal(s)
by ________________
Its (Their)



Sec. 260.13  Information requests.

    If an applicant desires that any information submitted in an 
application or supplement thereto not be released by the Administrator 
upon request from a member of the public, the applicant must so state 
and must set forth any reasons why such information should not be 
released, including particulars as to any competitive harm which would 
probably result from release of such information. The Administrator will 
keep such information confidential as permitted by law.



Sec. 260.15  Waivers and modifications.

    The Administrator may, upon good cause shown, waive or modify any 
requirement of this part not required by law or make any additional 
requirements he deems necessary.

            Appendix to Subpart A--Environmental Assessments

    Part I. Description of the environment in the area of the project 
before commencement of such project, together with statement of other 
Federal activities in the area which are known, or should be known, to 
the applicant. This description shall include, without limitation, the 
following information:
    (A) Demographic data. Statement of population and growth 
characteristics of area and of any population and growth assumptions 
made by applicant in planning the project. Such statement should use the 
rates of growth in the projection compiled for the Water Resources 
Council by the Bureau of Economic Analysis of the Department of Commerce 
and the Economic Research Service of the Department of Agriculture, 
commonly referred to as the OBERS projection of regional economic 
activity in the United States. Applicants should refer to 1972 OBERS 
projections for economic areas, and provide 1969 data and 1980 
projections for the following: Population; manufacturing earnings; 
transportation, communications and public utilities earnings; 
agriculture, forestry and fisheries earnings; and mining earnings. 
Information should be provided for economic areas which the applicant's 
proposal would affect.
    (B) Current land use patterns. Statement of the project's 
relationship to proposed land use plans, policies, and controls of 
affected communities, including, where appropriate, maps or diagrams. 
Where the project is inconsistent with any such plans, policies, or 
controls, the statement should describe and explain in detail the 
reasons for such inconsistency.

[[Page 591]]

    (C) Characteristics of current operations. The Applicant should 
indicate the maximum allowable speed and frequency of current rail 
traffic on any affected line, the number and location of grade 
crossings, and the length of time such grade crossings are blocked 
during a typical day. The Applicant should indicate derailments and 
fatalities or injuries resulting from accidents involving trains and 
motor vehicles or pedestrians on such lines. The Applicant should also 
indicate the hours of operation on such lines and noise levels of rail 
operations at 100' from the right of way. Applicants should refer to the 
United States Environmental Protection Agency document titled 
``Information on Levels of Noise Requisite to Protect Public Health and 
Welfare with an Adequate Margin of Safety'', which provides a system of 
measuring day and night noises on a weighted average.
    (D) Air quality. The Applicant should indicate the air quality in 
the region, as found in the state Air Quality Implementation Plans to 
meet ambient air quality standards. Each state is required to prepare 
such a plan under the Clean Air Act (42 U.S.C. 1857). Some states are 
required to have Transportation Control Plans to meet ambient air 
quality standards where transportation sources pose major air quality 
problems. Applicants should refer to state air quality agencies or to 
the Regional Offices of the U.S. Environmental Protection Agency for 
guidance.
    (E) Wetland or coastal zones. Location, types, and extent of wetland 
areas or coastal zones that might be affected by the project.
    (F) Properties and sites of historical or cultural significance. 
Identification of districts, sites, buildings and other structures, and 
objects or historical, architectural, archeological, or cultural 
significance that may be affected by the project. This should be 
accomplished by consulting the National Register and applying the 
National Register Criteria (36 CFR part 800) to determine which 
properties that may be affected by the project are included in or 
eligible for inclusion in the National Register of Historic Places. The 
National Register is published in its entirety each February in the 
Federal Register. Monthly additions and listings of eligible properties 
are published in the Federal Register the first Tuesday of each month. 
The Secretary of the Interior will advise, upon request, whether 
properties are eligible for the National Register. Officials designated 
by their Governors to act as State Historic Preservation Officers 
responsible for state activities under the National Historic 
Preservation Act may also be consulted. A listing of these state 
officials may be found at 36 CFR 60.5(d), or may be obtained from the 
Director, National Parks Service, U.S. Department of the Interior, 
Washington, DC 20240.
    (G) Publicly-owned parklands, recreational areas, and waterfowl 
refuges, and historic sites (45 U.S.C. 1653(f)). (i) Protected land 
proposed to be used. Describe any publicly-owned land from a public 
park, recreation area or wildlife and waterfowl refuge or any land from 
an historic site or wildlife and waterfowl refuge or any land from an 
historic site which would be affected or taken by the proposed program 
or project, including the size of the land proposed to be affected or 
taken, available activites on the land, use, patronage, unique or 
irreplaceable qualities, relationship to other similarly used land in 
the vicinity of the proposed project, and maps, plans, slides, 
photographs, and drawings in sufficient scale and detail to clearly show 
proposed project. Include a description of impacts of the proposed 
project on the land and changes in vehicular or pedestrian access.
    (ii) Significant area. Include a statement of the national, State, 
or local significance of the entire park, recreation area, wildlife or 
waterfowl refuge, or historic site as determined by the Federal, State 
or local officials having jurisdiction thereof. In the absence of such a 
statement, protected land is presumed to be located in an area of 
national, State or local significance.
    Part II. The probable impact of the project on the environment and 
measures which can be taken to mitigate adverse impacts. The applicant 
shall (1) assess the positive and negative environmental effects, 
including primary, secondary, and other foreseeable effects, on each of 
the areas specified in Part I of this appendix, including long-term 
impacts associated with the increased intensity, if any, of rail 
operations, and (2) list measures which can be taken to mitigate adverse 
impacts. Mitigation measures include control of hours of operation, 
coordination of street blockages with adjacent communities, dust and 
erosion control measures, and proposed methods of tie disposal. In 
addition, the applicant shall provide the following.
    (A) Statement of the extent to which any of the impacts of the 
project represent irreversible or irretrievable commitments of 
resources. This requires identification of the extent to which 
implementation of the project irreversibly curtails the range of 
potential uses of the environment. ``Resources'' include the natural 
cultural resources lost or destroyed as a result of the project.
    (B) Statement of the relationship between local short-term uses of 
man's environment and the maintenance and enhancement of long-term 
productivity. This shall include a brief discussion of the extent to 
which the proposed action involves trade-off between short-term 
environmental gains at the expense of long-term losses, or vice versa, 
and a discussion of the extent to which the proposed action forecloses 
future options.
    (C) Statement of any probable adverse environmental effect which 
cannot be avoided,

[[Page 592]]

such as changes in exposure to noise and changes in level of noise or 
vibration; water or air pollution; undesirable land use patterns; 
impacts on public parks and recreation areas, wildlife and waterfowl 
refuges, or historic sites; damage to life systems; congestion of street 
traffic in adjacent communities; delays in the provision of essential 
services (police, fire, ambulance), anticipated changes in accident 
patterns and other threats to health; and other consequences adverse to 
the environmental goals set out in section 101(b) of the National 
Environmental Protection Act, 42 U.S.C. 4331(b). In considering noise 
levels, applicants should note any conflicts between projected noise 
levels from rail operations and HUD standards for noise at sensitive 
sites, such as schools, hospitals, parks and residential locations. 
(U.S. Department of Housing and Urban Development, ``Noise Abatement and 
Control: Department Policy Implementing Responsibilities and 
Standards,'' Departmental Circular 1390.2, Chart; External Noise 
Exposure Standards for New Construction, April 4, 1971)
    (D) Statement of construction impacts, identifying any special 
problem areas and including:
    (i) Noise impacts from construction and any specifications setting 
maximum noise levels.
    (ii) Disposal of spoil and effect on borrow areas and disposal sites 
(include any specifications).
    (iii) Measures to minimize effects on traffic and pedestrians.
    (iv) Consideration of non-point source pollution such as might 
result from water runoff.
    (E) Statement of any positive or negative impacts on energy supply 
and natural resource development, including, where applicable, any 
effect on either the production or consumption of energy or other 
natural resources. Discuss such effects if they are significant.
    (F) Discussion of problems and objections raised by other Federal, 
State or local agencies, and citizens with respect to impact of the 
project on the environment.
    Part III. Discussion of any alternatives to the project that have 
been considered with respect to impact on the environment. If cost-
benefit analyses have been performed, the extent to which environmental 
costs have been reflected in the analysis should be stated. Underlying 
studies, reports, and other information obtained and considered in 
preparing each section of the statement should be identified. For energy 
comparisons, a possible source is Oak Ridge National Laboratory Report, 
``Energy Intensiveness of Passenger and Freight Transport Modes'' by Dr. 
Eric Hirst, April, 1973. For analyzing community impacts, the following 
report may be useful: ``The Impacts on Communities of Abandonment of 
Railroad Service,'' July, 1975, prepared for the U.S. Railway 
Association by the Public Interest Economics Center, Washington, D.C. In 
examining the environmental effects of highway transport as an 
alternative to rail service, applicants may wish to use the following 
publication: ``A Study of the Environmental Impact of Projected 
Increases in Intercity Freight Traffic, August, 1971, prepared for the 
Association of American Railroads by Battelle, Columbus, Ohio.''



  Subpart B--Standards for Maintenance of Facilities by Recipients of 
                          Obligation Guarantees



Sec. 260.17  Applicability.

    This subpart prescribes standards governing the maintenance of 
facilities, as defined in subpart A of this part, that are being 
acquired, rehabilitated, improved, or constructed with the proceeds of a 
guaranteed obligation, by the recipient of such guarantee for the period 
during which any portion of the principal or interest of such obligation 
remains unpaid.



Sec. 260.19  Definitions.

    The terms defined in subpart A of this part shall have the same 
meaning for the purposes of this subpart that such terms are given in 
Sec. 260.3 of this part.



Sec. 260.21  Standards.

    (a) When the proceeds of an obligation guaranteed by the 
Administrator are used to acquire, rehabilitate, improve or construct 
track, roadbed, and related structures, the guarantee recipient shall, 
as long as any portion of the principal or interest of such obligation 
remains unpaid, maintain such facilities in at least the highest track 
Class, as defined by FRA Track Safety Standards in part 213 of this 
chapter, as that Class in which the rehabilitated, improved, acquired, 
or constructed track is to be operated upon completion of the project 
for which the obligation was guaranteed unless a waiver is granted in 
accordance with Sec. 260.25.
    (b) When the proceeds of an obligation guaranteed by the 
Administrator are used in facilities, including those

[[Page 593]]

mentioned in paragraph (a) of this section, the recipient shall, during 
the period in which any portion of the principal or interest in such 
obligation remains unpaid, maintain such facilities in a manner 
consistent with sound engineering and maintenance practices and in a 
condition that will permit the level of use that existed upon completion 
of the acquisition, rehabilitation, improvement or construction of such 
facilities unless a waiver is granted in accordance with Sec. 260.25.



Sec. 260.23  Inspection and reporting.

    (a) The facilities subject to the provisions of this subpart shall 
be inspected at such regular intervals as the Administrator deems 
necessary to assure compliance with the standards set forth in 
Sec. 260.21. Each recipient shall permit representatives of the FRA to 
enter upon its property to inspect and examine such facilities at 
reasonable times and in a reasonable manner. Such representatives shall 
be permitted to use such testing devices as the Administrator deems 
necessary to insure that the maintenance standards imposed by this 
subpart are being followed.
    (b) Each recipient shall submit to the Administrator annually 
financial records and other documents detailing the maintenance 
performed and the inspections conducted which demonstrate that the 
recipient has complied with the standards in Sec. 260.21.



Sec. 260.25  Waiver.

    Any recipient of a guarantee may petition the Administrator in 
writing for relief from any or all requirements imposed by this subpart. 
The Administrator may, for good cause shown, waive or modify any 
requirements of this part. Good cause may include, but is not limited 
to, insufficient capital resources of the recipient to comply with these 
maintenance standards or changes in the level of service required for 
any facility subject to this subpart.



Sec. 260.27  Impact on other laws.

    Standards issued under this subpart shall not be construed to 
relieve the recipient of any obligation to comply with any other 
Federal, State, or local law or regulation.



Sec. 260.29  Penalties.

    If the Administrator finds that a guarantee recipient has violated 
the requirements of this subpart, such recipient will be subject to 
civil action for injunction to cease activities which violate this 
subpart and for any other appropriate civil or criminal relief, 
including termination, suspension, and punitive damages.



   Subpart C--Procedures for Computing the Internal Rate of Return on 
                                Projects



Sec. 260.31  Applicability.

    This subpart prescribes the procedures to be followed and the format 
to be utilized in computing the IRR under paragraph (a)(7)(i) of 
Sec. 260.7 of subpart A of this part.



Sec. 260.33  Definitions.

    As used in this subpart--
    (a) Investment means any substantial non-recurring expenditure even 
if expensed for accounting purposes.
    (b) IRR means the estimated internal rate of return on a project for 
which an application for financial assistance is filed pursuant to this 
part.
    (c) IRS means the Internal Revenue Service.



Sec. 260.35  Procedures to be followed and format to be utilized.

    (a) A narrative discussion of the IRR computation for the project 
consisting of the following five parts shall be prepared and provided:
    (1) A detailed description of the project. This description must 
present the following: The objectives of the project; what assets will 
be improved, rehabilitated, acquired or constructed; where they will be 
located; and how they will be used. It must also describe any other work 
to be done as a part of the project, and any operating changes, 
including retirement of assets, which will accompany the investment. For 
these purposes, the project shall be deemed to include all expenditures 
(including those for which no Federal assistance is requested) necessary 
to carry out its objectives.

[[Page 594]]

    (2) A detailed description of the base case. The base case is the 
most favorable alternative action the applicant could take with little 
or no investment. The description must be comparable in scope to the 
description of the project. In some cases, the most favorable 
alternative action may be to do nothing, i.e., making no change in the 
current situation. In other cases, the applicant may have other 
alternative actions such as rerouting traffic, changing operating 
practices (perhaps with an increase in operating costs), or relying more 
heavily on facilities or equipment belonging to others. If the applicant 
has considered more than one alternative action (requiring little or no 
investment) to the project, the applicant must describe each of the 
actions considered and give the rationale for the selection of the base 
case from among those other actions.
    (3) A discussion of key assumptions. All general assumptions and 
those relating only to a particulary cash flow impact which 
substantially affect the IRR should be explained. Assumptions regarding 
traffic volumes deserve particular attention. The applicant must specify 
how much traffic is expected if the project and base case are 
undertaken, and where the difference, if any, between the project and 
base case is expected to come from (e.g., diverted from truck, diverted 
from other railroads, generated by the project, etc.). Other key 
assumptions may relate to actions by third parties, such as regulatory 
agencies and other railroads.
    (4) A discussion of each cash flow impact resulting from the project 
or base case. The applicant must identify all the cash receipts and 
disbursements resulting from the project but not the base case, and 
vice-versa. Cash flows which would be the same in either event should 
not be considered. For each cost and benefit used in the IRR 
computations, the applicant must explain why the particular cash flow 
will result from the project or base case, and how the size of the cash 
flow and the corresponding measure in physical units were estimated. In 
addition, the applicant must identify and discuss important costs and 
benefits which it has not been able to quantify. The applicant must note 
which of the benefit and cost items could be measured to confirm the 
predictions in the IRR computation, and must suggest how such 
measurements could be made. Appendix A of this subpart lists the most 
common cash flow impacts of railroad investment projects and base case 
alternatives, indicates the kinds of actions likely to involve each type 
of cash flow, suggests how each might be measured (both in physical and 
monetary units), and discusses special problems associated with each. 
Appendix A is not exhaustive; other cash flow items should be included 
in the analysis as appropriate.
    (5) A discussion of the principal areas of uncertainty. This 
discussion must indicate why particular values might be different from 
those used in the computation, and the range into which each uncertain 
value could be expected to fall. It must also indicate the applicant's 
subjective level of confidence that the computed IRR is a reasonably 
close prediction of the project's and base case's financial performance. 
In some circumstances, the applicant must point out where the IRR fails 
to incorporate certain important features of the project or the base 
case, or both. Applicant may enhance its discussion by presenting 
examples of its own prior experiences with IRR, stating, perhaps, that 
an audit of past computations has shown marked deviations from actual 
results regardless of the detail of those computations.
    (b) For the project (as it relates to its base case alternative), a 
thorough presentation of all the computations underlying the IRR using 
the Forms I-V of appendix B to this subpart shall be prepared and 
provided. State and local tax impacts need not be included in the 
computations, unless the applicant has determined that their inclusion 
substantially affects the IRR. The computation of the IRR must follow 
the four steps described below. (This procedure cannot be used if the 
project consists of replacing an asset, usually equipment, which would 
otherwise remain in service (at high cost) for only a few more years. In 
that situation, the lifetime of the project (the new asset) is 
substantially longer than the lifetime of the base case (the old asset), 
so

[[Page 595]]

that it is not possible to get a differential cash flow in every year of 
the project's life. A possible approach for handling such cases is to 
determine the discount rate which gives the same average annual cost per 
unit of output for both the project and the base case. Because it is 
expected that very few of the applications will involve such 
replacements, the procedure for handling them will not be detailed here 
but will be provided upon request.) The foregoing does not apply to the 
rehabilitation of track or similar replacement of components of an asset 
which could reasonably be kept in service at high cost for at least 15 
years (or the life of the replaced material, if shorter). The IRR on 
such projects must be computed in accordance with the procedures 
mandated by this subpart.).
    (1) Step 1: Determination of before-tax case flows. The applicant 
must determine, for each year of the project's expected useful life, up 
to a maximum of 15 years (unless the cash flow impacts of later years 
would substantially affect the IRR), both the project's and base case's 
before-tax cash flow impacts (receipts and disbursements). The cash flow 
estimates must not include the effects of inflation, but rather must be 
done in constant dollars. The effects of financing must also be 
excluded; that is the cash flows must be estimated as if the required 
cash were immediately available at no cost.

The various cash flow impacts for this step 1 must be shown on Forms I 
through V of appendix B as explained below. On Forms I through V cash 
flow impacts occurring in the first year of the project and base case 
are assigned to and recorded in the time period year 1. Cash flows in 
subsequent years are all assigned to and recorded in the year in which 
they occur regardless of whether they occur at the beginning or end of 
the year. For purposes of assigning and recording cash flow impacts of 
the project and base case, it will be assumed that the project's 
starting date and thus the commencement of year 1 begins as of the first 
of the January following the year in which an application for financial 
assistance is filed.
    (i) Capitalized investments which would occur as a part of the 
project but not in the base case must be entered in Column 1 of Form I. 
The capitalized investment includes capitalized engineering work, 
installation expenditures and other startup costs allowable in reporting 
to the IRS. The total investment for the project must be divided into 
portions which are homogeneous with respect to depreciation method (if 
depreciable), depreciation period (if depreciable), year in which the 
assets enter service, and whether the assets qualify for investment tax 
credit. (If applicant has a considerable tax credit carryforward, the 
tax credit must be shown only in the year or years it will result in a 
reduction of tax payments.) A separate form should be completed for each 
such portion. Similarly, a set of Forms I must be completed for a 
capitalized investments which would be made as part of the base case but 
not the project.
    (ii) Sales of released assets (as useful assets or as scrap), which 
would occur as a part of the project or the base case, must be entered 
in Column 1 of Form II. As was the case for capitalized investments, 
there must be a separate Form II for each portion of the assets sold, 
such that each portion is homogeneous with respect to tax treatment and 
year of sale. Form II must also be completed for retirements of assets, 
even though the sale price is zero, if the retirement will affect the 
applicant's income taxes and thereby the applicant's cash flow. The sale 
or retirement of an asset at the end of the project's life, if the cash 
flow impact is substantial enough to merit inclusion in the computation, 
must also appear on one or more Forms II. (If a project would continue 
an asset already owned in its prior use but the base case would put the 
asset to an alternative use, and if the cash flow from thatalternative 
use is difficult to determine, the applicant may do the analysis as if 
the asset were to be sold in the base case at its fair market value when 
put to the alternative use. Similarly, if the base case would continue 
an asset in its present use but the project would result in the asset 
being employed in an alternative use, the anticipated cash flow of which 
would be difficult to determine, the asset in the project may be treated 
as a sale at fair market

[[Page 596]]

value in the IRR computations. In either event, the market value of the 
asset otherwise put to an alternative use would be entered in Column 1 
of a Form II and the asset in its current use (in either the project or 
base case, as the case may be) would be recorded, as to continuing 
depreciation and income tax credit, if any, on Form I and, as to 
expenses and contribution to profit, on Form III. However, whenever 
possible, the anticipated cash flow of the alternative use, whether in 
the project or base case, should be entered on Form III rather than 
treated as a theoretical sale at fair market value.)
    (iii) Expense items or contributions to profit which arise by reason 
of the project or the base case must be documented on Form III for the 
respective case, with a separate form being used for each item.

Columns 1 and 2 of Form III must be completed unless the difference of 
column 3 can be ascertained only through a direct computation (as, e.g., 
car-day savings resulting from faster movement over rehabilitated 
track). When practical, expenses and traffic are to be expressed first 
in physical units (Columns 1, 2 and 3) and then converted to dollars 
(Column 4). In instances where this is not practical, the applicant may 
estimate expenses and contribution directly in dollars using only 
Columns 1, 2, and 4. In Columns 1 and 2, expense items should always be 
enclosed in parentheses because they represent cash outflows. Thus, 
positive numbers in Columns 3 and 4 will indicate that the project 
produces a larger cash inflow (or smaller cash outflow) than the base 
case.
    (2) Step 2: Determination of after-tax cash flows relating to 
capital assets. The applicant must compute the annual cash flows after 
Federal income tax corresponding to each of the before-tax flows 
recorded on each Form I and Form II in the previous step. If the 
applicant expects to pay taxes in some years but not others, the 
applicant will undoubtedly carry forward (or back) the tax losses and 
credits from years in which no tax was paid, so as to take full 
advantage of them. In that case, the applicant must estimate when such 
tax benefits will actually be received, and include them in the cash 
flow stream at the appropriate time. The appropriatetax rate for such 
computations is the applicant's marginal tax rate. This is the rate 
which would apply to one additional dollar of income earned by the 
applicant. Normally, the marginal rate will be 48% for Federal taxes 
except in years in which the applicant does not expect to pay taxes. The 
average or effective tax rate (found by dividing a firm's actual tax 
payments by its net income before taxes) is not appropriate for this 
purpose. If the tax rate assumed is different from 48% or if the 
computations assume the applicant will not pay taxes in certain years, 
then those assumptions must be explained in the discussion of key 
assumptions. The tax-related computations must be shown on the same 
forms as were used to record the pre-tax cash flows. Additional working 
papers should be submitted as necessary to clarify the computations. The 
computations to be done on the two forms are as follows:
    (i) On each Form I, the applicant must indicate in Column 2 the 
depreciation schedule which it expects to use in reporting to the IRS. 
In Column 3, the applicant must indicate how much its tax bill will be 
reduced as a result of the depreciation shown in Column 2. (If the 
applicant expects to pay taxes every year, Column 3 is simply 48% of 
Column 2.) In Column 4, the applicant must indicate the tax reduction, 
if any, it expects from investment tax credit. (The effect of the tax 
credit must be computed using the flow through method, in which 
investment credits are generally treated as reductions in income tax 
expense of the year in which the credits are actually realized, rather 
than being deferred and amortized over the productive life of the 
acquired property). Column 5 is the net after-tax cash flow associated 
with the investment.
    (ii) On each Form II, the applicant must indicate in Column 2 the 
increase (or decrease) in its Federal income tax payments resulting from 
the difference between the sale price and the book value of assets to be 
sold by reason of the project or base case. If an asset is released 
without a sale or a corresponding write down of book value, Form II is 
not used, but Form I is used

[[Page 597]]

to reflect continuing depreciation as before the release. In Column 3, 
the applicant must record any recapture of investment tax credit by the 
IRS. (Such recapture can only occur when an asset is disposed of before 
it has been in service for seven years.) Finally, Column 4 records the 
net cash flow in or out.
    (3) Step 3: Determination of aggregate after-tax cash flow. The 
applicant must determine the project's aggregate after-tax cash flow 
using Form IV. This shall be done as follows:
    (i) For each year, the corresponding after-tax cash flow (Column 5) 
on the various Forms I on which the ``project'' box was checked are 
summed, and the total entered into Column 1 of Form IV. Then the net 
after-tax cash flows on the base case Forms I are summed and entered 
into Column 2 of Form IV.
    (ii) Similarly, the project and base case Forms II (Column 4) are 
consolidated and entered into Columns 3 and 4, respectively, of Form IV.
    (iii) The Forms III (Column 4) are consolidated into Column 5 of 
Form IV. The corresponding cash flow after Federal income tax is 
recorded in Column 6. If the applicant expects to pay taxes every year, 
Column 6 is simply 52% of Column 5. If applicant expects to pay no 
taxes, the two columns are identical. If applicant expects to pay taxes 
in some years but not others, the applicant must incorporate the effects 
of carrying losses forward (or back) into the estimated after-tax cash 
flow.
    (iv) The aggregate net cash flow for the project relative to the 
base case is then found and entered in Column 7 of Form IV.
    (4) Step 4: Computation of the IRR. The applicant must determine the 
discount rate for which the present value of the differential cash flow 
stream is zero. That is, the applicant must find the value of r which 
makes the expression
[GRAPHIC] [TIFF OMITTED] TC13NO91.040


equal to zero. In the above expression, r is the discount rate applied 
to future cash flows; i is an index denoting a particular year of a 
project's life; n is the number of years in the project's life; and 
ci is the differential cash flow in year i. Computer programs 
for calculating the rate of return are widely available. If a program is 
utilized, copies of the printout showing input and output data, and a 
brief explanation of the program function must be included in the 
application. If the applicant chooses not to use such a computer program 
to find the IRR, the applicant may use Form V. If the IRR lies off the 
graph, it is sufficient to report that the IRR is negative or above 50%. 
If the nature of the cash flow stream is such that a unique IRR cannot 
be found, the work done to develop the cash flow stream must be 
submitted with a note that no IRR could be computed.
    (c) Copies of all financial analyses which the applicant did on 
rejected alternatives to the project, including changes in scale or 
scope. The applicant need not do any such analyses beyond those already 
done, nor need the format, assumptions, or procedures used in those 
analyses be changed to conform to the requirements of these regulations.
    (d) A reconcilation between the cash flows used in the IRR 
computations and all forecasted data presented in the application, both 
before (for the base case) and after (for the project) giving effect to 
Federal assistance. This reconciliation must indicate what inflation 
factor or factors were used in developing the forecasted financial 
statements as compared to the constant dollar figures used in the IRR 
computations. The reconciliation must also show how each of the 
individual parts and subparts of the project relates to the applicant's 
forecasted financial statements.

           Appendix A to Part 260--Selected Cash Flow Impacts

    Railroad investments usually affect the investor's cash flow by 
changing some of the following things:
    Use of assets.
    Contribution from traffic.
    Labor requirements.
    Locomotive requirements.
    Requirements for cars, trailers, and containers.
    Maintenance material consumption.
    Energy consumption.
    Accident rates and severity.
    Expenditures needed to meet legal requirements.
    Salvage value.

[[Page 598]]

    Installation and start up expenses.

While this list is not exhaustive it does identify the most common cash 
flow impacts.
    Some of the items listed, such as start up expenses, are almost 
always costs of projects or base cases, rather than benefits. Others, 
such as salvage value, are usually benefits. Most of the items, however, 
may be either project or base case benefits or costs, depending on the 
particular situation.
    This appendix briefly discusses each of the eleven factors listed 
above. The discussions include four parts: a list of the kinds of 
actions which often involve the particular cash flow impact in question; 
the physical units in which the impact is generally measured; 
suggestions for converting the physical units to their monetary 
equivalent; and notes on special characteristics or problems associated 
with the particular cash flow impact.

                              use of assets

    Characteristic Actions: Assets are often released for sale or 
altenative uses when they are replaced or made unnecessary by new 
assets. Examples are pole line materials released when microwave is 
installed; shop equipment released when similar new equipment is 
acquired; rail replaced by rail in better condition; and land and track 
materials released when yards, shops, and terminals are made unnecessary 
by new facilities elsewhere. Some other types of actions, such as line 
changes and the installation of centralized traffic control, often 
permit some track segments to be abandoned, thereby releasing track 
material for sale or other uses.
    On the other hand, some actions involve the use of assets already 
owned, thereby prohibiting their sale or use for other purposes. 
Examples are car modifications and projects involving land and buildings 
already owned.
    Physical Units: Feet (or miles) of rail, number of ties, acres of 
land, etc.
    Monetary Value: The value of an asset released by an action depends 
on what will be done with it. The value of an asset occupied by an 
action, on the other hand, depends on what would have been done with it 
in the absence of the action. Regardless of whether it is the action or 
its alternative which makes the material available, one must first 
carefully specify what is assumed to happen to the asset both with and 
without the action, and identify the factors which change the cash flow 
stream. Depending on the particular circumstances, any of the following 
might be involved: Payment received from selling the asset; a multi-year 
stream of income produced by the asset in some use; tax paid on the sale 
of the asset; expenditure for dismantling and/or moving the asset; 
recapture by theIRS of investment tax credit taken when the asset was 
purchased (if it had been in use for less than seven years). Also, if 
the owner of the asset sells or retires it, he would lose the tax 
reductions he is receiving from depreciating the asset. It is the use of 
the released asset which values it. Thus, a released asset such as rail 
which, by cascading, results in the subsequent release of less valuable 
rail, must be valued in its use and not as the value of subsequently 
released assets.
    In cases in which the asset is transferred to another use which 
produces income over several years, the effect of releasing the asset 
extends over several years, and must be expressed as a series of annual 
cash flows, rather than a lump sum.
    Special Features: A common error in project evaluations is to value 
a used asset at its book value (i.e., purchase price less accumulated 
depreciation). The book value may be far from the value of the asset on 
the open market, especially in the case of rail released by track 
abandonments and land released by the abandonment of facilities in urban 
areas. The only way the book value of retired assets enters into the 
cash flow stream is in determining the tax paid on the sale of the asset 
(or the tax saving if the asset is discarded or sold for less than its 
book value).
    In calculating the tax paid on the sale of a released asset, the 
ordinary tax rate (48%) should be used, except when the capital gains 
rate applies.
    It is sometimes difficult or impossible to estimate the contribution 
to profit which a particular asset, such as second hand rail, will 
produce in an alternative use. In such cases, it is better to do the 
financial analysis on the assumption that the asset in question would be 
sold at its fair market value (even though it would in fact be put to an 
alternative use), rather than leaving the asset out of the computations 
entirely.

                        contribution from traffic

    Characteristic Actions: Actions which affect the availability and 
attractiveness of the railroad to shippers. The action may involve 
giving the shipper better access to the railroad (track extensions and 
terminal improvements) or better service. Line consolidations, on the 
other hand, may involve abandonments which deprive some shippers of 
service, or may result in such degradations in service quality that some 
shippers switch to other carriers. Faster service can result from more 
power or improvements in track, yards, terminals, signals, and 
communication. Another component of service quality, reduced loss and 
damage to lading can be occasionally improved by eliminating accidents 
(wayside warning devices), using specialized cars, and making 
improvements to yard and terminal facilities. Service quality can also 
be enhanced by purchases of additional freight cars and trailers, so as 
to reduce the likelihood of car shortages. Another aspect of service 
quality is reliability, which

[[Page 599]]

may be affected by improvements in yards, terminals, and communications, 
as well as the elimination of accidents. Still another component of 
service quality is the cost to the shipper of packing and loading, which 
may be affected by investments in specialized cars and terminal 
facilities.
    Physical Units: Car-loads.
    Monetary Value: The contribution to profit is found by subtracting 
the variable cost of moving the traffic from the associated revenue. The 
variable cost is best estimated by a careful study of the operations and 
costs of the particular movements involved.
    Such a study is not practical for certain traffic. In these cases 
the best alternative may be to estimate the variable cost using system 
averges, as is done in the Interstate Commerce Commission's Rail Form A, 
Carload Cost Scales, and Rail Revenue Contribution studies. Where 
appropriate, such system average costs should be adjusted to exclude 
costs not involved in the particular movement, and to reflect the 
current, not the historical, costs of assets to be purchased in the 
future.
    Special Features: The contribution from new traffic resulting from 
an improvement is extremely important, but it is also one of the most 
difficult of all project benefits to estimate. One major problem is 
estimating the volume of traffic likely to result from a particular 
improvement, especially if the improvement affects service quality. A 
second serious problem is estimating the variable cost of particular 
movements. (These estimates may be facilitated by a six-part FRA cost 
study currently in progress.)

                           labor requirements

    Characteristic Actions: Labor requirements are often reduced by 
automation, facility consolidation, faster train running times, 
reductions in switch engine requirements, better communications for 
operations, and reductions in maintenance needs. On the other hand, 
actions involving new or expanded yards, terminals, or shop facilities 
may increase manpower requirements.
    Physical Units: Man-hours, number of employees.
    Monetary Value: The value of labor depends on the particular 
situation. If the action results in a change in the number of employees 
or in overtime hours, the wages and fringe benefits associated with that 
change directly affect the railroad's cash flow. If an action changes or 
eliminates work for employees without changing jobs or overtime, the 
change will affect the railroad's cash flow if either:
    The man-hours released or occupied by the change can be used on 
other profitable tasks which would otherwise not be done, or which would 
be accomplished by paying overtime or hiring more people; or
    The action can be combined with one or more other actions, each of 
which saves or requires a fraction of an employee, so that the set of 
actions results in a change in the size of the work force.
    In either case, the value of the man-hours released or consumed is 
the cost of the associated wages and fringe benefits. On the other hand, 
if the result of the action is simply to give existing employees more 
(or less) free time on the job, no cash impacts can be attributed to the 
change in the amount of work.
    Special Features: There are several different kinds of labor which a 
project might affect: road crews, yard crews, maintenance-of-way, shop, 
inspection, clerical, and other.
    Determining the wages and fringe benefits associated with a 
particular man-hour is often not straightforward because of rules 
governing employee compensation. The payment of some train crews on a 
mileage rather than a time basis is an example.
    Wage and fringe benefit savings resulting from the elimination of 
jobs may be at least partially offset by costs incurred as a result of 
labor protection agreements. Depending on the situation, these costs may 
be lump-sum or recurring. Determination of employee protection costs is 
complicated by the fact that the individual who holds a position which 
is to be eliminated may not be the person who is actually laid off as a 
result of the elimination. Rather, the person whose job is actually 
eliminated may displace a person with less seniority holding a similar 
job. That person may, in turn, displace another employee and so on.

                         locomotive requirements

    Characteristic Actions: Actions reducing train running time (track 
upgrading, line changes, signal system improvements, etc.), or which 
permit moving the same traffic with fewer trains (yard consolidations) 
or with fewer terminal delays (yard and terminal improvements) can all 
reduce the number of road engines needed. The number of switch engines 
needed can be reduced by some types of yard and terminal improvements, 
such as yard consolidations, track changes, and the installation of 
weigh-in-motion scales. Actions which lead to increased traffic, such as 
track extensions, may increase the need for both types of locomotives.
    Physical Units: Locomotive-years (or locomotive-hours or locomotive-
days). Note that one does not have to save 365 locomotive-days to save a 
locomotive-year, since locomotives are not available for service 365 
days per year because of maintenance work. If a railroad's locomotives 
were available for service 78% of the time, applicant would only have to 
save 285 locomotive-days to save a locomotive-year.

[[Page 600]]

    Monetary Value: One way to estimate the value of a locomotive-year 
is the following four-step process:
    1. Estimate the after-tax cash flow stream resulting from owning a 
locomotive. The components of this stream would be: The investment 
expenditure; investment tax credit; tax savings from depreciation; 
normal maintenance; overhauls; and salvage value. The cash flow stream 
must be in constant dollars of the same base year as would be used in 
the rest of the IRR computation.
    2. Calculate the net present value of the cash flow stream, using 
the yield on 180-day United States treasury bills as the discount rate.
    3. Find a stream of equal annual outlays which produces the same net 
present value as was found in Step 2. The anual outlay may be found by 
multiplying the net present value by
[GRAPHIC] [TIFF OMITTED] TC13NO91.030

where r is the yield in Step 2, and n is the number of equal annual 
outlays.
    4. Find the pre-tax equivalent of the after-tax annual payment found 
in Step 3, by dividing the after-tax figure by one minus the railroad's 
marginal tax rate. This is the pre-tax value of a locomotive year, 
expressed in dollars of the base year chosen in Step 1.
    The procedures set forth above for valuing estimated savings or 
costs from locomotive requirements on a locomotive-year basis may be 
used only where it is not practical to associate particular future 
locomotive purchases with the project. Where practical, changes in 
locomotive requirements (except for locomotives belonging to other 
railroads) must be treated as capital investments that would have to be 
made in the base case but not in the project or vice versa, with due 
recognition given to those fixed charges associated with ownership of 
locomotives that would be incurred if such locomotives were purchased. 
This also applies to Requirements for Cars, Trailers, and Containers, 
which follows.
    Increased locomotive productivity is somewhat analogous to increased 
labor productivity (see Labor Requirements) in that it may not always 
lead to significant cash savings. This is especially true with switch 
engines, since a decrease in car movements may not reduce the number of 
engines required if the number of locations which the switch fleet must 
serve does not also change. On the other hand, reducing the number of 
locations covered (by consolidating yards, for example) may decrease 
switch engine requirements. As in the case of increased labor 
productivity, increased locomotive productivity affects a railroad's 
cash flow only if a locomotive can be sold (or a purchase avoided) or if 
the locomotive is able to do other profitable work which would not be 
done otherwise.
    Special Features: The locomotive values computed using the procedure 
above include maintenance and overhaul expense, but not fuel or other 
labor expense. Therefore any concomitant change in fuel or labor (except 
maintenance) should be estimated separately. Care should be taken to 
exclude changes in locomotive maintenance costs from any other estimates 
of charges in maintenance costs resulting from the investment project.

             requirements for cars, trailers, and containers

    Characteristic Actions: Actions which change train running time 
(such as track upgrading, purchase of additional power, line changes and 
signal improvements); actions which change the time cars spend in yards, 
or permit bypassing yards altogether (yard improvements and improved 
communication systems); actions which change the time cars are out of 
service for maintenance (shop facilities, car modifications, track 
upgrading); and actions which affect the turn-around time for cars in 
terminals.
    Physical Units: Car-days.
    Monetary Value: The procedure for finding the value of a locomotive-
year or day is equally applicable to cars. (See Locomotive 
Requirements).
    Another acceptable approach is to use per diem costs (including 
incentive per diem) since those charges approximate the cost of 
ownership. Although incentive per diem is in addition to car ownership 
costs, its inclusion in the car-day value is justified because it 
reflects, to some degree, the fact that a railroad sometimes loses 
business during short peaks in demand, because it is not immediately 
able to buy or hire the cars necessary to take advantage of a particular 
business opportunity.
    Over the long run, however, a railroad need not continually lose 
traffic, so long as it is willing to incur the cost of owning a 
sufficient number of cars. Therefore, it is not appropriate to use the 
investing railroad's average contribution per car-day to value improved 
car utilization in IRR calculations. Given that per diem is a 
satisfactory approximation to the cost of car ownership, there is no 
need to distinguish between foreign car-days saved and investor car-days 
saved by an action.
    Special features: The valuation of improved car utilization is 
complicated by the fact that some projects, such as improvements in 
classification yards, may affect the entire car fleet, while other 
projects may affect only certain kinds of cars. For example, it may be 
that all the cars affected by a particular terminal improvement are 
refrigerator cars. The car-day value to be used is

[[Page 601]]

therefore not necessarily the same in all projects. Rather, it depends 
on the type of cars involved.

                    maintenance material consumption

    Characteristic Actions: Since nearly all assets require maintenance, 
almost any action involving the acquisition of new assets will lead to 
expenditures for maintenance materials. On the other hand, actions which 
involve taking assets out of service, such as replacements, eliminate 
the need to maintain the retired assets. Improving track conditions may 
decrease equipment maintenance, while decreasing traffic volumes may 
decrease track maintenance needs.
    Primary Units: List of materials involved (and quantities).
    Monetary Value: The value of maintenance materials is the price of 
those materials (plus freight in and labor added, if any). Where a 
direct relationship exists between maintenance labor and materials, it 
may be more convenient to first estimate man-hours and then compute 
material costs in proportion to the man hours.
    Special Features: The material costs (or savings) associated with 
changes in maintenance may include work equipment, as well as the 
materials consumed during maintenance.
    Usually the best basis for predicting maintenance costs is the 
maintenance history of similar assests in similar service. Manufacturers 
can also sometimes provide projections of maintenance expense. To the 
extent practical, care should be taken to specifically reflect cyclical 
maintenance (overhauls) by assigning the maintenance cost (or savings) 
to the years in which they will actually occur, rather than normalizing, 
or smoothing out, the cash flow stream.
    Assets which permit maintenance savings often involve maintenance 
costs which partially offset those savings.

                           energy consumption

    Characteristic Actions: Actions changing locomotive activity or 
locomotive efficiency. Line changes and locomotive replacements may 
reduce fuel consumption by road engines. Improvements in yards and 
terminals, as well as locomotive replacements, may reduce the fuel 
consumed by switch engines. Improvements in buildings and structures can 
cut heating costs.
    Physical Units: Gallons, kilowatt-hours, etc.
    Monetary Value: Found by multiplying the fuel or electricity by the 
current price per unit.
    Special Features: Road engine energy consumption generally varies 
with gross tonmiles and speed. Yard engines are frequently idling, 
consuming energy, even when not in use. Thus, energy consumption may 
vary with the number of switch engine crew shifts rather than the amount 
of work done. Care should be taken not to count changes in locomotive 
energy consumption twice, once as a change in locomotive requirements 
and once as a change in energy consumption.

                       accident rates and severity

    Characteristic Actions: Accidents may be reduced by wayside warning 
detectors (hot box detectors, grade crossing protection, dragging 
equipment detectors, etc.), lading protection devices, some specially 
equipped cars, some yard and terminal improvements, and track upgrading.
    Physical Units: Accidents (of several different types) per year.
    Monetary Value: Only the monetary cost likely to be borne by the 
railroad would be relevant to the IRR computation. This would include 
damage to equipment, roadway and lading, and the cost of wreckage 
removal as well as injury to people. The expected cost of an accident 
varies drastically, depending on the particular situation.
    Special Features: Accidents delay trains and yard and terminal 
operations. Thus, actions which reduce accidents may also improve car 
and locomotive productivity. Care should be exercised that such benefits 
are counted only once.

             expenditures needed to meet legal requirements

    Characteristic Actions: Actions permitting abandonment of old 
facilities or equipment may reduce the need for such expenditures. New 
facilities may make some such expenditures necessary.
    Physical Units: List of actions, such as grade crossing protection, 
water treatment facilities, or the installation of retention toilets, 
which would be required to bring the facilities or equipment in question 
up to legal standards.
    Monetary Value: The total cost of the improvements including 
engineering (except engineering work already done), capital expenditure, 
maintenance, and operation. These expenditures should be offset by the 
appropriate tax reductions (resulting from depreciation and investment 
tax credit) which would result from those improvements.

                              salvage value

    Characteristic Actions: Acquisition of new assets or disposal of 
existing assets.
    Physical Units: List of the particular assets involved (such as 
tamping machine, 500' of 112 rail, etc.)
    Monetary Value: The cash flow resulting from disposing of the assets 
or using them elsewhere. (See Use of Assets).
    Special Features: The salvage value of most assets declines as the 
asset ages. The value

[[Page 602]]

of land often remains roughly constant, as does the value of materials 
in well maintained track. The salvage value of assets which cannot be 
used for other purposes, such as a culvert, is zero.
    When salvage values are small relative to other benefits and costs, 
and when they are heavily discounted (because they occur far in the 
future), their impact on the IRR is likely to be negligible. In such 
cases, the salvage value can be safely ignored.

                   installation and start-up expenses

    Characteristic Actions: Most fixed facilities.
    Physical Units: Man-hours, list of materials required.
    Monetary Value: As noted in the discussion of labor requirements the 
value of the labor depends on the particular situation. The value of the 
materials would normally be their market price.
    Special Features: Often all or part of the expenditures needed to 
get a new asset in place and operating is capitalized. In such a case, 
the capitalized portion of the expenditure should be included as part of 
the investment cost, but not counted again as a start-up expense.

        Appendix B to Part 260--Forms to be Used in Computing IRR
     Form I.--Analysis of capitalized investment (constant dollars)
                                   Applicant................  ..........
                                   Project..................  ..........
                                   Date.....................  ..........
                                   Sheet No.................  of........
                                                                 .......
Portion of investment covered by   .........................  ..........
 this sheet.
Depreciation method used.........  Depreciation period......  ..........
This investment would occur in the {time}  Project {time}  Base case
 (check one)
 


----------------------------------------------------------------------------------------------------------------
                                                                                        (4)--Tax
                                                                          (3)--Tax      reduction     (5)--Net
                 Year                   (1)--Amount  (2)--Depreciation    reduction       from      cash flow in
                                        capitalized                         from       investment       (out)
                                                                        depreciation   tax credit
----------------------------------------------------------------------------------------------------------------
1....................................
2....................................
3....................................
4....................................
5....................................
6....................................
7....................................
8....................................
9....................................
10...................................
11...................................
12...................................
13...................................
14...................................
15...................................
                                      --------------------------------------------------------------------------
      Totals.........................
----------------------------------------------------------------------------------------------------------------
Instructions
  Use separate forms for portions of the investment which would receive different tax treatment or which would
  enter service in different years.
  Estimate amounts in cols. 1-4 as would be done in reporting to IRS.
  Col. 5 equals col. 3 plus col. 4 minus col. 1.


  Form II.--Analysis of sale or retirement of assets (constant dollars)
                                   Applicant................  ..........
                                   Project..................  ..........
                                   Date.....................  ..........
                                   Sheet No.................  of........
                                                                 .......
Assets covered by this sheet.....  .........................  ..........
Depreciation method used.........  Depreciation period......  ..........
Book value of assets at time of    .........................  ..........
 sale.
This sale would occur in the {time}  Project {time}  Base case (check
 one)
 


----------------------------------------------------------------------------------------------------------------
                                                                    (2)--Tax on
                                                                   gain (or tax      (3)--Tax
                      Year                           (1)--Sale       saving on        credit       (4)--Net cash
                                                       price        loss) from       recapture     flow in (out)
                                                                     disposal
----------------------------------------------------------------------------------------------------------------
1...............................................
2...............................................
3...............................................
4...............................................
5...............................................
6...............................................

[[Page 603]]

 
7...............................................
8...............................................
9...............................................
10..............................................
11..............................................
12..............................................
13..............................................
14..............................................
15..............................................
                                                 ---------------------------------------------------------------
      Totals....................................
----------------------------------------------------------------------------------------------------------------
Instructions
  Use a separate form for each portion of the assets which would receive different tax treatment or be disposed
  of at different times.
  Estimate amounts in cols. 1-3 as would be done in reporting to the IRS.
  Col. 4 equals col. 1 minus col. 2 (plus col. 2 if a tax saving occurs) minus col. 3.


  Form III.--Analysis of expenses and contribution to profit (constant
                                dollars)
                                   Applicant................  ..........
                                   Project..................  ..........
                                   Date.....................  ..........
                                   Sheet No.................  of........
                                                                 .......
Expense or contribution..........  .........................  ..........
Physical units used..............  Monetary value per         ..........
                                    physical unit.
 


----------------------------------------------------------------------------------------------------------------
                                                                     Physical units                  (4)--Cash
                                                      ------------------------------------------- difference (in
                         Year                                                                       before-tax
                                                       (1)--Project   (2)--Base  (3)--Difference     constant
                                                                        case                         dollars)
----------------------------------------------------------------------------------------------------------------
1....................................................
2....................................................
3....................................................
4....................................................
5....................................................
6....................................................
7....................................................
8....................................................
9....................................................
10...................................................
11...................................................
12...................................................
13...................................................
14...................................................
15...................................................
                                                      ----------------------------------------------------------
      Totals.........................................
----------------------------------------------------------------------------------------------------------------
Instructions
  This form applies to all cashflow impacts except capitalized investments and sales or retirements of assets.
  Use a separate form for each type of expense or contribution to profit.
  Col. 3 equals col. 1 minus col. 2.
  Col. 4 equals col. 3 times monetary value per physical unit.


        Form IV.--Consolidation of cash flows (constant dollars)
                                   Applicant................  ..........
                                   Project..................  ..........
                                   Date.....................  ..........
                                   Sheet No.................  of........
                                                                 .......
 


--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                       Form I totals            Form II totals               Form III
                                                                -----------------------------------------------------------------------------  (7)--Net
                              Year                                              (2)--Base                 (4)--Base  (5)--Before  (6)--After   cash flow
                                                                 (1)--Project     case     (3)--Project     case      tax totals      tax      in (out)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1..............................................................
2..............................................................
3..............................................................
4..............................................................
5..............................................................
6..............................................................
7..............................................................
8..............................................................

[[Page 604]]

 
9..............................................................
10.............................................................
11.............................................................
12.............................................................
13.............................................................
14.............................................................
15.............................................................
                                                                ----------------------------------------------------------------------------------------
      Totals...................................................
--------------------------------------------------------------------------------------------------------------------------------------------------------
Instructions
  Cols. 1 through 5 are found by summing the right most columns on the indicated forms I-III.
  Col. 6 equals col. 5 times (1 minus marginal tax rate) unless taxes will be paid in some years but not others.
  Col. 7 equals col. 1 plus col. 3 plus col. 6 minus col. 2 minus col. 4. The subtracting of a (net cash flow out) results in the addition of a positive
  number.


             Form V.--Computation of IRR (constant dollars)
                                   Applicant................  ..........
                                   Project..................  ..........
                                   Date.....................  ..........
                                   Sheet No.................  of........
                                                                 .......
 


----------------------------------------------------------------------------------------------------------------
                                                                       Present value
                               (1)--Cash -----------------------------------------------------------------------
            Year                 flow                 (2)--Value              (3)--Value              (4)--Value
                                            Factor     at 10 pct    Factor     at 25 pct    Factor     at 40 pct
----------------------------------------------------------------------------------------------------------------
1...........................                   0.909                   0.800                   0.714
2...........................                    .826                    .640                    .510
3...........................                    .751                    .512                    .364
4...........................                    .683                    .410                    .260
5...........................                    .621                    .328                    .186
6...........................                    .564                    .262                    .133
7...........................                    .513                    .210                    .095
8...........................                    .467                    .168                    .068
9...........................                    .424                    .134                    .048
10..........................                    .386                    .107                    .035
11..........................                    .350                    .086                    .025
12..........................                    .319                    .069                    .018
13..........................                    .290                    .055                    .013
14..........................                    .263                    .044                    .009
15..........................                    .239                    .035                    .006
                             -----------------------------------------------------------------------------------
      Total present value of
 cash flow stream IRR =
 ...........................
----------------------------------------------------------------------------------------------------------------
Instructions
  1. Col. 1 is brought from form IV col. 7
  2. Cols. 2, 3, and 4 are found by multiplying col. 1 each time by the indicated factor.
  3. Plot totals of cols. 1, 2, 3, and 4 against discount rate used (0, 10, 25, and 40 pct respectively).
  Applicant must indicate scale on horizontal axis of chart and connect the points in a column (1-4) sequence.
  4. IRR is the discount rate corresponding to the point at which the graphical presentation intersects the zero
  present value ordinate.''




[[Page 605]]

                           interpolation chart
[GRAPHIC] [TIFF OMITTED] TC01AP91.009



PART 261--CREDIT ASSISTANCE FOR SURFACE TRANSPORTATION PROJECTS--Table of Contents




    Authority: Secs. 1501 et seq., Pub. L. 105-178, 112 Stat. 107, 241, 
as amended; 23 U.S.C. 181-189 and 315; 49 CFR 1.49.

    Source: 64 FR 29753, June 2, 1999, unless otherwise noted.



Sec. 261.1  Cross-reference to credit assistance.

    The regulations in 49 CFR Part 80 shall be followed in complying 
with the requirements of this part. Title 49, CFR, Part 80 implements 
the Transportation Infrastructure Finance and Innovation Act of 1998, 
secs. 1501 et seq., Pub. L. 105-178, 112 Stat. 107, 241.



PART 265--NONDISCRIMINATION IN FEDERALLY ASSISTED RAILROAD PROGRAMS--Table of Contents




                           Subpart A--General

Sec.
265.1  Purpose.
265.3  Applicability.
265.5  Definitions.

                         Subpart B--Requirements

265.7  Nondiscrimination clauses.
265.9  Affirmative action program--General.
265.11  Submission of affirmative action program.
265.13  Contents of affirmative action program.
265.14  Determining the MBE status of a business.
265.14-1  Appeals of determination of MBE status.
265.15  Implementation and maintenance of affirmative action program.
265.17  Review of affirmative action program.

                          Subpart C--Compliance

265.19  Compliance information.
265.21  Conduct of investigations.
265.23  Procedures for effecting compliance.
265.25  Other information.

Appendix A to Part 265

    Authority: Sec. 905 of the Railroad Revitalization and Regulatory 
Reform Act of 1976, Pub. L. 94-210, 90 Stat. 31; regulations of the 
Office of the Secretary of Transportation, 49 CFR 1.49(u).

    Source: 42 FR 4286, Jan. 24, 1977, unless otherwise noted.



                           Subpart A--General



Sec. 265.1  Purpose.

    The purpose of this part is to effectuate the provisions of section 
905 of the Railroad Revitalization and Regulatory Reform Act of 1976 
(hereinafter referred to as the ``Act'') to ensure that no person in the 
United States shall on

[[Page 606]]

the grounds of race, color, national origin, or sex be excluded from 
participation in, or denied the benefits of, or be subjected to 
discrimination under, any project, program or activity funded in whole 
or in part through financial assistance under the Act, or any provision 
of law amended by the Act. Nothing contained in these regulations is 
intended todiminish or supersede the obligations made applicable by 
either title VI of the Civil Rights Act of 1964, (42 U.S.C. 2000d), or 
Executive Order No. 11246, (42 U.S.C. 2000e (note)). Subsection (d) of 
section 905 of the Act authorizes the Secretary to prescribe such 
regulations and take such actions as are necessary to monitor, enforce, 
and affirmatively carry out the purposes of that section. This authority 
coupled with the provisions of section 906 of the Act, which requires 
the establishment of a Minority Resource Center which is authorized to 
encourage, promote and assist in the participation by MBE enterprises in 
the restructuring, improvement, revitalization and maintenance of our 
Nation's railroads, provides the basis for requirements for the 
development of affirmative action programs by recipients of Federal 
financial assistance and certain of their contractors to insure that 
minorities and MBEs are afforded ample consideration with respect to 
employment and contractual opportunities produced as a result of the 
implementation of the Act and other provisions of law amended by the 
Act.



Sec. 265.3  Applicability.

    This part applies to any project, program, or activity funded in 
whole or in part through financial assistance provided under the Act, 
and to any activity funded under any provision of the Regional Rail 
Reorganization Act of 1973, as amended (45 U.S.C. 701 et seq.) or the 
Rail Passenger Service Act, as amended (45 U.S.C. 501 et seq.) amended 
by the Act including the financial assistance programs listed in 
appendix A. It applies to contracts awarded to implement the Northeast 
Corridor Project and to financial assistance programs administered by 
the United States Railway Association.



Sec. 265.5  Definitions.

    As used in this part, unless the context indicates otherwise:
    (a) Act means the Railroad Revitalization and Regulatory Reform Act 
of 1976 (Pub. L. No. 94-210).
    (b) Administrator means the Federal Railroad Administrator or his 
delegate.
    (c) Affirmative action program means the program described in 
Sec. 265.9 through Sec. 265.15 of this part.
    (d) Agency means the Federal Railroad Administration.
    (e) Applicant means persons applying for financial assistance under 
any of the Rail Acts.
    (f) Contractor means a prime contractor or a subcontractor who will 
be paid in whole or in part directly or indirectly from financial 
assistance provided under the Rail Acts.
    (g) [Reserved]
    (h) Includes means includes but not limited to.
    (i) Minority means women, Blacks, Hispanic Americans, American 
Indians, American Eskimos, American Orientals and American Aleuts.
    (j) MBE means a business concern which is owned and controlled by a 
minority. For the purpose of this part, owned and controlled means a 
business:
    (1) Which is at least 51 per centum owned by one or more minority 
individuals; or, in the case of a publicly owned business, at least 51 
per centum of the stock of which is owned by one or more minority 
individuals; and
    (2) Whose management and daily operations are controlled by one or 
more such individuals.
    (k) MBE Resource Center means the Minority Resource Center 
established in the Department of Transportation pursuant to section 906 
of the Act.
    (l) Rail Acts means the Railroad Revitalization and Regulatory 
Reform Act of 1976, the Regional Rail Reorganization Act of 1973, as 
amended (45 U.S.C. 701 et seq.) and the Rail Passenger Service Act, as 
amended (45 U.S.C. 501 et seq.).
    (m) Recipient means a person who receives financial assistance under 
any of the Rail Acts except under section 602 of the Rail Passenger 
Service Act, as amended (45 U.S.C. 501 et seq.).

[[Page 607]]

    (n) Underutilization means the condition of having fewer minority 
employees in a particular job group or fewer awards of contracts to MBEs 
than would reasonably be expected by their availability for such jobs or 
awards.

[42 FR 4286, Jan. 24, 1977, as amended at 44 FR 36339, June 21, 1979]



                         Subpart B--Requirements



Sec. 265.7  Nondiscrimination clauses.

    (a) Each agreement for financial assistance made under any provision 
of the Rail Acts shall include, or in the case of agreements made prior 
to the effective date of this part, shall be amended to include, the 
following clauses:
    (1) As a condition to receiving Federal financial assistance under 
the Railroad Revitalization and Regulatory Reform Act of 1976 (``Act''), 
or the provisions of the Regional Rail Reorganization Act of 1973, as 
amended (45 U.S.C. 701 et seq.), or the Rail Passenger Service Act of 
1970, as amended (45 U.S.C. 501 et seq.) amended by the Act 
(collectively called, together with the Act, the ``Rail Acts''), the 
recipient hereby agrees to observe and comply with the following:
    (i) No person in the United States shall on the ground of race, 
color, national origin or sex be excluded from participation in, or 
denied the benefits of, or be subjected to discrimination under, any 
project, program, or activity funded in whole or in part through such 
assistance.
    (2) The following specific discriminatory actions are prohibited:
    (i) A recipient under any project, program or activity to which 
these clauses apply shall not, directly or through contractual or other 
arrangements, on the ground of race, color, national origin, or sex:
    (A) Deny a person any service, financial aid, or other benefit 
provided under such project, program or activity;
    (B) Provide any service, financial aid, or other benefit to a person 
which is different, or is provided in a different manner, from that 
provided to others under such project, program or activity;
    (C) Subject a person to segregation or separate treatment in any 
matter related to his receipt of any service, financial aid or other 
benefit under such project, program or activity;
    (D) Restrict a person in any way in the enjoyment of any advantage 
or privilege enjoyed by others receiving any service, financial aid or 
other benefit under such project, program or activity; or
    (E) Deny a person an opportunity to participate in such project, 
program or activity through the provision of services or otherwise or 
afford him an opportunity to do so which is different from that afforded 
others under such project, program or activity.
    (ii) A recipient, in determining the types of services, financial 
aid, or other benefits, or facilities which will be provided under any 
such project, program or activity or the class of persons to whom, or 
the situations in which such services, financial aid, other benefits, or 
facilities will be provided under any such project, program or activity, 
or the class of persons to be afforded an opportunity to participate in 
any such project, program or activity shall not, directly or through 
contractual or other arrangements, utilize criteria or methods of 
administration which have the effect of subjecting persons to 
discrimination because of their race, color, national origin, or sex, or 
have the effect of defeating or substantially impairing accomplishment 
of the objectives of the project, program or activity, with respect to 
individuals of a particular race, color, national origin or sex.
    (iii) In determining the site or location of facilities, a recipient 
shall not make selections with the purpose or effect of excluding 
persons from, de- nying them the benefits of, or subjecting them to 
discrimination under any project, program or activity to which these 
clauses apply on the grounds of race, color, national origin or sex, or 
with the purpose or effect of defeating or substantially impairing the 
accomplishment of the objectives of these clauses.
    (iv) The recipient shall not discriminate against any employee or 
applicant for employment because of race, color,

[[Page 608]]

national origin or sex. Except as otherwise required by the regulations 
or orders of the Administrator, the recipient shall take affirmative 
action to insure that applicants for employment are employed, and that 
employees are treated during employment, without regard to their race, 
color, national origin or sex. Such action shall include but not be 
limited to the following: Employment, promotion, demotion, transfer, 
recruitment or recruitment advertising, layoff or termination, rates of 
pay or other forms of compensation, and selection for training, 
including apprenticeship. The recipient agrees to post in conspicuous 
places, available to employees and applicants for employment, notices to 
be provided by the agency's representative setting forth the provisions 
of these nondiscrimination clauses. The recipient understands and agrees 
that it shall not be an excuse for the recipient's failure to provide 
affirmative actionthat the labor organizations with which the recipient 
has a collective bargaining agreement failed or refused to admit or 
qualify minorities for admission to the union, or that the provisions of 
such agreements otherwise prevent recipient from implementing its 
affirmative action program.
    (v) The recipient shall not discriminate against any business 
organization in the award of any contract because of race, color, 
national origin or sex of its employees, managers or owners. Except as 
otherwise required by the regulations or orders of the Administrator, 
the recipient shall take affirmative action to insure that business 
organizations are permitted to compete and are considered for awards of 
contracts without regard to race, color, national origin or sex.
    (3) As used in these clauses, the services, financial aid, or other 
benefits provided under a project, program, or activity receiving 
financial assistance under the Rail Acts include any service, financial 
aid, or other benefit provided in or through a facility funded through 
financial assistance provided under the Rail Acts.
    (4) The enumeration of specific forms of prohibited discrimination 
does not limit the generality of the prohibition in paragraph (a)(1)(i) 
of this section.
    (5) These clauses do not prohibit the consideration of race, color, 
national origin or sex if the purpose and effect are to remove or 
overcome the consequences of practices or impediments which have 
restricted the availability of, or participation in, recipient's 
operations or activities on the grounds of race, color, national origin 
or sex. Where prior discriminatory or other practice or usage tends, on 
the grounds of race, color, national origin or sex, to exclude 
individuals or businesses from participation in, to deny them the 
benefits of, or to subject them to discrimination under any project, 
program or activity to which these clauses apply, the recipient must 
take affirmative action to remove or overcome the effects of the prior 
discriminatory practice or usage. Even in the absence of prior 
discriminatory practice or usage to which this partapplies, the 
recipient is expected to take affirmative action to insure that no 
person is excluded from participation in or denied the benefits of the 
project, program or activity on the grounds of race, color, national 
origin or sex, and that minorities and MBEs are afforded a reasonable 
opportunity to participate in employment and procurement opportunities 
that will result from financial assistance provided under the Rail Acts.
    (6) The recipient agrees to take such actions as are necessary to 
monitor its activities and those of its contractors who will be paid in 
whole or in part with funds provided by the Rail Acts, or from 
obligations guaranteed by the Administrator pursuant to the Rail Acts, 
except obligations guaranteed under section 602 of the Rail Passenger 
Service Act, in order to carry out affirmatively the purposes of 
paragraph (a)(1) of this section, and to implement the affirmative 
action program developed and implemented pursuant to 49 CFR part 265.
    (7) The recipient shall, in all advertisements for employees, or 
solicitations for services or materials from business organizations 
placed by or on behalf of the recipient, in connection with any project, 
program or activity funded in whole or in part with financial assistance 
under the Rail Acts,

[[Page 609]]

state that all applicants for employment will receive consideration for 
employment, and all business organizations will receive consideration 
for an award of a contract, without regard to race, color, national 
origin or sex.
    (8) The recipient shall send to each labor organization or 
representative of workers with which it has a collective bargaining 
agreement or other contract or understanding a notice to be provided by 
the agency's representative, advising the labor organization or workers' 
representative of the recipient's commitments under section 905 of the 
Act, and shall post copies of the notice in conspicuous places available 
to employees and applicants for employment.
    (9) The recipient shall comply with all provisions of section 905 of 
the Act, the Civil Rights Act of 1964, any other Federal civil rights 
act, and with the rules, regulations, and orders issued under such acts.
    (10) The recipient shall furnish all information and reports 
required by the rules, regulations, and orders of the Administrator, and 
will permit access to its books, records, and accounts by the 
Administrator for purposes of investigation to ascertain compliance with 
rules, regulations, and orders referred to in paragraph (a)(9) of this 
section.
    (11) Recipient shall furnish such relevant procurement information, 
not included in its affirmative action program as may be requested by 
the MBE Resource Center. Upon the request of the recipient, the Center 
shall keep such information confidential to the extent necessary to 
protect commercial or financial information or trade secrets to the 
extent permitted by law.
    (12) In the event of the recipient's noncompliance with the 
nondiscrimination clauses of this agreement, or with the provisions of 
section 905 of the Act, the Civil Rights Act of 1964, or with any other 
Federal civil rights act, or with any rules, regulations, or orders 
issued under such acts, this contract will, after notice of such 
noncompliance, and after affording a reasonable opportunity for 
compliance, be canceled, terminated, or suspended in whole or in part 
and the recipient may be declared ineligible for further Federal 
financial assistance in accordance with procedures authorized in section 
905 of the Act, or as otherwise provided by law.
    (13) The recipient shall not enter into any contract or contract 
modification whether for the furnishing of supplies or services or for 
the use of real or personal property, including lease arrangements, or 
for construction, in connection with a project, program or activity 
which receives financial assistance under the Rail Acts with a 
contractor debarred from or who has not demonstrated eligibility for 
Federal or federally assisted contracts, and will carry out such 
sanctions and penalties for violation of this part as may be imposed 
upon contractors and subcontractors by the Administrator or any other 
authorized Federal official. The recipient shall insure that the clauses 
required by 41 CFR 60-1.46 implementing Executive Order 11246 will be 
placed in each non-exempt federally assisted construction contract.
    (14) The recipient agrees to comply with and implement the written 
affirmative action program as approved by the Administrator pursuant to 
Sec. 265.17 of title 49 CFR.
    (15) The recipient agrees to notify the Administrator promptly of 
any law suit or complaint filed against the recipient alleging 
discrimination on the basis of race, color, national origin or sex.
    (16) The recipient shall include the preceding provisions of 
paragraphs (a) (1) through (15) of this section in every contract or 
purchase order, whether for the furnishing of supplies or services or 
for the use of real or personal property, including lease arrangements, 
or for construction relating to projects, programs or activities 
financed in whole or in part under the Rail Acts. The recipient shall 
cause each such contractor or vendor to include the provisions of 
paragraphs (a) (1) through (15) of this section in every subcontract. 
The recipient will take such action with respect to any such contract or 
purchase order as the Administrator may direct as a means of enforcing 
such provisions including sanctions for noncompliance; provided, 
however, that in the event the recipient becomes

[[Page 610]]

involved in, or is threatened with, litigation with a contractor or 
vendor as a result of such direction by the Administrator, the recipient 
may request the United States to enter into such litigation.



Sec. 265.9  Affirmative action program--General.

    Recipients of financial assistance under the Rail Acts and their 
contractors, as specified herein, shall develop and maintain an 
affirmative action program to insure that persons and businesses are not 
discriminated against because of race, color, national origin or sex in 
programs, projects and activities financed in whole or in part through 
financial assistance provided under the Rail Acts, and that minorities 
and MBEs receive a fair proportion of employment and contractual 
opportunities which will result from such programs, projects and 
activities.



Sec. 265.11  Submission of affirmative action program.

    (a) Each application for financial assistance under any of the Rail 
Acts shall, as a condition to its approval and the extension of any 
financial assistance pursuant to the application, contain or be 
accompanied by two copies of a written affirmative action program for 
review by and approval of the Administrator. Recipients that have 
already entered into an agreement or other arrangement providing for 
such assistance shall, within 60 days after the effective date of this 
part, develop and submit to the Administrator two copies of a written 
affirmative action program for review by and approval of the 
Administrator and thereafter maintain such program.
    (b)(1) Beginning 30 days after the effective date of this part, and 
until 120 days after such date, each recipient shall require any 
contractor, as a condition to an award of a contract, for $50,000 or 
more for services or products on a project receiving federal financial 
assistance under a program covered by section 905 of the Act:
    (i) To furnish to the recipient a written assurance that it will, 
within 90 days after the date of the award, develop and maintain a 
written affirmative action program meeting the requirements of this part 
for the project, program or activity covered by the contract,
    (ii) To require each of its subcontractors receiving an award of a 
subcontract for $50,000 or more within 120 days after the effective date 
of this part, to furnish to the contractor as a condition to such an 
award the written assurance described in paragraph (b)(1)(i) of this 
section.
    (2) Beginning 120 days after the effective date of this part, each 
recipient shall require as a condition to the award of a contract or 
subcontract of $50,000 or more that the contractor or subcontractor 
furnish a certificate to the recipient or contractor as appropriate that 
a written affirmative action program meeting the requirements of this 
part has been developed and is being maintained.
    (3) Notwithstanding paragraphs (b) (1) and (2) of this section, each 
contractor or subcontractor having a contract or $50,000 or more but 
less than 50 employees shall be required to develop and maintain a 
written affirmative action program only for contracts in accordance with 
Sec. 265.13(c) of this part.
    (4) A recipient or contractor shall not procure supplies or services 
in less than usual quantities or in a manner which is intended to have 
the effect of avoiding the applicability of this paragraph.



Sec. 265.13  Contents of affirmative action program.

    (a) General. A prerequisite to the development of a satisfactory 
affirmative action program is the identification and analysis of problem 
areas inherent in minority employment and utilization of MBEs, and an 
evaluation of opportunities for utilization of minority group personnel 
and MBEs. Therefore, an affirmative action program to guarantee 
employment and contractual opportunities shall provide for specific 
actions keyed to the problems and needs of minority persons and MBEs 
including, where there are deficiencies based on past practices, and 
with respect to future plans for hiring and promoting employees or 
awarding contracts, the development of specific goals and timetables for 
the prompt achievement and maintenance of full

[[Page 611]]

opportunities for minority persons and MBEs with respect to programs, 
projects and activities subject to this part.
    (b) Employment practices. (1) The affirmative action program for 
employment showing the level of utilization of minority employees, and 
establishing a plan to insure representative opportunities for 
employment for minority persons shall be developed in accordance with 
the regulations of the Department of Labor at 41 CFR 60-2.
    (2) Railroad applicants or recipients shall develop their program 
for each establishment in their organization and by job categories in 
accordance with the requirements of the Joint Reporting Committee of the 
Equal Employment Opportunity Commission and the Department of Labor. 
Other applicants, recipients or contractors may use any program format 
or organization which has been approved for use by other Federal 
agencies enforcing equal opportunity laws.
    (3) The affirmative action program shall show the source of 
statistical data used.
    (4) The affirmative action program shall include a listing by job 
category of all jobs which may be established or filled by the 
applicant, recipient or contractor as a result of the project, program 
or activity funded by federal financial assistance under the Rail Acts 
for the first five years of such project, program or activity or the 
period during which such project, program or activity will be 
undertaken, whichever is the lesser (``program period'').
    (5) The affirmative action program shall set forth in detail a plan 
to insure that with respect to the project, program or activity financed 
in whole or in part through financial assistance under the Rail Acts, 
minority persons have an opportunity to participate in employment in 
proportion to the percentage of the minority work force in the area 
where the applicant's, recipient's or contractor's operations are 
located as compared to the total work force, and that such minority 
persons have an equal opportunity for promotion or upgrading. Where 
appropriate because of prior underutilization of minority employees, the 
program shall establish specific goals and timetables to utilize 
minority employees in such projects, programs or activities in the 
above-mentioned proportion.
    (c) Contracts. (1) The affirmative action program shall include 
details of proposed contracts in excess of $10,000 to be awarded in 
connection with projects, programs and activities funded in whole or in 
part through financial assistance under the Rail Acts, including 
contracts for professional and financial services, for the program 
period. The details shall include a description of the services or 
products which will be sought including estimated quantities, the 
location where the services are to be provided, the manner in which 
proposals will be solicited (e.g., cost plus fixed fee, fixed price), 
the manner in which contracts will be awarded (e.g., competitive or sole 
source). The plan shall also give details as to bidding procedures, and 
information as to other qualifications for doing business with the 
applicant, recipient or contractor. Upon request by the applicant, 
recipient or contractor, any information submitted to the Administrator 
shall be kept confidential to the extent permitted by law.
    (2) The affirmative action program shall review the procurement 
practices of the applicant, recipient or contractor for the full year 
preceding the date of the submission of the affirmative action program 
and evaluate the utilization of MBE in its procurement activities. Such 
evaluation of utilization of MBEs shall include the following:
    (i) An analysis of awards of contracts to MBEs during such year 
describing the nature of goods and services purchased and the dollar 
amount involved; and
    (ii) A comparison of the percentage of awards of contracts to MBEs 
(by number of contracts and by total dollar amount involved) to the 
total procurement activity of the applicant, recipient or contractor for 
said year.
    (3) The affirmative action program shall set forth in detail 
applicant's, recipient's or contractor's plan to insure that MBEs are 
afforded a fair and representative opportunity to do business with 
applicant, recipient or contractor

[[Page 612]]

(both in terms of number of contracts and dollar amount involved) for 
the program period. Such plan shall identify specific actions to be 
taken to:
    (i) Designate a liaison officer who will administer the MBE program;
    (ii) Provide for adequate and timely consideration of the 
availability and potential of MBEs in all procurement decisions;
    (iii) Assure that MBEs will have an equitable opportunity to compete 
for contracts, by arranging solicitation time for the preparation of 
bids, quantities, specifications, and delivery schedules so as to 
facilitate the participation of MBEs and by assisting MBEs who are 
potential contractors in preparing bid materials and in obtaining and 
maintaining suitable bonding coverage in those instances where bonds are 
required;
    (iv) Maintain records showing that the policies set forth in this 
part are being complied with;
    (v) Submit quarterly reports of the records referred to in paragraph 
(c)(3)(iv) of this section in such form and manner as the Administrator 
may prescribe; and
    (vi) Where appropriate because of prior underutilization of MBEs, 
establish specific goals and timetables to utilize MBEs in the 
performance of contracts awarded.
    (d) Successor organizations. Where applicant, recipient or 
contractor is a successor organization, its affirmative action program 
shall review the hiring and procurement practices of its predecessor 
organization or organizations.



Sec. 265.14  Determining the MBE status of a business.

    FRA or a recipient may, on the basis of available information, 
determine that a business is not an MBE within the meaning of this part. 
This determination shall be final, except as provided in Sec. 265.14-1, 
for that contract and other contracts being let by that contracting 
agency at the time of the determination. Businesses may correct 
deficiencies in their ownership and control and apply as MBEs only for 
future contracts.

[44 FR 36339, June 21, 1979]



Sec. 265.14-1  Appeals of determination of MBE status.

    (a) Filing. Any firm who believes that it has been wrongly 
determined not to be an MBE under Sec. 265.14 by the FRA or a recipient 
may file an appeal in writing with the Administrator. The appeal shall 
be filed no later than 30 days after the date of the determination. The 
Administrator may extend the time for filing or waive the time limit in 
the interest of justice, specifying in writing the reasons for so doing. 
Third parties who have reason to believe that a business has been 
wrongly denied or granted status as an MBE may advise the Administrator. 
This information is not considered an appeal pursuant to this section.
    (b) Decision to investigate. The Administrator ensures that a prompt 
investigation is made of those cases with investigative merit (except 
those being reviewed on the merits by the Comptroller General), pursuant 
to prescribed DOT Title VI (49 CFR part 21) investigation procedures.
    (c) Status during the investigation. The Administrator may deny the 
business in question eligibility to participate as an MBE in direct or 
FRA-assisted contracts let during the pendancy of the investigation, 
after providing the business in question an opportunity to show cause by 
written statement to the Administrator why this should not occur.
    (d) Cooperation in investigation. All parties shall cooperate fully 
with the investigation. Failure or refusal to furnish relevant 
information or other failure to cooperate is a violation of this part.
    (e) Determinations. The Administrator will make one of the following 
determinations and so inform the business in writing of the reasons for 
the determination:
    (1) The business is considered to be an MBE within the meaning of 
this part; or
    (2) The business is not considered to be an MBE within the meaning 
of this part and is denied eligibility to participate as an MBE in any 
direct or FRA-assisted contract until a further determination is made by 
FRA that the

[[Page 613]]

business is an MBE within the meaning of this part.

[44 FR 36339, June 21, 1979]



Sec. 265.15  Implementation and maintenance of affirmative action program.

    The affirmative action program with respect to employment and 
procurement practices shall set forth in detail applicant's recipient's 
or contractor's program to implement and maintain its recommended action 
program to insure that persons and businesses are not discriminated 
against because of race, color, national origin or sex, and that 
minorities and MBEs have equal employment and contractual opportunities 
with applicant, recipient or contractor. In developing its maintenance 
program for employment, applicants, recipients and contractors shall 
follow the applicable regulations of the Department of Labor 
implementing Executive Order 11246 at 41 CFR 60-2, subpart C, which 
provisions may also be helpful in implementing and maintaining 
applicant's recipient's or contractor's procurement program.



Sec. 265.17  Review of affirmative action program.

    (a) Except as provided for contractors and subcontractors in 
Sec. 265.11(b), each affirmative action program to be acceptable must 
have the written approval of the Administrator.
    (b) The Administrator recognizes that there may be some exceptional 
situations where the requirements of Sec. 265.13 through Sec. 265.15 may 
not fulfill the affirmative action objectives sought or that those 
objectives may be better achieved through modified or different 
requirements. Accordingly, the applicant, recipient or contractor may 
request approval for modified or different requirements that embody the 
objectives of Secs. 265.13 through 265.15. Such a request must include 
detailed showings that the particular situation is exceptional and that 
the modified or different proposals substantially comply with the 
objectives of this part. If the Administrator determines that the 
requirements for a detailed justification have been met, he may waive or 
modify these requirements or impose different requirements as he deems 
necessary to further the objectives sought herein.



                          Subpart C--Compliance



Sec. 265.19  Compliance information.

    (a) Each recipient and contractor shall keep such records and submit 
to the Administrator complete and accurate reports, at such times, and 
in such form, and containing such information as the Administrator may 
determine to be necessary to enable him to ascertain whether the 
recipient or contractor has complied or is complying with this part. 
These records shall show in connection with the project, program or 
activity funded in whole or in part through financial assistance under 
the Rail Acts:
    (1) Procedures which have been adopted to comply with the policies 
set forth in this part, including the establishment of a source list of 
MBEs;
    (2) Specific efforts to identify and award contracts to MBEs; and
    (3) Awards to MBEs on the source list required in paragraph (a)(1) 
of this section.
    (b) Each recipient and contractor shall permit access by the 
Administrator during normal business hours to such of its books, 
records, accounts and other sources of information and its facilities as 
may in the opinion of the Administrator be necessary to ascertain 
compliance with this part.
    (c) Each recipient and contractor shall make available to 
participants, beneficiaries and other interested persons, such 
information regarding the provisions of this part and the applicability 
to the program, project or activity under which the recipient received 
financial assistance from the Rail Acts or under which the contractor is 
awarded a contract and make such information available to them in such 
manner as the Administrator finds necessary to apprise such persons of 
the protections against discrimination assured them by the Act and this 
part.



Sec. 265.21  Conduct of investigations.

    (a) The Administrator shall from time to time review the practices 
of recipients and contractors to determine whether they are complying 
with this part. The Administrator shall to the

[[Page 614]]

fullest extent practicable seek the cooperation of recipients and 
contractors in obtaining compliance with this part and shall provide 
assistance and guidance to recipients and contractors to help them 
comply voluntarily with this part. As required by Sec. 265.7(a)(6) of 
this part recipients and contractors shall from time to time review the 
practices of their contractors and subcontractors to determine whether 
they are complying with this part.
    (b) Any person who believes himself or herself or any other person 
to be subjected to discrimination prohibited by this part, may file with 
the Administrator a written complaint. A complaint must be filed not 
later than sixty (60) days after the date complainant discovers the 
alleged discrimination, unless the time for filing is extended by the 
Administrator.
    (c) The Administrator will make a prompt investigation in cases 
where a compliance review, report, complaint or other information 
indicates a possible failure to comply with this part.
    (d)(1) If an investigation pursuant to paragraph (c) of this section 
indicates a failure to comply with this part, the Administrator shall 
within ten (10) days after such determination so inform the recipient or 
contractor in writing of the specific grounds for alleging noncompliance 
and the matter shall be resolved by informal means whenever possible. 
The notice shall provide that, if it has been determined that the matter 
is not resolved by informal means within thirty (30) days after the 
delivery of the notice, action will be taken as provided for in 
Sec. 265.23.
    (2) If an investigation does not warrant action pursuant to 
paragraph (d)(1) of this section, the Administrator shall within ten 
(10) days after such determination so inform the recipient, or 
contractor and the complainant, if any, in writing.
    (e) No recipient, contractor or other person shall intimidate, 
threaten, coerce or discriminate against any individual for the purpose 
of interfering with any right or privilege secured by section 905 of the 
Act or this part, or because he or she made a complaint, testified, 
assisted or participated in any manner in an investigation, proceeding 
or hearing under this part. The identity of complainants shall be kept 
confidential at their election during the conduct of any investigation, 
proceeding or hearing under this part. But when such confidentiality is 
likely to hinder the investigation the complainant will be advised for 
the purpose of waiving the privilege.



Sec. 265.23  Procedures for effecting compliance.

    (a) Whenever the Administrator determines that any recipient, or 
contractor has failed to comply with the provisions of this part, or 
with any Federal civil rights statute, or with any order or regulation 
issued under such a statute, and such failure has not been resolved by 
informal means pursuant to Sec. 265.21 of this part, the Administrator 
shall within ten (10) days after such determination notify such 
recipient or contractor, and the appropriate labor organization if the 
matter may appear to affect a person who is covered by a collective 
bargaining agreement, in writing of the specific grounds for alleging 
noncompliance, and the right of such persons to respond to such 
determination in writing or to request an informal hearing. Where the 
Administrator determines that substantial noncompliance exists and it is 
unlikely that compliance will be obtained, or that lack of good 
faithexists, or that other good cause exists, he may order that further 
financial assistance be suspended in whole or in part pending a final 
decision in the matter. Subject to the provisions of paragraphs (b) 
through (e) of this section, the recipient or contractor shall have 
sixty (60) days from the date of delivery of the notice within which to 
comply. The recipient or contractor may be entitled to additional time 
if it is demonstrated that compliance is not possible within the sixty 
day period and that the necessary initial curative actions were 
undertaken promptly and have been diligently prosecuted toward 
completion. The Administrator shall specify the last day upon which 
curative action must be completed to his satisfaction. Unless the 
Administrator determines that compliance cannot be reasonably attained, 
failure to take curative action shall be grounds for the Administrator 
to:

[[Page 615]]

    (1) Direct that no further Federal financial assistance be provided 
to the recipient;
    (2) Refer the matter to the Attorney General with a recommendation 
that an appropriate civil action be instituted;
    (3) Exercise the powers and functions provided by title VI of the 
Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.); or
    (4) Take such other actions as may be provided by law or this part.
    (b) Persons receiving notification and a directive pursuant to 
paragraph (a) of this section may within thirty (30) days after receipt 
respond to the notice in writing in lieu of requesting an informal 
hearing as specified in paragraph (c) of this section. The Administrator 
will make a determination as to compliance within thirty (30) days after 
receipt of such written response, and advise the person in writing of 
his determination. If the Administrator determines that compliance is 
reasonably attainable and that such person has failed to comply with the 
provisions of this part or with his determination within 30 days after 
receipt of his determination, the Administrator shall pursue the 
remedies set forth in the last sentence of paragraph (a) of this 
section.
    (c) Persons receiving notification and a directive pursuant to 
paragraph (a) of this section may within ten (10) days after receipt 
request an informal hearing in lieu of filing a written response as 
specified in paragraph (b) of this section. The Administrator may, in 
his discretion, grant a request for an informal hearing for the purpose 
of inquiring into the status of compliance of such person. The 
Administrator will advise persons subject to his directive in writing as 
to the time and place of the informal hearings and may direct such 
persons to bring specific documents and records, or furnish other 
relevant information concerning their compliance status. When so 
requested, such person shall attend and bring the requested information. 
The time and place so fixed shall be reasonable and shall be subject to 
change for cause. The complainant, if any, shall be advised of the time 
and place of the hearing. The failure of such person to request a 
hearing or to appear at a hearing for which a date has been set shall be 
deemed to be a consent to the applicability of the procedures set forth 
in paragraph (a) of this section.
    (d) The hearing shall be conducted by a hearing officer appointed by 
the Administrator. Such hearings shall commence within twenty (20) days 
from the date the hearing is granted and shall be concluded no later 
than thirty (30) days from the commencement date. Parties to informal 
hearings may be represented by counsel or other authorized 
representative and shall have a fair opportunity to present any relevant 
material. Formal rules of evidence will not apply to such proceedings.
    (e) Decisions and notices. (1) Within ten (10) days after the 
conclusion of such hearings, the hearing officer will advise the 
Administrator, in writing, of his views and recommendations as to 
compliance with this part and a copy of such decision shall be sent by 
registered mail, return receipt requested, to the recipient or 
contractor and participating labor organization. If the hearing officer 
in his decision determines that the recipient or contractor is in 
noncompliance with this part, he may, if he determines that it is 
unlikely that compliance will be obtained, or that a lack of good faith 
exists, or for other good cause, order that further financial assistance 
be suspended in whole or in part, pending a decision by the 
Administrator in the matter.
    (2) The recipient, contractor or labor organization may file 
exceptions to the hearing officer's decision, with his reasons therefor, 
with the Administrator within thirty (30) days of receipt of the initial 
decision. Within twenty (20) days, after the time for filing exceptions, 
the Administrator shall determine, in writing, whether or not the 
parties involved are in compliance with this part. A copy of the 
Administrator's decision will be given to the recipient, contractor, 
labor organization, if appropriate, and to the complainant, if any.
    (3) If the Administrator determines that compliance can reasonably 
be attained, his decision shall provide that

[[Page 616]]

if such person fails or refuses to comply with the decision of the 
Administrator within thirty (30) days after receipt of the decision, the 
Administrator shall:
    (i) Direct that no further Federal assistance be provided to such a 
person;
    (ii) Refer the matter to the Attorney General with a recommendation 
that an appropriate civil action be instituted;
    (iii) Exercise the powers and functions provided by title VI of the 
Civil Rights Act of 1964; and/or
    (iv) Take such other actions as may be provided by law or this part.
    (4) A recipient or contractor adversely affected by a decision of 
the Administrator issued under paragraph (a) or (b) of this section 
shall be restored to full eligibility to receive Federal assistance or 
award of a federally assisted contract if the recipient or contractor 
takes complete curative action to eliminate the noncompliance with this 
part and if the recipient or contractor provides reasonable assurance 
that the recipient or contractor will fully comply with this part.



Sec. 265.25  Other information.

    (a) Each person required to submit a written affirmative action 
program pursuant to this part shall include as an appendix thereto, the 
following information except to the extent such information is already 
provided as part of the application for financial assistance;
    (1) A brief description of other pending applications to other 
federal agencies for financial assistance, and of federal assistance 
being provided at the time of submission of the affirmative action 
program;
    (2) A statement of any civil rights compliance reviews regarding 
applicant or recipient conducted in the two year period before the 
application, or affirmative action program; the name of the agency or 
organization performing the review, and the findings of the review;
    (3) Where the project, program or activity receiving financial 
assistance will require the relocation of persons and businesses, a 
description of the requirements and steps used or proposed to guard 
against unnecessary impact on persons on the basis of race, color, or 
national origin;
    (4) Where the project, program or activity receiving financial 
assistance will result in the construction of new facilities or 
expansion of existing facilities, a description of the requirements and 
steps used or proposed to guard against unnecessary impact on persons on 
the basis of race, color or national origin;
    (5) Where paragraphs (a) (3) and (4) of this section are applicable, 
additional data such as demographic maps, racial composition of affected 
neighborhoods, or census data should be provided where necessary or 
appropriate to evaluate the impact of projects, programs and activities 
referred to in paragraphs (a) (3) and (4) of this section.

                         Appendix A to Part 265

    The following are the financial assistance programs to which this 
part applies:
    (a) Railroad Revitalization and Regulatory Reform Act of 1976, (1) 
purchase of redeemable preference shares or trustee certificates 
pursuant to section 505;
    (2) Guarantee of obligations, the proceeds of which will be used to 
acquire, or rehabilitate or improve rail facilities, or equipment, 
pursuant to section 511; and
    (3) Grants and contracts made to implement the Northeast Corridor 
project under section 704.
    (b) Regional Rail Reorganization Act of 1973, as amended, (1) loans 
made by the United States Railway Association (USRA) pursuant to section 
211;
    (2) Purchase of securities of the Consolidated Rail Corporation 
pursuant to section 216; and
    (3) Grants to States, or local or regional authorities for rail 
continuation assistance under section 402.
    (c) Department of Transportation Act, (1) grants to States for rail 
freight assistance programs under section 5 (sec. 803 of the Railroad 
Revitalization and Regulatory Reform Act of 1976); and
    (2) Grants under section 4(i) for the planning, preservation and 
conversion of rail passenger terminals of historical or architectural 
significance.
    (d) Rail Passenger Service Act, (1) grants to Amtrak under section 
601.

[[Page 617]]



PART 266--ASSISTANCE TO STATES FOR LOCAL RAIL SERVICE UNDER SECTION 5 OF THE DEPARTMENT OF TRANSPORTATION ACT--Table of Contents




Sec.
266.1  Definitions.
266.3  Rail Service Assistance Program.
266.5  State eligibility.
266.7  Project eligibility.
266.9  Federal/State share.
266.11  Allowable costs.
266.13  Distribution of funds.
266.15  Requirements for State Rail Plan.
266.17  Applications.
266.19  Environmental impact.
266.21  Grant agreement and disbursement.
266.23  Record, audit, and examination.
266.25  Waivers and modifications.

    Authority: Sec. 5 of the Department of Transportation Act (49 U.S.C. 
1654), as amended by the Local Rail Service Assistance Act of 1978, Pub. 
L. 95-607, 92 Stat. 3059.

    Source: 44 FR 51129, Aug. 30, 1979, unless otherwise noted.



Sec. 266.1  Definitions.

    As used in this part:
    Acquisition assistance means funds granted to a State under section 
5(f)(2) of the Department of Transportation Act (49 U.S.C. 1654(f)(2)) 
to cover the cost of acquiring by purchase, lease, or in such other 
manner as the State considers appropriate, a line of railroad or other 
rail properties, or any interest therein for existing or future rail 
freight service.
    Act means the Department of Transportation Act (49 U.S.C. 1650 et 
seq.).
    Administrator means the Administrator of the Federal Railroad 
Administration or the Administrator's delegate.
    Cash means an outlay of funds.
    Commission means the Interstate Commerce Commission or any successor 
Federal agency to the relevant activity.
    Common carrier means a person providing railroad transportation for 
compensation who is subject to the jurisdiction of the Commission under 
subchapter I of chapter 105 of title 49 of the U.S.C.
    Designated State Agency means the State agency designated under 
section 5(j)(2) of the Act (49 U.S.C. 1654(j)(2)).
    Entitlement means the amount of assistance which a State is eligible 
to receive annually under section 5(h) of the Act (49 U.S.C. 1654(h)).
    Equipment means rolling stock of the kind generally used by American 
railroads in revenue freight service.
    Facilities means track, ties, roadbed and related structures 
including terminals, team tracks and appurtenances, bridges and tunnels, 
and other structures used or usable for rail service operations.
    FRA means the Federal Railroad Administration.
    Federal Share means the contribution by the Administrator under 
section 5(g) of the Act (49 U.S.C. 1654(g)) to a State's rail service 
assistance program.
    Final System Plan means the plan approved by the Congress under 
section 208 of the Regional Rail Reorganization Act of 1973 (45 U.S.C. 
718).
    Gross ton miles per mile means the combined weight of locomotives 
and all trailing cars and their contents used in revenue freight trains 
multiplied by the number of route miles traveled and divided by the 
number of route miles of the line.
    Line means a line of railroad.
    Maintenance means inspection and light repairs, emergency repairs 
and a planned program of periodic maintenance which is necessary to keep 
a line at its existing condition or to comply with FRA Class 1 Safety 
Standards.
    Planning assistance means funds granted to a State under section 
5(i) of the Act (49 U.S.C. 1654(i)) to meet the cost of establishing 
(including developing a planning application), implementing, revising, 
and updating the State Rail Plan required by section 5(j) of the Act (49 
U.S.C. 1654(j)).
    Planning Work Program means that portion of a State's planning 
application which outlines the State's plan for establishing, 
implementing, revising, or updating a State Rail Plan which meets the 
requirements of section 5(i) of the Act, (49 U.S.C. 1654(i)).
    Program operation assistance means funds granted to a State to cover 
those administrative costs allowable under Federal Management Circular 
74-4.
    Rail Act means the Regional Rail Reorganization Act of 1973 (45 
U.S.C. 701 et seq.).

[[Page 618]]

    Rail banking means the acquisition of an interest in a rail right-
of-way sufficient to ensure its preservation for future rail freight 
service.
    Rail facility construction assistance means funds granted to a State 
under section 5(f)(5) of the Act (49 U.S.C. 1654(f)(5)) to cover the 
cost of constructing rail or rail related facilities (including new 
connections between two or more existing lines, intermodal freight 
terminals, sidings, and relocation of existing lines) for the purpose of 
improving the quality and efficiency of rail freight service.
    Rail service continuation assistance means funds granted to a State 
under section 5(f)(1) of the Act (49 U.S.C. 1654(f)(1)) to cover rail 
service continuation payments for the difference between the revenue 
attributable to a line of railroad and the avoidable costs of providing 
rail service on that line, together with a reasonable return on the 
value of the line and other rail properties related to that line, all as 
determined in accordance with 49 CFR part 1121 with the following 
exceptions:
    (1) Where service was eligible to be subsidized under section 
402(c)(2) (A) and (B) of the Rail Act, rail service continuation 
assistance means funds for payments determined in accordance with 49 CFR 
part 1125; and
    (2) Where service was eligible to be subsidized under section 
402(c)(2)(C) of the Rail Act, rail service continuation assistance means 
funds for payments calculated, to the greatest extent possible, in a 
manner consistent with 49 CFR part 1121.
    Rehabilitation or improvement assistance means funds granted to a 
State under section 5(f)(3) of the Act (49 U.S.C. 1654(f)(3)) to cover 
the cost of replacing or upgrading, to the extent necessary to permit 
adequate and efficient rail freight service, facilities needed to 
provide service on a line.
    Relocation costs means actual expenses directly incurred in moving 
shippers from a line to a new location.
    State means any State or the District of Columbia in which a common 
carrier maintains any line.
    State Rail Plan means the current plan, including all updates, 
revisions, and amendments required by section 5(j)(1) of the Act (49 
U.S.C. 1654(j)(1)).
    Substitute service assistance means funds granted to a State under 
section 5(f)(4) of the Act (49 U.S.C. 1654(f)(4)) to cover the cost of 
reducing the costs of lost rail service in a manner less expensive than 
continuing rail service and includes (but is not limited to) the 
acquisition, construction, or improvement of facilities for the 
provision of substitute freight transportation services and relocation 
costs.



Sec. 266.3  Rail Service Assistance Program.

    (a) Scope of the program. The Rail Service Assistance Program 
includes:
    (1) Rail service continuation assistance;
    (2) Acquisition assistance;
    (3) Rehabilitation or improvement assistance;
    (4) Substitute service assistance;
    (5) Rail facility construction assistance;
    (6) Planning assistance; and
    (7) Program operations assistance.
    (b) Special limitations on planning assistance and program operation 
assistance. (1) A State is eligible to receive up to $100,000, or 5 
percent of its entitlement, whichever is greater, as planning 
assistance; and
    (2) A State is eligible to receive up to 5 percent of the total 
amount of funds granted to it each fiscal year under paragraphs (a)(1) 
to (5) of this section as program operation assistance.



Sec. 266.5  State eligibility.

    (a) General eligibility requirements under the rail service 
assistance program. A State is eligible for assistance if:
    (1) The State has certified pursuant to section 5(j)(4) of the Act 
that it has or will adopt and maintain adequate procedures for financial 
control, accounting and performance evaluation in order to assure proper 
use of Federal funds;
    (2) For purpose of establishing a State Rail Plan, the State has 
submitted, in accordance with Sec. 266.17(e) of this part, a planning 
application; and
    (3) For any other assistance,
    (i) The State has established an adequate plan for rail services in 
the State which (A) meets the requirements of Sec. 266.15 of this part; 
(B) is part of an

[[Page 619]]

overall planning process for all transportation services in the State; 
(C) includes a suitable procedure for updating, revising, and amending 
such plan; and (D) as updated, revised, or amended has been approved by 
the Administrator;
    (ii) Such State Rail Plan (A) is administered or coordinated by a 
designated State agency; (B) provides for the equitable distribution of 
resources; and (C) includes a methodology for determining the ratio of 
benefits to costs of projects for which acquisition assistance, 
rehabilitation or improvement assistance, substitute service assistance, 
and rail facility construction assistance is sought;
    (iii) The State agency:
    (A) Has authority and administrative jurisdiction to develop, 
promote, supervise, and support safe, adequate, and efficient rail 
transportation services;
    (B) Employs or will employ, directly or indirectly, sufficient 
trained and qualified personnel;
    (C) Maintains or will maintain adequate programs of investigation, 
research, promotion, and development with provision for public 
participation; and
    (D) Is designated and directed solely or in cooperation with other 
State agencies to take all practicable steps to improve transportation 
safety and to reduce transportation-related energy utilization and 
pollution; and
    (iv) The State undertakes to immediately notify the Administrator of 
any changes in conditions which might affect its compliance with this 
section.



Sec. 266.7  Project eligibility.

    (a) Rail service continuation assistance, acquisition assistance and 
substitute service assistance. A project is eligible for assistance 
under Sec. 266.3(a) (1), (2), and (4) of this part, respectively, if:
    (1) The Commission pursuant to 49 U.S.C. 10903 has found since 
February 5, 1976, that the public convenience and necessity permit the 
abandonment and discontinuance of rail service on the line related to 
the project, except that any such line or related project eligible prior 
to October 1, 1978, is eligible only until September 30, 1981 and any 
such line eligible for rail service continuation assistance shall 
receive such assistance for no more than 36 months after October 1, 
1978;
    (2) The line related to the project was eligible for assistance 
under section 402 of the Rail Act (45 U.S.C. 762), except that any such 
line or related project is eligible only until September 30, 1981; or
    (3) For purposes of acquisition assistance, the line related to the 
project is listed for possible inclusion in a rail bank in Part III, 
Section C of the Final System Plan.
    (b) Rehabilitation and improvement assistance and rail facility 
construction assistance. A project is eligible for assistance under 
Sec. 266.3(a) (3) and (5) of this part, respectively, if:
    (1)(i) The Commission has not made a finding that the public 
convenience and necessity would require or permit abandonment or 
discontinuance of rail service on the line related to the project;
    (ii) Any pending application for a certificate of abandonment or 
discontinuance of rail service on the line related to the project is 
withdrawn within a reasonable period (as determined by the 
Administrator) following the execution of the grant agreement and before 
Federal funds are disbursed for the project; and
    (iii)(A) The line related to the project is certified by the 
railroad as having carried three million gross ton miles per mile or 
less during the prior year; or
    (B) The line related to the project is certified by the railroad in 
a written statement which identifies the name of the line, the State or 
States in which it is located, its length, termini, and termini mile 
posts as having carried between three and five million gross ton miles 
per mile during the prior year, and the Administrator has determined 
that the project is consistent with proposals made under the authority 
of subsections 5 (a) through (e) of the Act (49 U.S.C. 1654 (a)-(e));
    (2)(i) An application for a certificate of abandonment or 
discontinuance of rail service on the line related to the project has 
been filed with the Commission during the period February 5, 1976 
through December 31, 1978, whether or not such application has been 
granted; or

[[Page 620]]

    (ii) During the period February 5, 1976, through December 31, 1978, 
the Commission has found that the public convenience and necessity would 
require or permit abandonment or discontinuance of rail service on the 
line related to the project irrespective of when the application was 
filed;
    (3) The line related to the project is listed for possible inclusion 
in a rail bank in Part III, Section C of the Final System Plan; or
    (4) The line related to the project was eligible to be acquired 
under section 402(c)(3) of the Rail Act (45 U.S.C. 762(c)(3)).
    (c) Projects eligible under paragraphs (b)(2), (b)(3), and (b)(4), 
of this section are eligible only until September 30, 1981. Projects 
initially eligible under paragraph (b)(2) of this section, may 
subsequently become eligible under paragraph (b)(1) of this section, if 
the Commission issues a new certificate of public convenience and 
necessity with respect to the line related to the project.



Sec. 266.9  Federal/State share.

    (a) Federal share. The Federal share of allowable costs under the 
Rail Service Assistance Program is 80 percent, with the exception that 
the Federal share of payments to be covered by rail service continuation 
assistance shall be 70 percent for any third twelve month period which 
begins on or after October 1, 1980 that such assistance is provided.
    (b) State share-general. The State share of allowable costs under 
the Rail Service Assistance Program shall be provided either in cash or 
through eligible in-kind benefits which would not otherwise have been 
provided. When more than the required State share is provided during the 
Federal fiscal year beginning October 1, 1978, or thereafter, the amount 
in excess of the required State share may be carried forward to 
subsequent fiscal years. The State share of allowable costs under the 
Rail Service Assistance Program may not be satisfied directly or 
indirectly by any Federal funds unless the funds are provided through a 
Federal program which specifically authorizes the use of such funds to 
satisfy the non-Federal share of a Federally subsidized program.
    (c) In-kind benefits--(1) Eligible types of benefits and their 
valuation. The following types of in-kind benefits are eligible when 
they are provided for projects eligible under Sec. 266.7 of this part 
(whether or not Federal assistance is requested for the projects) or 
they are activities which would be eligible for planning and program 
operation assistance. Eligible in-kind benefits are valued as follows:
    (i) The value of forgiven taxes, such as those portions of gross 
receipts or revenue taxes which are applicable to an approved project or 
property taxes on project related property, shall be the amount which 
would otherwise have been levied by the taxing authority. Forgiveness 
may be through exemption or remission;
    (ii) The value of trackage rights secured by a State for a common 
carrier shall be the amount paid by railroads for comparable rights on 
comparable rail freight properties;
    (iii) The value of State salaries for State public employees working 
in the State Rail Service Assistance Program, shall be consistent with 
rates paid for similar work by state public employees working in 
comparable state programs but shall not include overhead or general 
administrative costs;
    (iv) The value of donations by the State or by a third party on 
behalf of the State of real property or tangible personal property of 
the kind necessary for safe and efficient operation of rail freight 
service, such as State or locally owned or leased buildings used in rail 
freight operations or equipment or materials, shall be determined as 
follows:
    (A) The value of State tangible personal property shall be 
established at the State's actual cost in accordance with Federal 
Management Circular 74-4;
    (B) The value of donated tangible personal property shall be 
determined in accordance with Attachment F of Office of Management and 
Budget Circular (OMB) A-102;
    (C) The value of State real property shall be established at the 
State's actual cost in accordance with Federal Management Circular 74-4, 
if at least one independent appraisal based on the

[[Page 621]]

results of a title search was performed when the property was purchased 
by the State, otherwise it shall be valued at the fair market value as 
established by at least one independent appraisal based on the results 
of a title search at the time the state proposes to make the property 
available as in-kind benefit; and
    (D) The value of donated real property shall be its fair market 
value, at the time of donation to the State, as established by at least 
one independent appraisal based on the results of a title search;
    (2) Eligibility criteria. To be applied toward the State share, in-
kind benefits must:
    (i) Be verifiable from the State's records;
    (ii) Be necessary and reasonable for proper and efficient 
accomplishment of the objectives of the Rail Service Assistance Program;
    (iii) Be provided for in the approved grant budget; and
    (iv) Be approved under paragraph (3) of this paragraph (c).
    (v) The State shall submit such information as the Administrator may 
request to verify the value of in-kind benefits.
    (3) Request for approval. A request for approval of the in-kind 
benefits are to be applied and shall include the following:
    (i) Full name and principal business address of the contributor if 
other than grantee;
    (ii) Detailed documentation of the in-kind benefits including 
identification of the kind of in-kind benefits to be provided as well as 
their estimated value. When in-kind benefits are to be provided by a 
third party, a copy of the executed agreement between the State and the 
third party; and
    (iii) Certification by the State that the contribution will be used 
solely for the purposes documented.



Sec. 266.11  Allowable costs.

    Allowable costs include only the following costs which are properly 
allocable to the work performed: Planning and program operation costs 
which are allowed under Federal Management Circular 74-4; and costs of 
projects eligible under Sec. 266.7 of this part. All allowable costs 
shall be authorized by a fully executed grant agreement. A State may 
incur costs prior to the execution of a grant agreement only if the 
Administrator, based on the State's demonstration of a compelling need 
to incur costs prior to the execution of a grant agreement, has 
authorized the costs in writing prior to their incurrence by the State.



Sec. 266.13  Distribution of funds.

    (a) Formula. Funds appropriated for or reallocated in any fiscal 
year (in this section refered to jointly as ``funds'') are to be 
distributed to each State as follows:
    (1) Two-thirds of the funds will be allocated in the ratio which a 
State's rail mileage that, in accordance with 49 U.S.C. 10904(d), is 
either potentially subject to abandonment or is to become the subject of 
an application for a certificate of abandonment or discontinuance which 
a carrier plans to submit, but has not yet submitted, bears to the total 
such rail mileage in all the States;
    (2) One-third of the funds will be allocated in the ratio which a 
State's rail mileage for which the Commission has found within three 
years prior to the first day of the fiscal year for which the funds are 
being allocated that the public convenience and necessity permits the 
abandonment, or the discontinuance, of rail service on such rail 
mileage, bears to the total such rail mileage in all the States. Until 
September 30, 1981, such rail mileage includes the rail mileage which 
was eligible under the Rail Service Assistance Program pursuant to 
section 402 of the Rail Act, and all rail mileage which, prior to 
October 1, 1978, had been included for formula allocation purposes. The 
Administrator will calculate rail mileage under this paragraph as of 
October 1 of each year; and
    (3) The above calculations will be adjusted if necessary so that no 
State receives less than 1 percent of the funds appropriated for a 
fiscal year.
    (b) Reallocation. The Administrator will reallocate among the States 
funds which have not been granted under an executed grant agreement by 
the end of the fiscal year for which the funds were appropriated and 
funds determined by

[[Page 622]]

a Federal audit to be in excess of allowable costs when they have not 
been granted under an executed grant agreement by the end of the fiscal 
year in which the Federal audit is made. Reallocated funds are 
distributed in accordance with the allocation formula described in 
paragraph (a) of this section.
    (c) Interstate sharing of allocated funds. Where not in violation of 
State law, two or more States, which are eligible to receive assistance 
under the Rail Service Assistance Program pursuant to Sec. 266.5 of this 
part may combine any portion of their entitlements for purposes of 
conducting any eligible project of mutual benefit provided that they 
enter into an agreement for this purpose.



Sec. 266.15  Requirements for State Rail Plan.

    (a) State planning process. The State Rail Plan shall be based on a 
comprehensive, coordinated and continuing planning process for all 
transportation services within the State and shall be developed with an 
opportunity for participation by persons interested in rail activity in 
the State and adjacent States where appropriate. At a minimum, the State 
shall hold a public hearing if, on the basis of reasonable public notice 
appearing in the press, there is sufficient public interest to justify a 
hearing. Public notice shall be given, in accordance with applicable 
State law and practice concerning comparable matters, that a draft of 
the State Rail Plan is available for public inspection at a reasonable 
time in advance of the hearing. The State shall enable local and 
regional governmental bodies to review and comment on appropriate 
elements of the State Rail Plan. Provisions shall also be made for 
updating, revising, and amending the State Rail Plan.
    (b) Format of the State Rail Plan. Each item submitted in response 
to a requirement of this section shall reference that requirement by 
subsection, paragraph, and subparagraph.
    (c) Contents of the State Rail Plan. Each State Rail Plan shall:
    (1) Specify the objectives of the State's Rail Service Assistance 
Program and explain how the implementation of the State Rail Plan will 
accomplish these objectives and explain relevant data sources, 
assumptions, analytical methodology, other legal constraints and special 
problems or conditions which will aid the public in understanding the 
State Rail Plan;
    (2) Contain an illustration of the State's entire rail system on 
suitable scale maps of the State highway system (such as a reduction of 
the County Highway Planning Series of maps), designating with respect to 
each line listed under subparagraph (3) of this subsection, including 
all lines connecting to them:
    (i) The operating carrier or carriers;
    (ii) Freight traffic density, and
    (iii) Location of passenger service.


These maps shall be accompanied by a written description of the service 
provided on each line;
    (3) Identify the following classes of rail service within the State:
    (i) Lines in the State which are eligible for assistance under 
Sec. 266.7 of this part other than those included in paragraph 
(c)(3)(ii) of this section;
    (ii) Lines in the State which a common carrier has identified on its 
system diagram map submitted under 49 CFR 1121.20(b) (1) and (2) as 
potentially subject to abandonment and lines which are anticipated to be 
the subject of an abandonment or discontinuance application within three 
years following the date of submission;
    (iii) [Reserved]
    (iv) Lines in the State for which abandonment or discontinuance 
applications are pending;
    (v) Lines in the State which are involved in the following kinds of 
proposals that have been submitted to the Commission for approval or are 
in the process of negotiation, to the extent that this information is 
publicly available:
    (A) Mergers;
    (B) Consolidations;
    (C) Reorganizations;
    (D) Purchases by other common carriers; or
    (E) Other unification and coordination projects.
    (vi) Rail projects for which the State plans to request Federal 
assistance or approval as in-kind benefits; and

[[Page 623]]

    (vii) Rail projects for which a State provides or plans to provide 
assistance from sources other than the Rail Service Assistance Program, 
including the estimated cost of the projects;
    (4) Establish and describe screening criteria to be used in 
selecting the eligible lines which the State analyzes in detail, 
identify these lines, and explain how the application of the screening 
criteria resulted in their selection;
    (5) Describe the State's methodology for determining the ratio of 
benefits to the costs of proposed projects eligible under Sec. 266.7 of 
this part (except projects to be funded with rail service continuation 
assistance);
    (6) Include, to the extent that the information is available to the 
State, the following data for each line the State has selected to 
analyze in detail:
    (i) Annual freight tonnage and carloads segregated by commodity type 
and indicating any seasonal traffic fluctuations and the number of 
shippers and receivers on the line aggregated by type (e.g., grain 
elevator, power plant, heavy manufacturing), including identification of 
information which a shipper wishes the Administrator to consider 
confidential to the extent permitted by law;
    (ii) Revenues and costs of providing rail freight service on the 
line;
    (iii) Condition of the related rail facilities and equipment, and 
for a line eligible under Sec. 266.7(b) of this part, a description of 
the particular rail facilities involved in any project a State may be 
considering on the line;
    (iv) When the State is considering a line for rail service 
continuation assistance, projections of freight traffic needs on the 
line for at least the three succeeding calendar years and estimates of 
the amount and type of equipment, the condition of the rail facilities, 
and the level of service necessary to satisfy the projected traffic 
needs as well as estimates of the revenue and costs of providing this 
service; and
    (v) When the State is considering a project eligible under 
Sec. 266.7(b) of this part, the amount of funds expended for the 
maintenance of the line and the kinds of work performed during the five 
year period preceding its eligibility.
    (vi) When the State is considering a line for rail banking, a 
description of the line's future economic potential, such as the 
existence of fossil fuel reserves or agricultural production likely to 
be served;
    (7) Describe the alternatives which the State will analyze in 
applying the methodology described in paragraph (c)(5) of this section, 
such as: Rail service continuation payments, rehabilitation or 
improvement, acquisition, rail facility construction, potential for 
moving freight by alternate modes, or abandonment or discontinuance of 
rail freight service;
    (8) Apply the methodology described in paragraph (c)(5) of this 
section to each line the State has selected to analyze in detail;
    (9) Specify the State's decision regarding the alternative selected 
for each line the State has analyzed in detail and include the 
following:
    (i) An indication of whether Federal assistance will be requested or 
other funds will be used to implement the alternative selected;
    (ii) An identification of lines which may be affected by the 
alternative selected;
    (iii) An explanation of how the alternative selected contributes to 
the accomplishment of the State's objectives as stated in paragraph 
(c)(1) of this section; and
    (iv) A statement of the projected future of the line after the 
alternative selected is implemented and the line is no longer eligible 
for rail service continuation assistance under Sec. 266.7(a) of this 
part or after the payback period used in the State's benefit-cost 
analysis, whichever is appropriate;
    (10) Describe the planning process participation of local and 
regional governmental bodies, the railroads, railroad labor, rail 
service users, and the public in general;
    (11) Describe the overall planning process for all transportation 
services in the State; and
    (11A) Indicate how the overall planning process in the State 
addresses the need to improve national energy efficiency, reduce the 
national use of petroleum and natural gas, and increase the national use 
of coal.

[[Page 624]]

    (12) Include a program of projects which identifies the projects for 
which the State expects to submit applications and the anticipated 
submission date. The program shall group the proposed projects in the 
order they comply with the State's criteria and goals for assistance, 
and shall:
    (i) Identify the type of project (i.e., rail service continuation 
payments, acquisition, rehabilitation or improvement, rail facility 
construction, or substitute service), its location, and duration; and
    (ii) Include the anticipated amount of funds to be requested for 
each project:
    (d) Updates, revisions, and amendments of the State Rail Plan--(1) 
General. As provided for in paragraph (e) of this section, State Rail 
Plans shall be updated at least on an annual basis but may be revised 
more frequently at the discretion of the State in accordance with its 
program needs. Such updates shall be subject to the same review, public 
participation and approval procedures by the State and FRA as the 
original State Rail Plan.
    (2) Contents. Annual updates shall include the following:
    (i) A response to unanswered FRA comments on previously submitted 
updates, revisions, amendments, or the original State Rail Plan;
    (ii) An update of information in previous submittals which is no 
longer accurate as a result of plan implementation, action by a 
governmental entity or railroad, or changed conditions;
    (iii) For lines receiving rail service continuation assistance, 
inclusion of revenue and cost information from the past year's operating 
experience and a reevaluation of service based on these new data;
    (iv) Updating of the maps and descriptions required under paragraph 
(c)(2) of this section;
    (v) Analysis of any new projects developed by the State in 
accordance with paragraphs (c)(4), (5) and (6) of this section;
    (vi) Changes in agency responsibilities and authority including 
ability to provide the non-Federal share; and
    (vii) Revisions in the State's policies, objectives or long-range 
expectations.
    (e) Adoption and submission of State Rail Plan and annual updates. 
An original and five copies of the State Rail Plan, and any amendments, 
revisions, or updates shall be submitted to FRA for review and approval 
with a certification by the Governor, or by the Governor's delegate, 
that the submission constitutes the State Rail Plan established by the 
State as provided in section 5(j) of the Act. The State Rail plan, and 
all amendments, revisions, and updates shall be submitted to the FRA 
through the appropriate Federal Highway Division Office. A current list 
of mailing addresses of the above offices will be provided by FRA to 
each State.
    (f) Review of the State Rail Plan and Updates. The State Rail Plan 
and all amendments, revisions, and updates shall analyze in accordance 
with this section all projects for which the State anticipates 
requesting rail service assistance, other than planning assistance, 
during the fiscal year. In accordance with Sec. 266.17(b) of this part, 
a project for which funds are requested must have been addressed in a 
previously approved State Rail Plan or update. If the Administrator 
determines that the State Rail Plan or update is not in accordance with 
this part, the Administrator will notify the State in writing setting 
forth the Administrator's reasons for such a determination.

[44 FR 51129, Aug. 30, 1979, as amended at 45 FR 58038, Aug. 29, 1980; 
48 FR 29274, June 24, 1983]



Sec. 266.17  Applications.

    (a) General. (1) Applications for planning assistance shall comply 
with paragraphs (b), (c) and (e) of this section.
    (2) Applications for rail service continuation assistance shall 
comply with paragraphs (b), (c), (d) and (f) of this section.
    (3) Applications for acquisition assistance shall comply with 
paragraphs (b), (c), (d) and (g) of this section.
    (4) Applications for rehabilitation or improvement assistance and 
rail facility construction assistance shall comply with paragraphs (b), 
(c), (d) and (h) of this section.

[[Page 625]]

    (5) Applications for substitute service assistance shall comply with 
paragraphs (b), (c), (d) and (i) of this section.
    (b) Submission. (1) Applications shall be submitted by the 
designated State agency using the standard forms contained in Attachment 
M of Office of Management and Budget Circular No. A-102 (``OMB Circular 
A-102''). Each item submitted in response to a requirement of this 
section shall reference that requirement by subsection, paragraph, and 
subparagraph. Each application shall be consistent with the current 
State Rail Plan and analyzed in it.
    (2) A State may apply for planning assistance to cover prospective 
costs at any time during the planning process.
    (3) Exhibits previously filed with the Administrator need not be 
refiled unless the prior filing has been rendered obsolete by changed 
circumstances. Such prior filing shall be appropriately referenced by 
source, location of data and date of submittal.
    (c) Contents. Each application shall include:
    (1) Full name and principal business address of the applicant;
    (2) Name, title, address and phone number of the person to whom 
correspondence regarding the application should be addressed;
    (3) Budget estimates for the total amount of assistance required for 
projects or planning;
    (4) Applicant's proposed means of furnishing its share of the total 
costs of the projects, as well as copies of executed agreements between 
the agency and any third party which may be providing the non-Federal 
share or a portion thereof;
    (5) Assurance by the chief executive officer of the applicant that 
the Federal funds provided under the Act will be used solely for the 
purpose for which the assistance will be provided and in conformity with 
limitations on expenditures under the Act and applicable regulations;
    (6) Evidence that the applicant has established in accordance with 
Attachment G of OMB Circular A-102, adequate procedures for financial 
control, accounting and performance evaluation in order to assure proper 
use of the Federal funds;
    (7) Assurance by applicant's chief executive officer that the timing 
of all advances by the applicant will comply with the Department of 
Treasury advance financing regulations (31 CFR part 205);
    (8) Statement as to whether the applicant prefers to receive 
disbursement of Federal funds by advance payment or reimbursement;
    (9) Opinion of applicant's legal counsel showing that counsel is 
familiar with the corporate or other organizational powers of the 
applicant, that the applicant is authorized to make the application, 
that the applicant is eligible to participate in the Rail Service 
Assistance Program in accordance with the provisions of the Act and this 
part, and that the applicant has the requisite authority to carry out 
actions proposed in the application and to assume the responsibilities 
and obligations created thereby;
    (10) Assurances that the applicant will comply with and that the 
program will be conducted in accordance with the following Federal laws, 
policies, regulations and pertinent directives:
    (i) Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d et 
seq., and 49 CFR part 21;
    (ii) Section 905 of the Railroad Revitalization and Regulatory 
Reform Act of 1976, 45 U.S.C. 803, and 49 CFR part 265;
    (iii) The Rehabilitation Act of 1973, 29 U.S.C. 794 and 49 CFR part 
27 (44 FR 31442, May 31, 1979) relating to non-discrimination on the 
basis of handicap; and
    (iv) The State and Local Fiscal Assistance Act of 1972, 31 U.S.C. 
1221 et seq. and 31 CFR part 51; and
    (11) When two or more States desire to combine their entitlements or 
any portion of them for the purpose of funding a project, certification 
of the Governor or the Governor's delegate of each State involved that 
it is a party to an interstate agreement as required under section 
5(h)(4) of the Act (49 U.S.C. 1654(h)(4)). Such certification shall 
include the amount of money to be used from each State's entitlement and 
which State is to enter into a grant for the project.

[[Page 626]]

    (d) Additional contents. In addition to meeting the requirements of 
paragraphs (b) and (c) of this section each application except when 
planning assistance is requested, shall include evidence that the agency 
submitting the application has the statutory authority and 
administrative jurisdiction to develop, promote, supervise and support 
safe, adequate, and efficient rail services; that it employs or will 
employ, directly or indirectly, sufficient trained and qualified 
personnel; that it maintains or will maintain adequate programs of 
investigation, research, promotion, and development with provision for 
public participation; and that it is designated and directed solely, or 
in cooperation with other State agencies, to take all practicable steps 
to improve transportation safety and to reduce transportation related 
energy utilization and pollution.
    (e) Planning assistance. In addition to meeting the requirements of 
paragraphs (b) and (c) of this section, each application for planning 
assistance shall include a Planning Work Program which, together with 
such other information the State may choose to submit, demonstrates to 
the satisfaction of the Administrator that the State's proposed use of 
planning assistance will produce a State Rail Plan, or an update, 
amendment or revision which meets the requirements of Sec. 266.15 of 
this part. The Planning Work Program shall include the following 
information:
    (1) An explanation of how the State Rail Plan will be related to the 
overall planning process for transportation within the State. This 
explanation shall concentrate on the expectations of the State for the 
future of local rail freight services and consider such factors as 
likelihood of profitability of existing rail lines, necessity of rail 
service continuation payments, State acquisition of rail lines, use of 
alternate modes of transportaion in lieu of rail freight service, and 
other long-term alternatives;
    (2) A description of the methods by which the State will involve 
local and regional governmental bodies and the public generally in its 
rail planning process, including its methods of providing for equitable 
distribution of resources;
    (3) An identification of the data to be obtained on the rail network 
and rail services in the State, the sources of this data, and the 
methodology to be employed in the collection of the data;
    (4) A description of the method by which the State will develop the 
State Rail Plan, including a brief description of discrete tasks or 
activities to be accomplished; and
    (5) A list of the individuals responsible for the planning, a work 
schedule and a budget.
    (f) Rail service continuation assistance. In addition to meeting the 
requirements of paragraphs (b), (c), and (d) of this section, each 
application for rail service continuation assistance shall include the 
following:
    (1) The amount of the estimated rail service continuation payment 
for each line; and
    (2) A description of the arrangements which the applicant has made 
for operation of the rail services to be subsidized including copies of 
the proposed operating agreements, leases, or other compensation 
agreements under which service is to be provided, and the results of the 
application's preaward audit of proposed operators and equipment leasing 
companies if the equipment to be used in providing the rail service is 
to be leased by the proposed operator.
    (g) Acquisition assistance. In addition to meeting the requirements 
of paragraphs (b), (c), and (d) of this section, each application for 
acquisition assistance shall include the following:
    (1) Copies of the results of a title search, and the basis for the 
proposed acquisition price including two independent valuation 
appraisals by qualified appraisers. Such appraisals shall be performed 
in accordance with the ``Uniform Appraisal Standards for Federal Land 
Acquisition'' proposed by the Interagency Land Acquisition Conference 
and shall be based on the results of a title search and comparable sales 
and shall take cognizance of all easements, encumbrances and 
restrictions that may affect the value of the property. Such appraisals 
shall be reviewed by a State Review appraiser to establish just 
compensation;

[[Page 627]]

    (2) Written assurance that the acquisition is being undertaken in 
accordance with 49 CFR 25.253, 25.255, 25.257, and 25.259 to the 
greatest extent practicable under State law and fully in compliance with 
49 CFR 25.261(a) and 25.263;
    (3) Written assurance that the owner of the property to be acquired 
has been advised of the requirements of 49 CFR 25.259 or will be advised 
of such requirements prior to the consummation of the acquisition;
    (4) A description of the necessary steps, and timing for completion 
of the acquisition;
    (5) When rail service is to be immediately provided over the line, a 
description of the arrangements which the applicant has made for 
operation of the rail service, including copies of the proposed 
operating agreements, leases, and other compensation agreements under 
which the service is to be provided, and a description of the means by 
which the State will continue rail service on the property to be 
acquired once assistance under the Act is terminated;
    (6) For applications regarding rail banking, evidence that the 
properties for which assistance is requested have potential for rail 
freight service such as plans for agricultural development or existence 
of fossil fuel reserves, the State's anticipated timetable for returning 
the line to service, and its proposed use of the property while it is 
out of service including its maintenance plans; and
    (7) Evidence that the anticipated benefits and costs of the proposed 
acquisition have been analyzed in accordance with the methodology 
established by the State under Sec. 266.15(c)(5) of this part.
    (h) Rehabilitation or improvement assistance and rail facility 
construction assistance. (1) In addition to meeting the requirements of 
paragraphs (b), (c), and (d) of this section, each application for 
rehabilitation or improvement assistance and rail facility construction 
assistance shall include the following:
    (i) A detailed estimate of the materials and labor required to 
complete the work, the total estimated costs of the work, the estimated 
numbers and kinds of ties and other material, the milepost termini 
involved, and a schedule for completion of the work;
    (ii) Evidence that the anticipated benefits and costs of the 
proposed acquisition have been analyzed in accordance with the 
methodology established by the State under Sec. 266.15(c)(5) of this 
part;
    (iii) When rehabilitation assistance is requested--
    (A) A copy of the document by which funds will be granted or loaned 
(at an interest rate determined by the State) to the owner of the rail 
properties or the operator of the rail service related to the project; 
and
    (B) An assurance by the chief executive officer of the applicant 
that:
    (1) Repaid loan funds and interest accumulated with respect to such 
funds will not be loaned or granted without the prior written approval 
of the Administrator;
    (2) The Federal share of repaid loan funds will be placed in an 
interest-bearing account or with the prior written approval of the 
Administrator will be deposited by the borrower, for the benefit and use 
of the State, in a bank which has been designated by the Secretary of 
Treasury in accordance with 12 U.S.C. 265; and
    (3) If the rehabilitated or improved facilities are not used for 
rail freight service during the useful life of the improvement the 
Federal share of the fair market value of the improvement or facility 
will be placed in an interest-bearing account or with the prior written 
approval of the Administrator will be deposited by the owner of the rail 
properties, for the benefit and use of the State, in a bank which has 
been designated by the Secretary of the Treasury in accordance with 12 
U.S.C. 265;
    (iv) An assurance by chief executive officer of the applicant that 
rehabilitated or improved facilities or newly constructed facilities 
will be maintained to prevent deterioration below the speed at which the 
line could be operated upon completion of the project during the period 
of time established as the payback period in the benefit-cost analysis 
of the project;
    (2) In addition to meeting the requirements of paragraphs (b), (c), 
and

[[Page 628]]

(d) and (h)(1) of this section, each application for a project eligible 
under Sec. 266.7(b)(2)(i) (if the Commission has made a finding granting 
the application for abandonment and discontinuance) (ii), (3) or (4) 
shall also include the following:
    (i) An indication of which of the following methods will be used to 
complete the work, including proposed contracts unless the work will be 
performed under method (A):
    (A) On an actual cost basis by the operator or the applicant;
    (B) By contracting for the work in accordance with Attachment O to 
OMB Circular A-102; or
    (C) Under an existing continuing contract between the operator and 
another firm provided that the applicant can demonstrate the the costs 
are comparable to those under paragraph (h)(2)(i) (A) or (B) of this 
section; and
    (ii) A description of the plans for inspection of the work including 
identification and qualifications of the staff to be responsible for the 
inspection and a proposed schedule of inspections; and
    (iii) A description of the arrangements made for the operation of 
rail service over the property including copies of the proposed 
operating agreements, leases or other compensation agreements under 
which service is to be provided, and the proposed method of financing 
the operation of such rail service;
    (3) In addition to meeting the requirements of paragraphs (b), (c), 
(d), and (h)(1) of this section, each application for a project eligible 
under Sec. 266.7 (b)(1) or (2)(i) (if the Commission has not made a 
finding granting the application for abandonment discontinuance) shall 
include an assurance by the common carrier which operates service on or 
owns the line related to the project that if an application for a 
certificate of abandonment or discontinuance has been filed with the 
Commission the application will be withdrawn within a reasonable period 
following execution of a grant agreement and before Federal funds are 
disbursed for the project; and
    (4) When rail facility construction assistance is requested an 
assurance by the chief executive officer of the applicant that if the 
facility is abandoned, sold, or converted to non-rail freight use during 
its useful life, FRA will be compensated an amount computed by applying 
FRA's participation in the cost of constructing the facility to the fair 
market value of the facility at the time it is abandoned, sold, or 
converted to non-rail use.
    (i) Substitute service assistance. In addition to meeting the 
requirements of paragraphs (b), (c), and (d) of this section, each 
application for substitute service assistance shall include:
    (1) A detailed description of the substitute service project, 
including evidence that the cost and scope of the project are limited to 
that necessary to replace the rail service being discontinued;
    (2) Evidence that the anticipated benefits and costs of the proposed 
acquistion have been analyzed in accordance with the methodology 
established by the State under Sec. 266.15(c)(5) of this part;
    (3) For construction or improvement of fixed facilities, a 
description of the proposed work, including:
    (i) The cost and timing of the work; and
    (ii) An assurance by the chief executive officer of the applicant 
that the Federal share of the project will be repaid in accordance with 
Attachment N of OMB Circular A-102, if the properties are not used for 
rail freight service during the useful life of the project properties;
    (4) For relocation costs, the following assurances by the chief 
executive officer of the applicant:
    (i) When the rail line related to the project is eligible under 
section 5(k)(4)(A) of the Act (49 U.S.C. 1654(k)(4)(A)), an assurance 
that the applicant is requesting only such assistance as is needed to 
relocate the shippers which were receiving rail service on the line at 
the time the Commission found that the public convenience and necessity 
would permit discontinuance or abandonment of the rail service;
    (ii) When the rail line related to the project is eligible under 
section 5(k)(4)(B) of the Act (49 U.S.C. 1654(k)(4)(B)), an assurance 
that assistance is being requested to relocate only the shippers who 
received rail service on the line as of April 1, 1976; and

[[Page 629]]

    (iii) An assurance, and the basis therefor, that the shippers will 
not be relocated to a line with respect to which an application for a 
certificate of abandonment or discontinuance has been filed with the 
Commission or that if an application has been filed it will be withdrawn 
within a reasonable period following execution of a grant agreement and 
before Federal funds are disbursed for the project;
    (5) An assurance by the chief executive officer of the applicant 
that after completion of the substitute service project, additional 
Federal assistance will not be requested for the continuation of the 
rail freight service that the substitute service is designed to replace, 
unless the Administrator determines that circumstances have changed so 
that continuation of rail freight service is more cost-effective than 
continued use of the substitute service project;
    (6) A description of the arrangements made for operation of service 
where rail service is to be provided in conjunction with a substitute 
service project, including copies of proposed operating agreements, 
leases, or other compensation agreements under which service is to be 
provided; and
    (7) An assurance by the chief executive officer of the applicant 
that assistance provided will not be used to pay the non-Federal share 
under any Federal program.
    (j) Execution and filing of applications. (1) Each original 
application shall bear the date of execution and be signed by the chief 
executive officer of the agency submitting the application;
    (2) Each application for planning assistance, and two (2) copies 
thereof, shall be filed with the Administrator through the appropriate 
Federal Highway Administration Division Office;
    (3) Each application (excluding requests for planning assistance), 
and two (2) copies thereof, shall be filed with the Administrator 
through the appropriate Regional Director of Federal Assistance. A 
current list of the appropriate mailing addresses of the above officials 
will be provided by FRA to each State.



Sec. 266.19  Environmental impact.

    (a) General. The Administrator has determined that providing 
assistance to cover the following costs is not a major action 
significantly affecting the quality of the human environment: 
Rehabilitation or improvement consisting of work normally performed on a 
periodic basis which does not change the existing character of the 
facility (including work to overcome normal periodic maintenance that 
had been deferred) rail service continuation, acquisition, and planning.
    (b) Substitute service assistance, rail facility construction 
assistance, and non-exempt rehabilitation or improvement assistance--(1) 
Environmental assessment. (i) When an applicant requests substitute 
service assistance, rail facility construction assistance, or 
rehabilitation or improvement assistance (except for rehabilitation or 
improvement assistance which is exempt under paragraph (a) of this 
section), the applicant shall:
    (A) Prepare an environmental assessment to determine whether the 
future use of the property will significantly affect the quality of the 
human environment; or
    (B) Provide sufficient documentation to enable the Administrator to 
determine that the project satisfies the following criteria:
    (1) The action is not likely to be environmentally controversial 
from the point of view of people living within the environment affected 
by the action or controversial with respect to the availability of 
adequate relocation housing;
    (2) The action is not inconsistent with any Federal, State, or local 
law, regulation, ordinance, or judicial or administrative determination 
relating to environmental protection;
    (3) The action will not have any significant adverse impact in any 
natural, cultural, recreational, or scenic environment(s) in which the 
action takes place, or on the air or water quality or ambient noise 
levels of such environment(s);
    (4) The action will not: use 4(f)-protected properties; adversely 
affect properties under section 106 of the National Historic 
Preservation Act; involve new construction location in a

[[Page 630]]

wetlands area; or affect a base floodplain;
    (5) The action will not cause a significant short- or long-term 
increase in traffic congestion, or other significant adverse 
environmental impact on any mode of transportation;
    (6) The action is not an integral part of a program of actions 
which, when considered separately, would not be classified as major FRA 
actions, but when considered together would be so classified; and
    (7) Environmental assessment or documentation is not required by any 
Federal law, regulation, guideline, order, or judicial or administrative 
determination other than this part.
    (ii) Prior to submitting an application, FRA recommends that the 
applicant seek the Administrator's advice as to form and substance of 
the assessment for the project under consideration. The environmental 
assessment shall utilize an interdisciplinary approach in identifying 
the type, degree of effect, and probability of occurrence of primary, 
secondary and cumulative potential environmental impacts (positive and 
negative) of the proposed action and of alternative courses of action. 
The depth of coverage shall be consistent with the magnitude of the 
project and its expected environmental effects. The environmental 
assessment and all documents used as a basis for the assessment shall be 
submitted together with the application for assistance.
    (2) Environmental impact statement. A draft environmental impact 
statement (EIS) shall be submitted with each application when the 
environmental assessment concludes that the future use significantly 
affects the quality of human environment. FRA recommends that prior to 
submitting the application, the applicant seek the Administrator's 
advice as to form and substance of the EIS for the project under 
consideration.
    (3) Finding of no significant impact. A draft finding of no 
significant impact declaration shall be submitted with each application 
when the applicant's environmental assessment concludes that the figure 
use does not significantly affect the quality of the human environment. 
The finding of no significant impact shall include a description of the 
project, and sufficient data and environmental findings to support the 
conclusions as to the impact upon the quality of the human environment. 
FRA recommends that prior to submitting the application, the applicant 
seek the Administrator's advice as to the form and substance of this 
finding for the project under consideration.
    (4) Section 4(f) determination. For projects involving the use of 
any land from a public park, recreation area, wildlife and waterfowl 
refuge, or historic site of national, State or local significance as 
determined by the Federal, State, or local officials having jurisdiction 
thereon, information to support a determination pursuant to section 4(f) 
of the Act shall be submitted together with the application. The section 
4(f) determination shall document that:
    (i) There is no feasible and prudent alternative to the use of such 
land; and
    (ii) The project includes all planning to minimize harm resulting 
from such use.
    (5) Historic preservation. For projects involving the use of 
historic, cultural or archeological resources listed or eligible for 
listing in the National Register of Historic Places, information which 
documents that the Advisory Council on Historic Preservation has been 
afforded an opportunity for review and comment on the proposed project 
in accordance with 16 U.S.C. 470 and 36 CFR part 800 shall be submitted 
with the application.
    (c) Highway or highway-related facilities. Substitute service 
projects involving highway or highway-related facilities are subject to 
the applicable substantive Federal Highway Administration regulations on 
environmental considerations (23 CFR part 771).



Sec. 266.21  Grant agreement and disbursement.

    (a) Grant agreement. (1) Upon the approval of an application meeting 
the requirements of Sec. 266.17 of this part, a grant agreement for the 
Federal share of the approved amount of estimated program costs will be 
executed by the Administrator and the grantee.
    (2) The grant agreement will identify the amount of the grantee's 
share of

[[Page 631]]

program costs to be furnished in cash and through approved in-kind 
benefits. The grantee shall expend a pro-rata share of its cash 
contribution at the same time payments of the Federal share are made 
available to the grantee.
    (b) Disbursement. (1) Federal funds are provided either in advance 
by a letter-of-credit or a Treasury check or by reimbursement in 
accordance with Attachment J of OMB Circular A-102.
    (2) Prior to receipt of advance payments, the grantee must have 
demonstrated to the satisfaction of the Administrator that it has 
established procedures to comply with OMB Circular A-102, Attachment J, 
including procedures that will minimize the time elapsing between the 
receipt of funds by the grantee and their disbursement. Evidence of such 
compliance shall be provided to the Administrator at least 30 days prior 
to the anticipated date of receipt of advance payments. An advance by 
letter-of-credit is used when the rail service assistance is expected to 
be provided for a minimum of one (1) year, and is expected to involve 
annual payments aggregating at least $120,000. Otherwise, advance 
payments are made by Treasury check.
    (3) If the grantee is not eligible for advance payments or does not 
desire them, the grantee will be reimbursed for eligible expenditures at 
the end of each fiscal quarter upon submission of a request for 
reimbursement.
    (4) Before disbursement of Federal funds can be made to a grantee 
for payment to third parties under this subsection, the grantee must 
have executed an agreement with the third party.
    (5) Acquisition assistance will be disbursed only after the 
following have been approved by the Administrator:
    (i) A title opinion of the chief legal officer of the grantee that 
describe the type of title being acquired, and if a general warranty 
deed is not being given, it must explain why it could not be given. The 
opinion shall also advise of any need for use of the State's eminent 
domain powers to assure adequate title. In addition, the opinion shall 
explain how the defects disclosed by the title search might affect the 
marketability of the property;
    (ii) A written determination that the property acquired is limited 
to the land and facilities that are needed for the rail freight services 
which would have been curtailed or abandoned but for the acquistion has 
been accepted by the Administrator; and
    (iii) A written determination that the purchase price is consistent 
with the value of the property interest being acquired, and the evidence 
upon which the determination is based.
    (c) Settlement. (1) Settlement under the grant agreement is made on 
the basis of a Federal audit which has determined the allowable costs 
over the entire term of the grant agreement. If the Federal audit 
determines that the allowable costs under the grant agreement are less 
than the amount of the grant, the difference shall be refunded to FRA at 
the end of the fiscal year in which the audit was made unless it has 
become the subject of another executed grant agreement. Upon termination 
of a State's participation in the Rail Service Assistance Program, the 
State shall repay FRA the Federal share of any unused rehabilitation and 
improvement assistance and any accumulated interest.



Sec. 266.23  Record, audit, and examination.

    (a) Retention and custodial requirements for financial records, 
supporting documents, statistical records, and all other records 
pertinent to a grant provided under this part shall be governed by 
Attachment C of OMB Circular A-102.
    (b) The Administrator and the Comptroller General of the United 
States or any of their duly authorized representatives shall, until the 
expiration of three years after submission to the Administrator of the 
grantee's final accounting of all program funds, and for any longer 
period necessary to resolve audit findings, have access for the purpose 
of audit and examination to any books, documents, papers, and records 
which in the opinion of the Administrator or the Comptroller General of 
the United States may be related or pertinent to the grants, contracts, 
or other arrangements arising out of, or in any way connected with, the 
rail service assistance program.

[[Page 632]]



Sec. 266.25  Waivers and modifications.

    The Administrator may, with respect to individual requests, upon 
good cause shown, waive or modify any requirement of this part not 
required by law or make any additional requirements the Administrator 
deems necessary. Procedures for submission and consideration of 
petitions for waiver or modification are governed by 49 CFR part 211.



PART 268--MAGNETIC LEVITATION TRANSPORTATION TECHNOLOGY DEPLOYMENT PROGRAM--Table of Contents




                           Subpart A--Overview

Sec.
268.1  Definitions.
268.3  Different phases of the Maglev Deployment Program.
268.5  Federal funding sources for the Maglev Deployment Program.
268.7  Federal/State share and restrictions on the uses of Federal 
          Maglev Funds.

             Subpart B--Procedures For Financial Assistance

268.9  Eligible participants.
268.11  Project eligibility standards.
268.13  Deadline for submission of applications for preconstruction 
          planning assistance.
268.15  Form and contents of applications for preconstruction planning 
          assistance.
268.17  Project selection criteria.
268.19  Evaluation of applications for preconstruction planning 
          assistance.
268.21  Selection of one Maglev project for final design, engineering, 
          and construction funding.

    Authority: 49 U.S.C. 322, 23 U.S.C. 322; 49 CFR 1.49.

    Source: 63 FR 54606, Oct. 13, 1998, unless otherwise noted.



                           Subpart A--Overview



Sec. 268.1  Definitions.

    As used in this part--
    CMAQ means Congestion Mitigation and Air Quality Improvement Program 
(23 U.S.C. 149).
    Environmental assessment (``EA'') means the environmental assessment 
in support of the project description and containing the information 
listed in Sec. 268.11(b)(6)(i).
    Environmental impact statement (``EIS'') means the environmental 
impact statement which is required pursuant to Secs. 268.3 and 
Sec. 268.11(b)(6)(i).
    Eligible project costs means the costs of preconstruction planning 
activities and the capital cost of the fixed guideway infrastructure of 
a Maglev project, including land, piers, guideways, propulsion equipment 
and other components attached to guideways, power distribution 
facilities (including substations), control and communications 
facilities, access roads, and storage, repair, and maintenance 
facilities, but eligible project costs do not include the cost of 
stations, vehicles, and equipment.
    Federal Maglev Funds means such funds as are provided under the 
authority of 23 U.S.C. 322 to pay for Eligible Project Costs.
    Full project costs means the total capital costs of a Maglev 
project, including Eligible Project Costs and the costs of stations, 
vehicles, and equipment.
    Phase means one of the five different phases of the Maglev 
Deployment Program; these phases are described in Sec. 268.3.
    Maglev means transportation systems employing magnetic levitation 
that would be capable of safe use by the public at a speed in excess of 
240 miles per hour.
    Maglev deployment program means the program authorized by 23 U.S.C. 
322.
    Partnership potential means the usage of the term in the commercial 
feasibility study of high-speed ground transportation (High Speed Ground 
Transportation for America) mandated under section 1036 of the 
Intermodal Surface Transportation Efficiency Act of 1991 (105 Stat. 
1978). Under that usage any corridor exhibiting Partnership Potential 
must at least meet the following two conditions:
    (1) Private enterprise must be able to run on the corridor--once 
built and paid for--as a completely self-sustaining entity; and
    (2) The total benefits of a Maglev corridor must equal or exceed its 
total costs.
    STP means the Surface Transportation Program (23 U.S.C. 133).

[[Page 633]]

    TEA 21 means the Transportation Equity Act for the 21st Century 
(Pub. L. 105-178).



Sec. 268.3  Different phases of the Maglev Deployment Program.

    (a) The Maglev Deployment Program includes five phases, as described 
in paragraphs (b) through (f) of this section. The current projected 
timing for implementing these phases is indicated to assist applicants 
in planning their projects. All dates beyond the first date (the 
deadline for the submission of preconstruction planning applications) 
are for planning purposes only and are subject to change--including 
possible acceleration of deadlines--based on the progress of the Maglev 
Deployment Program; grantees will be notified accordingly.
    (b) Phase I--Competition for Planning Grants (Early October 1998-
April 30, 1999).
    (1) Description. In Phase I, States will apply for funds for 
preconstruction planning activities. As required by Sec. 268.13, 
applications must be filed with FRA by February 15, 1999. FRA will 
select one or more projects to receive preconstruction planning 
financial assistance awarded under this part to perform Phase II of the 
Maglev Deployment Program.
    (2) Timing of Major Milestones.
    (i) February 15, 1999--Planning grant applications due.
    (ii) March 31, 1999--FRA selects grantees for planning grants.
    (iii) April 30, 1999--FRA awards planning grants for the conduct of 
activities listed in Phase II.
    (c) Phase II--Project Description Development (May 1, 1999-April 30, 
2000).
    (1) Description. In Phase II, each grant recipients will prepare and 
submit to FRA a project description and supporting preconstruction 
planning reports and an EA. Supporting reports may include demand and 
revenue analyses, project specification, cost estimates, scheduling, 
financial studies, and other information in support of the project 
description. FRA will use this information in reaching a decision on 
which project to select for final engineering and construction 
financing. In addition, after completion of the EA, each grant recipient 
will initiate activities aimed at preparing a site-specific draft EIS. 
FRA will initiate documentation of environmental factors considered in 
the project selection process.
    (2) Timing of Major Milestones.
    (i) December 31, 1999--Deadline for submission of appropriate EA 
needed by FRA for the selection of one project under Phase III.
    (ii) April 30, 2000--Deadline for submission of project descriptions 
and any related supporting reports needed by FRA for project selection.
    (d) Phase III--Project Selection Process (May 1, 2000-August 31, 
2000).
    (1) Description. FRA will evaluate the information provided by the 
grant recipients under Phase II and will select one project for final 
design, engineering, and construction funding. Recipients of assistance 
will progress work on site-specific EISs.
    (2) Timing of Major Milestones. August 31, 2000--FRA selects the 
project.
    (e) Phase IV--Project Development and Completion of Site-specific 
EIS (September 1, 2000-August 31, 2001).
    (1) Description. The financial assistance recipient selected in 
Phase III will undertake final design and engineering work for the 
selected project together with completing the site-specific final EIS. 
Detailed agreements for the construction and operation of the project 
would be negotiated. The other grant recipients may also elect to 
complete the site-specific draft EISs initiated during Phase II.
    (2) Timing of Major Milestones. August 31, 2001--Final Record of 
Decision on site-specific EIS, confirming the project design.
    (f) Phase V--Completion of Detailed Engineering & Construction 
(September 1, 2001 and beyond).
    (1) Description. In Phase V, the sponsoring State or State 
designated authority would oversee the efforts of the public/private 
partnership formed to progress the selected project, to complete the 
detailed engineering designs, finance, construct, equip, and operate the 
project in revenue service. Construction would likely be contingent on 
the appropriation of federal funds.
    (2) [Revised]

[63 FR 54606, Oct. 13, 1998, as amended at 64 FR 7134, Feb. 12, 1999]

[[Page 634]]



Sec. 268.5  Federal funding sources for the Maglev Deployment Program.

    (a) Federal Maglev Funds. Section 322 of Title 23 provides for the 
following funds for the Maglev Deployment Program:
    (1) Contract authority. Fifty-five million has been made available 
for the Maglev Deployment Program as contract authority from the Highway 
Trust Fund for Fiscal Years 1999 through 2001; this would be used to 
fund the competition in all its phases and could also be used for final 
design, engineering, and construction activities of the selected 
project. Of the $55 million, the Congress has made available up to $15 
million for Fiscal Year 1999, up to $15 million for Fiscal Year 2000, 
and $25 million for Fiscal Year 2001.
    (2) Authorization for appropriations. Nine hundred fifty million, 
also from the Highway Trust Fund, has been authorized to be appropriated 
for the Maglev Deployment Program for Fiscal Years 2000 through 2003. Of 
the $950 million, $200 million is authorized to be appropriated for each 
of Fiscal Years 2000 and 2001, $250 million for Fiscal Year 2002, and 
$300 million for Fiscal Year 2003. Any decision to proceed with possible 
Federal funding of the construction of a Maglev system will be 
contingent upon the receipt of appropriations, and upon completion of 
appropriate environmental documentation.
    (b) Other Federal funds. Section 322 of Title 23 provides that the 
portion of the Maglev project not covered by Federal Maglev Funds may be 
covered by any non-Federal funding sources--including private (debt and/
or equity), State, local, regional, and other public or public/private 
entities--as well as by Federally-provided STP and CMAQ funds, and by 
other forms of financial assistance made available under title 23 and 
TEA 21, such as loans and loan guarantees.



Sec. 268.7  Federal/State share and restrictions on the uses of Federal Maglev Funds.

    (a) Federal share. The Federal share of Full Projects Costs shall be 
not more than \2/3\, with the remaining \1/3\ paid by the grant 
recipient using non-Federal funds. Funds made available under STP and 
CMAQ are considered non-Federal funds for purposes of the matching 
requirement.
    (b) Restrictions on the uses of Federal Maglev Funds. (1) Federal 
Maglev Funds may be applied only to Eligible Project Costs;
    (2) Federal Maglev funds provided under a preconstruction planning 
grant may be used only for Phase II activities, and for completion of 
site-specific draft EIS; see Sec. 268.3;
    (3) Federal Maglev Funds may be used to pay for only \2/3\ of 
preconstruction planning costs; grant recipients are required to pay the 
remaining \1/3\ of the costs with non-Federal funds; and
    (4) The ``prevailing wages'' requirement of the Davis Bacon Act (40 
U.S.C. 276a-276a-5) applies to any construction contracts under the 
Maglev Deployment Program.



             Subpart B--Procedures for Financial Assistance



Sec. 268.9  Eligible participants.

    Any State, or any authority designated by one or more State(s) to 
carry out the preconstruction planning activities under the Maglev 
Deployment Program is eligible to participate in the Maglev Deployment 
Program.



Sec. 268.11  Project eligibility standards.

    (a) Project eligibility standards for preconstruction planning 
financing. (1) As required by 23 U.S.C. 322(d)(4), in order to be 
eligible to receive financial assistance, a Maglev project shall:
    (i) Involve a segment or segments of a high-speed ground 
transportation corridor that exhibit Partnership Potential;
    (ii) Require an amount of Federal funds for project financing that 
will not exceed the sum of Federal Maglev Funds, and the amounts made 
available by States under STP and CMAQ;
    (iii) Result in an operating transportation facility that provides a 
revenue producing service;
    (iv) Be undertaken through a public and private partnership, with at 
least \1/3\ of Full Project Costs paid using non-Federal funds;

[[Page 635]]

    (v) Satisfy applicable statewide and metropolitan planning 
requirements;
    (vi) Be approved by FRA based on an application submitted by a State 
or authority designated by 1 or more States;
    (vii) To the extent that non-United States Maglev technology is used 
within the United States, be carried out as a technology transfer 
project; and
    (viii) Be carried out using materials at least 70 percent of which 
are manufactured in the United States.
    (2) FRA recognizes that applicants for preconstruction planning 
grants will not have detailed information with respect to some of the 
requirements of paragraph (a)(1) of this section, and that the purpose 
of a preconstruction planning grant is to develop much of this 
information with respect to a particular Maglev project. As required by 
Sec. 268.15, an applicant will need to provide whatever information it 
has with respect to each of the requirements of paragraph (a)(1) of this 
section together with a certification that the applicant fully intends 
to comply with the requirements of paragraph (a) of this section should 
its project be selected by FRA for final design, engineering and 
construction financing.
    (b) Project eligibility standards for final design, engineering, and 
construction financing. FRA will select the most promising Maglev 
project for final design, engineering, and construction financing. To be 
eligible to be considered, the project must meet each of the following 
requirements; these requirements restate the requirements in paragraph 
(a)(1) of this section, but with more detail and in a different order:
    (1) Purpose and Significance of the Project. (i) The project 
description shall point to a Maglev facility and daily operation the 
primary purpose of which is the conduct of a revenue-producing passenger 
transportation service between distinct points, rather than a service 
solely for the passengers' riding pleasure.
    (ii) The project description shall incorporate scheduled operation 
at a top speed of not less than 240 mph.
    (2) Benefits for the American Economy. The project description shall 
include a certification as to paragraph (b)(2)(i) and (ii) of this 
section and, as appropriate, a technology acquisition/transfer plan 
which describes the strategy for their accomplishment.
    (i) Processes will be established that will enable an American-owned 
and -sited firm (or firms) to gain, in the course of the project, the 
capability to participate in the design, manufacture, and installation 
of the facilities and vehicles needed for a Maglev operation, if the 
owner of the selected version of Maglev technology is not an American-
owned and--sited firm (thus meeting the technology transfer requirement 
of 23 U.S.C. 322).
    (ii) The 70 percent U.S. content requirement content of 23 U.S.C. 
322 will be carried out.
    (3) Partnership Potential. The project shall exhibit Partnership 
Potential by satisfying the following:
    (i) A private/public partnership must be in place that is ready, 
willing, and able to finance, construct, operate, and maintain the 
project;
    (ii) The private/public partnership either owns the version of 
Maglev technology proposed to be implemented in the project, or has an 
agreement with the owner which affords full cooperation to the 
partnership in progressing the project, including implementation of the 
technology acquisition/transfer plan if applicable; and
    (iii) The recipient of a preconstruction planning grant or the FRA 
has developed and endorsed a projection of system capital costs, demand, 
revenues, operating expenses, and total costs and benefits, that:
    (A) Covers either the entire corridor in which the Maglev project is 
involved (``Corridor''), or the project considered independently;
    (B) Demonstrates that private enterprise would be able to run the 
Corridor or the project--once built and paid for--as a completely self-
sustaining entity, in which revenues will cover operating expenses and 
continuing investment needs; and
    (C) Shows total benefits equal to or exceeding total costs.
    (4) Funding Limits and Sources. The project description shall 
include a financing plan that demonstrates project completion with the 
$950 million in Federal Maglev Funds, funds remaining unobligated from 
the $55 million in

[[Page 636]]

contract authority, and the funds made available under STP and CMAQ. The 
project that is selected will be eligible for other forms of financial 
assistance provided under title 23 and TEA 21, including loans, loan 
guarantees, and lines of credit. However, at least \1/3\ of Full Project 
Costs must come from non-Federal Funds.
    (5) Project Management. The State, the technology owner, and all 
other relevant project partners must include in the project description, 
an agreed upon--
    (i) Management plan that defines the partnership, responsibilities, 
and procedures for accomplishing the project;
    (ii) Project schedule that shows how timely implementation of the 
project will be accomplished, including, to the extent possible, a 
construction plan and schedule; and
    (iii) Financial plan that shows how funds will flow, in accordance 
with the other requirements of this subsection.
    (6) Planning/Environmental Process. (i) Assessment of environmental 
consequences of the proposed project. Recipients of preconstruction 
planning grants shall conduct an EA in support of the project 
description; and will prepare a site-specific EIS for the project. The 
EA shall include information to support the grantee's decision to pursue 
the proposed project. The grantee shall develop the information and 
discuss the environmental consequences of the proposed technology and 
route in sufficient detail for the preparation of appropriate 
documentation by FRA to support selection of one project. This shall 
include: the identification of potential positive and negative 
environmental effects resulting from the technology (e.g. energy 
consumption compared to other transportation options); generic noise 
emissions at various distances from the centerline of the guideway; 
changes in electromagnetic field levels at various distances from the 
centerline of the guideway; and environmental screening of the proposed 
route (e.g., identification of land use; identification of endangered 
species possibly present and location of their critical habitat; 
identification of navigable waterways, wetlands and other sensitive 
water resources; and identification of the location of parks, wildlife 
refuges, historic and archaeological sites of National, State or local 
significance and other sites protected by Section 4(f) of the Department 
of Transportation Act.). The latter information and analysis shall be 
submitted four months in advance of the remainder of the project 
description. The above list is illustrative only. Grantees will be 
expected to review proposed work statements with FRA at pre-application 
meetings or through some other means to develop the final scope of this 
environmental review.
    (ii) The project description must also include letters of 
endorsement of project implementation from all the State departments of 
transportation involved, and from all Metropolitan Planning 
Organizations for metropolitan areas that would be served by the 
project.



Sec. 268.13  Deadline for submission of applications for preconstruction planning assistance.

    Completed application packages shall be returned to FRA by February 
15, 1999. Applications shall be submitted to: Honorable Jolene M. 
Molitoris, Administrator, Federal Railroad Administration, ATTN: Maglev 
Project, RDV-11, 1120 Vermont Ave., NW, Stop 20, Washington, DC 20590.

[64 FR 7134, Feb. 12, 1999]



Sec. 268.15  Form and contents of applications for preconstruction planning assistance.

    States, groups of States, or designated authorities that have Maglev 
projects are invited to submit applications in Phase I of the Maglev 
Deployment Program, the competition for preconstruction planning grants. 
The applications shall contain:
    (a) (1) If submitted by a State: Name, address, responsible party, 
telephone, fax number, and e-mail address of the State agency submitting 
the application; or
    (2) If submitted by a designated authority: Name, address, 
responsible party, telephone, fax number, and e-mail address of the 
designated authority and of the State agency or agencies

[[Page 637]]

on whose behalf the designated authority is submitting the application, 
together with letters from the State(s) evidencing all such 
designations;
    (b) A description of the project concept, identifying its likely 
location, market area, length, and the transportation service that it 
would perform, and a preliminary estimate of the time that would be 
required--if funds are made available--to bring the project to the start 
of construction and then to the initiation of full revenue service. At 
its option, the Applicant may include any reports already completed on 
the project as well as any additional descriptive material that would 
assist the FRA in evaluating the application;
    (c) Whatever information the Applicant has to demonstrate that the 
project meets the project eligibility standards in Sec. 268.11(a), and 
the project selection criteria in Sec. 268.17, together with a 
certification that the Applicant fully intends to comply with the 
requirements in Sec. 268.11 should its project be selected by FRA for 
final design, engineering and construction financing.
    (d) A statement of work for the preconstruction planning activities 
to be accomplished under the planning grant. The statement shall 
describe the work to be performed, including but not necessarily limited 
to:
    (1) Preconstruction planning work as is needed to develop a Maglev 
project, and project description that will satisfy the project 
eligibility standards in Sec. 268.11(b), and the project selection 
criteria in Sec. 268.17; and
    (2) Preparation of EAs, as described in Sec. 268.11(b)(6)(i);
    (e) Management plan, schedule, and financial plan for accomplishing 
the preconstruction planning work under the planning grant;
    (f) Letters supporting the application from the heads of all State 
departments of transportation involved, as well as from responsible 
officials of the Metropolitan Planning Organizations of all metropolitan 
areas to be served by the proposed project;
    (g) A certification from the State, or from the authority designated 
by one or more States, that the \1/3\ matching funds required for work 
under the planning grant are, or will be, available by the time the 
grants are announced. The source(s) of the matching must be shown in the 
financial plan under paragraph (e) of this section; and
    (h) If the applicant has made a definitive choice of the particular 
Maglev technology proposed to be included, a description of that 
technology and the degree to which it has been produced and tested 
should be submitted. Further, if the applicant has identified 
organizations that would form members of the team that would implement 
the project, the names of those organizations and the persons 
representing them should also be submitted.



Sec. 268.17  Project selection criteria.

    Except as qualified by Sec. 268.19, the following criteria will 
govern FRA's selection of projects to receive funding under the Maglev 
Deployment Program.
    (a) Purpose and Significance of the Project. (1) The degree to which 
the project description demonstrates attractiveness to travelers, as 
measured in passengers and passenger-miles.
    (2) The extent to which implementation of the project will reduce 
congestion, and attendant delay costs, in other modes of transportation; 
will reduce emissions and/or energy consumption; or will reduce the rate 
of growth in needs for additional highway or airport construction. 
Measures for this criterion will include but not be limited to the 
present value of congestion reduction, pollution reduction, and/or 
facility cost-avoidance benefits.
    (3) The degree to which the project will demonstrate the variety of 
operating conditions which are to be expected in the United States.
    (4) The degree to which the project will augment a Maglev corridor 
or network that has been identified, by any State, group of States, or 
the FRA, as having Partnership Potential.
    (b) Timely Implementation. The speed with which the project can 
realistically be brought into full revenue service, based on the project 
description and on the current and projected development status of the 
Maglev technology selected by the applicant for the project.
    (c) Benefits for the American Economy. The extent to which the 
project is expected to create new jobs in traditional

[[Page 638]]

and emerging industries in the United States.
    (d) Partnership Potential. The degree to which the project 
description demonstrates Partnership Potential for the corridor in which 
it is involved, and/or for the project independently.
    (e) Funding Limits and Sources. FRA recognizes that applicants for 
preconstruction planning assistance may not have detailed information 
with respect to each of these criteria, and that the purpose of the 
preconstruction planning assistance is to develop much of this 
information with respect to a particular Maglev project. The 
preconstruction planning application requirements of the Interim Final 
Rule are designed to elicit whatever information an applicant may have 
pertaining to these criteria.
    (1) The extent and proportion to which States, regions, and 
localities commit to financially contributing to the project, both in 
terms of their own locally-raised, entirely non-Federal funds, and in 
terms of commitments of scarce Federal resources from non-Maglev funds; 
and
    (2) The extent and proportion to which the private sector 
contributes financially to the project.



268.19  Evaluation of applications for preconstruction planning assistance.

    The FRA will evaluate the applications for their completeness and 
responsiveness to the requirements listed in Sec. 268.15. In addition, 
applicants are advised that the Maglev Deployment Program contains a 
number of project eligibility standards (minimum threshold standards) 
and project evaluation criteria that will guide the FRA's review of the 
project descriptions produced under the Planning Grants. The FRA's 
implementation of these standards and criteria appears in Sec. 268.11 
and Sec. 268.17, respectively. Although subject to revision, the 
information in Sec. 268.11 and Sec. 268.17 should assist the States in 
completing their applications in the competition for planning grants, 
since the project descriptions will need to respond to the standards and 
criteria. In evaluating the applications for planning grants, FRA will 
consider how consistent the applicant's project is to the standards and 
criteria, and the application's likelihood of leading to a project that 
meets all the standards and criteria.



Sec. 268.21  Selection of one Maglev project for final design, engineering and construction funding.

    (a) Only one project will be selected in Phase III of the Maglev 
Deployment Program and be eligible for any Federal construction funds 
that the Congress chooses to make available. That one project must meet 
each and every project eligibility standard contained in Sec. 268.11(b). 
If more than one project meets all these standards, then the FRA will 
evaluate and compare the eligible projects according to the set of 
project selection criteria contained in Sec. 268.17.
    (b) In reviewing competing projects under the project eligibility 
standards and project selection criteria, the FRA will exercise 
particular vigilance regarding the following elements of the 
preconstruction planning process, although not to the exclusion of 
others:
    (1) The credibility of the demand and revenue forecasts, cost 
estimates, and benefit/cost comparisons; and
    (2) The credibility of the financial plan.
    (c) FRA intends to make periodic reviews of the processes and 
products of grant recipients. Such reviews may include, at the FRA's 
option, reviews at key milestones in the preparation of project 
descriptions.

[[Page 639]]



              CHAPTER III--FEDERAL HIGHWAY ADMINISTRATION,
                      DEPARTMENT OF TRANSPORTATION




  --------------------------------------------------------------------


  Editorial Note: For nomenclature changes to chapter III see 59 FR 
60323, Nov. 23, 1994, and 60 FR 38742, July 28, 1995.

                    SUBCHAPTER A--GENERAL REGULATIONS
Part                                                                Page
301             Organization and delegation of powers and 
                    duties of the Federal Highway 
                    Administration..........................         641
325             Compliance with interstate motor carrier 
                    noise emission standards................         641
         SUBCHAPTER B--FEDERAL MOTOR CARRIER SAFETY REGULATIONS
350             Commercial motor carrier safety assistance 
                    program.................................         653
355             Compatibility of State laws and regulations 
                    affecting interstate motor carrier 
                    operations..............................         664
356             Motor carrier routing regulations...........         667
360             Fees for motor carrier registration and 
                    insurance...............................         668
365             Rules governing applications for operating 
                    authority...............................         672
366             Designation of process agent................         679
367             Standards for registration with States......         679
368             Applications for certificates of 
                    registration by foreign motor carriers 
                    and foreign motor private carriers under 
                    49 U.S.C. 13902(c)......................         684
370             Principles and practices for the 
                    investigation and voluntary disposition 
                    of loss and damage claims and processing 
                    salvage.................................         686
371             Brokers of property.........................         688
372             Exemptions, commercial zones, and terminal 
                    areas...................................         690
373             Receipts and bills..........................         703
374             Passenger carrier regulations...............         704
375             Transportation of household goods in 
                    interstate or foreign commerce..........         711
376             Lease and interchange of vehicles...........         724

[[Page 640]]

377             Payment of transportation charges...........         730
378             Procedures governing the processing, 
                    investigation, and disposition of 
                    overcharge, duplicate payment, or 
                    overcollection claims...................         735
379             Preservation of records.....................         738
381             Waivers, exemptions, and pilot programs.....         742
382             Controlled substances and alcohol use and 
                    testing.................................         749
383             Commercial driver's license standards; 
                    requirements and penalties..............         768
384             State compliance with commercial driver's 
                    license program.........................         793
385             Safety fitness procedures...................         800
386             Rules of practice for motor carrier safety 
                    and hazardous materials proceedings.....         812
387             Minimum levels of financial responsibility 
                    for motor carriers......................         831
388             Cooperative agreements with States..........         854
389             Rulemaking procedures--Federal motor carrier 
                    safety regulations......................         855
390             Federal motor carrier safety regulations; 
                    general.................................         858
391             Qualifications of drivers...................         871
392             Driving of commercial motor vehicles........         891
393             Parts and accessories necessary for safe 
                    operation...............................         899
394

[Reserved]

395             Hours of service of drivers.................         970
396             Inspection, repair, and maintenance.........         981
397             Transportation of hazardous materials; 
                    driving and parking rules...............         986
398             Transportation of migrant workers...........        1004
399             Employee safety and health standards........        1010
Appendix A to Subchapter B  [Reserved]
Appendix B to Subchapter B--Special Agents..................        1013
Appendixes C-E to Subchapter B  [Reserved]
Appendix F to Subchapter B--Commercial Zones................        1014
Appendix G to Subchapter B--Minimum Periodic Inspection 
  Standards.................................................        1032

[[Page 641]]





                    SUBCHAPTER A--GENERAL REGULATIONS


PART 301--ORGANIZATION AND DELEGATION OF POWERS AND DUTIES OF THE FEDERAL HIGHWAY ADMINISTRATION--Table of Contents




Sec.
301.50  Regional offices; general description.
301.52  Jurisdiction of regional offices.

    Authority: 49 U.S.C. 104, 307, 501 et seq., 1801 et seq., 3101 et 
seq., 10925, 10927 note; 42 U.S.C. 4917; 49 CFR 1.48.



Sec. 301.50  Regional offices; general description.

    The Federal Highway Administration has regional offices, commonly 
referred to as Regional Administrations, which are numerically 
identified as Regions 1 and 3 through 10. Each regional office has 
jurisdiction over a geographical area consisting of a designated group 
of States. Each regional office is headed by a Regional Federal Highway 
Administrator (commonly called the Regional Administrator for ease of 
reference), who is assisted by a regional headquarters staff of legal, 
administrative, and program specialists, and who is responsible for 
directing at local levels the Federal Highway Administration 
responsibilities for administration of the direct Federal, Federal-aid, 
and other highway and traffic safety programs.

[51 FR 12620, Apr. 14, 1986]



Sec. 301.52  Jurisdiction of regional offices.

    The specific composition of each Federal Highway Administration 
region is as follows:

------------------------------------------------------------------------
                                                          Location of
           Region No.             Territory included    regional office
------------------------------------------------------------------------
1 \1\...........................  Connecticut,        4 Normanskill
                                   Maine,              Blvd., Delmar, NY
                                   Massachusetts,      12054.
                                   New Hampshire,
                                   New Jersey, New
                                   York, Puerto
                                   Rico, Rhode
                                   Island, and
                                   Vermont.
3...............................  Delaware, District  31 Hopkins Plaza,
                                   of Columbia,        Baltimore, MD
                                   Maryland,           21201.
                                   Pennsylvania,
                                   Virginia, and
                                   West Virginia.
4...............................  Alabama, Florida,   1720 Peachtree Rd.
                                   Georgia,            NW., Atlanta, GA
                                   Kentucky,           30309.
                                   Mississippi,
                                   North Carolina,
                                   South Carolina,
                                   and Tennessee.
5...............................  Illinois, Indiana,  18209 Dixie
                                   Michigan,           Highway,
                                   Minnesota, Ohio,    Homewood, IL
                                   and Wisconsin.      60430.
6...............................  Arkansas,           819 Taylor St.,
                                   Louisiana, New      Fort Worth, TX
                                   Mexico, Oklahoma,   76102.
                                   and Texas.
7...............................  Iowa, Kansas,       Post Office Box
                                   Missouri, and       7186, Country
                                   Nebraska.           Club Station,
                                                       Kansas City, MO
                                                       64113.
8...............................  Colorado, Montana,  Room 242, Bldg.
                                   North Dakota,       40, Denver
                                   South Dakota,       Federal Center,
                                   Utah, and Wyoming.  Denver, CO 80225.
9...............................  Arizona,            450 Golden Gate
                                   California,         Ave., San
                                   Hawaii, and         Francisco, CA
                                   Nevada.             94102.
10..............................  Alaska, Idaho,      222 Southwest
                                   Oregon, and         Morrison St.,
                                   Washington.         Portland, OR
                                                       97204.
------------------------------------------------------------------------
\1\ Conforms to Standard Federal Regions 1 and 2.


[38 FR 215, Jan. 7, 1972]



PART 325--COMPLIANCE WITH INTERSTATE MOTOR CARRIER NOISE EMISSION STANDARDS--Table of Contents




                      Subpart A--General Provisions

Sec.
325.1  Scope of the rules in this part.
325.3  Effective date.
325.5  Definitions.
325.7  Allowable noise levels.
325.9  Measurement tolerances.

                  Subpart B--Administrative Provisions

325.11  Issuance, amendment, and revocation of the rules in this part.
325.13  Inspection and examination of motor vehicles.

                       Subpart C--Instrumentation

325.21  Scope of the rules in this subpart.
325.23  Types of measurement systems which may be used.
325.25  Calibration of measurement systems.
325.27  Use of a windscreen.

      Subpart D--Measurement of Noise Emissions; Highway Operations

325.31  Scope of the rules in this subpart.
325.33  Site characteristics; highway operations.

[[Page 642]]

325.35  Ambient conditions; highway operations.
325.37  Location and operation of sound level measurement system; 
          highway operations.
325.39  Measurement procedure; highway operations.

       Subpart E--Measurement of Noise Emissions; Stationary Test

325.51  Scope of the rules in this subpart.
325.53  Site characteristics; stationary test.
325.55  Ambient conditions; stationary test.
325.57  Location and operation of sound level measurement systems; 
          stationary test.
325.59  Measurement procedure; stationary test.

                      Subpart F--Correction Factors

325.71  Scope of the rules in this subpart.
325.73  Microphone distance correction factors.
325.75  Ground surface correction factors.
325.77  Computation of open site requirements--nonstandard sites.
325.79  Application of correction factors.

                  Subpart G--Exhaust Systems and Tires

325.91  Exhaust systems.
325.93  Tires.

    Authority: Sec. 18, 86 Stat. 1234, 1249-1250 (42 U.S.C. 4917).

    Source: 40 FR 42437, Sept. 12, 1975, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 325.1  Scope of the rules in this part.

    (a) The rules in this part prescribe procedures for inspection, 
surveillance, and measurement of motor vehicles and motor vehicle 
equipment operated by motor carriers to determine whether those vehicles 
and that equipment conform to the Interstate Motor Carrier Noise 
Emission Standards of the Environmental Protection Agency, 40 CFR part 
202.
    (b) Except as provided in paragraph (c) of this section, the rules 
in this part apply to motor carriers engaged in interstate commerce. The 
rules apply at any time or under any condition of highway grade, load, 
acceleration or deceleration.
    (c) The rules in this part do not apply to--
    (1) A motor vehicle that has a Gross Vehicle Weight Rating (GVWR) of 
10,000 pounds (4,536 kg.) or less;
    (2) A combination of motor vehicles that has a Gross Combination 
Weight Rating (GCWR) of 10,000 pounds (4,536 kg.) or less;
    (3) The sound generated by a warning device, such as a horn or 
siren, installed in a motor vehicle, unless such device is intentionally 
sounded in order to preclude an otherwise valid noise emission 
measurement;
    (4) An emergency motor vehicle, such as a fire engine, an ambulance, 
a police van, or a rescue van, when it is responding to an emergency 
call;
    (5) A snow plow in operation; or
    (6) The sound generated by auxiliary equipment which is normally 
operated only when the motor vehicle on which it is installed is stopped 
or is operating at a speed of 5 miles per hour (8 kph) or less, unless 
such device is intentionally operated at speeds greater than 5 mph (8 
kph) in order to preclude an otherwise valid noise measurement. Examples 
of that type of auxiliary equipment include, but are not limited to, 
cranes, asphalt, spreaders, ditch diggers, liquid or slurry pumps, 
auxiliary air compressors, welders, and trash compactors.



Sec. 325.3  Effective date.

    The rules in this part are effective on October 15, 1975.



Sec. 325.5  Definitions.

    (a) Statutory definitions. All terms defined in the Noise Control 
Act of 1972 (Pub. L. 92-574, 86 Stat. 1234) are used as they are defined 
in that Act.
    (b) Definitions in standards. All terms defined in Sec. 202.10 of 
the Interstate Motor Carrier Noise Emission Standards, 40 CFR 202.10, 
are used as they are defined in that section.
    (c) Additional definitions. (1) Hard test site means any test site 
having the ground surface covered with concrete, asphalt, packed dirt, 
gravel, or similar reflective material for more than \1/2\ the distance 
between the microphone target point and the microphone location point.
    (2) Soft test site means any test site having the ground surface 
covered with grass, other ground cover, or similar absorptive material 
for \1/2\ or more of the distance between the microphone

[[Page 643]]

target point and the microphone location point.
    (3) Ground cover means any of various low, dense-growing plants, 
such as ivy, myrtle, low weeds, or brush.
    (4) Traffic railing means any longitudinal highway traffic barrier 
system installed along the side or median of a highway. For the purpose 
of this part, a traffic railing must have at least 35 percent of its 
vertical height, from the ground surface to the top of the railing, open 
to free space in order to qualify as an acceptable object within a noise 
measurement test site. Further, for the purposes of this part, posts or 
other discrete supports shall be ignored when ascertaining open free 
space.
    (5) Relatively flat when used to describe a noise measurement site 
means a site which does not contain significant concave curvatures or 
slope reversals that may result in the focusing of sound waves toward 
the microphone location point.



Sec. 325.7  Allowable noise levels.

    Motor vehicle noise emissions, when measured according to the rules 
of this part, shall not exceed the values specified in Table 1.

                     Table 1.--Maximum Permissible Sound Level Readings (Decibel (A)) \1, 2\
----------------------------------------------------------------------------------------------------------------
                                                        Highway operation test               Stationary tests
                                             -------------------------------------------------------------------
                                                    Soft site             Hard Site
                                             --------------------------------------------
                                               35 mi/h    Above 35   35 mi/h    Above 35   Soft site   Hard site
                                               or less      mi/h     or less      mi/h
----------------------------------------------------------------------------------------------------------------
If the distance between the microphone
 location point and the microphone target
 point is--
    31 ft ( 9.5m) or more but less than 35           87         91         89         93          89          91
     ft (10.7m).............................
    35 ft (10.7m) or more but less than 39           86         90         88         92          88          90
     ft (11.9m).............................
    39 ft (11.9m) or more but less than 43           85         89         87         91          87          89
     ft (13.1m).............................
    43 ft (13.1m) or more but less than 48           84         88         86         90          86          88
     ft (14.6m).............................
    48 ft (14.6m) or more but less than 58           83         87         85         89          85          87
     ft (17.1m).............................
    58 ft (17.1m) or more but less than 70           82         86         84         88          84          86
     ft (21.3m).............................
    70 ft (21.3m) or more but less than 83           81         85         83         87          83          85
     ft (25.3m).............................
----------------------------------------------------------------------------------------------------------------
\1\ The speeds shown refer to measurements taken at sites having speed limits as indicated. These speed limits
  do not necessarily have to be posted.
\2\ This table is based on motor carrier noise emission requirements specified in 40 CFR 202.20 and 40 CFR
  202.21.


[40 FR 42437, Sept. 12, 1975, as amended at 54 FR 50385, Dec. 6, 1989]



Sec. 325.9  Measurement tolerances.

    (a) Measurement tolerances will be allowed to take into account the 
effects of the following factors:
    (1) The consensus standard practice of reporting filed sound level 
measurements to the nearest whole decibel.
    (2) Variations resulting from commercial instrument tolerances.
    (3) Variations resulting from the topography of the noise 
measurement site.
    (4) Variations resulting from atmospheric conditions such as wind, 
ambient temperature, and atmospheric pressure.
    (5) Variations resulting from reflected sound from small objects 
allowed within the test site.
    (6) The interpretation of the effects of the above cited factors by 
enforcement personnel.
    (b) Measurement tolerances shall not exceed 2 decibels for a given 
measurement.



                  Subpart B--Administrative Provisions



Sec. 325.11  Issuance, amendment, and revocation of the rules in this part.

    The procedures specified in part 389 of this chapter for the 
issuance, amendment, or revocation of the Federal

[[Page 644]]

Motor Carrier Safety Regulations apply to rulemaking proceedings for the 
issuance, amendment, or revocation of the rules in this part.



Sec. 325.13  Inspection and examination of motor vehicles.

    (a) Any special agent of the Federal Highway Administration 
(designated in appendix B to subchapter B of this chapter) is authorized 
to inspect, examine, and test a motor vehicle operated by a motor 
carrier in accordance with the procedures specified in this part for the 
purpose of ascertaining whether the motor vehicle and equipment 
installed on the motor vehicle conforms to the Interstate Motor Carrier 
Noise Emission Standards of the Environmental Protection Agency, 40 CFR 
part 202.
    (b) A motor carrier, its officers, drivers, agents, and employees 
must, at any time, submit a motor vehicle used in its operations for 
inspection, examination, and testing for the purpose of ascertaining 
whether the motor vehicle and equipment installed on it conforms to the 
Interstate Motor Carrier Noise Emission Standards of the Environmental 
Protection Agency, 40 CFR part 202.
    (c) Prescribed inspection report. Form MCS-141, Noise Level 
Compliance Check shall be used to record findings from motor vehicles 
selected for noise emission inspection by authorized employees.
    (d) Motor carrier's disposition of form MCS-141. (1) The driver of 
any motor vehicle receiving a Form MCS-141 shall deliver such MCS-141 to 
the motor carrier operating the vehicle upon his/her arrival at the next 
terminal or facility of the motor carrier, if such arrival occurs within 
twenty-four (24) hours. If the driver does not arrive at a terminal or 
facility of the motor carrier operating the vehicle within twenty-four 
(24) hours he/she shall immediately mail the Form MCS-141 to the motor 
carrier. For operating convenience, motor carriers may designate any 
shop, terminal, facility, or person to which it may instruct its drivers 
to deliver or forward Form MCS-141. It shall be the sole responsibility 
of the motor carrier that Form MCS-141 is returned to the Federal 
Highway Administration, in accordance with the terms prescribed thereon 
and in paragraphs (d) (2) and (3) of this section. A driver, if himself/
herself a motor carrier, shall return Form MCS-141 to the Federal 
Highway Administration, in accordance with the terms prescribed thereon 
and in paragraphs (d) (2) and (3) of this section.
    (2) Motor carriers shall carefully examine Forms MCS-141. 
Appropriate corrective action shall be taken on vehicles found to be not 
in compliance with the requirements of this part.
    (3) Motor carriers shall complete the ``Motor Carrier Certification 
of Action Taken'' on Form MCS-141 in accordance with the terms 
prescribed thereon. Motor carriers shall return Forms MCS-141 to the 
Regional Director of Motor Carriers of the Office of Motor Carriers, 
Federal Highway Administration, at the address indicated upon Form MCS-
141 within fifteen (15) days following the date of the vehicle 
inspection.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10226, Mar. 10, 1976; 
54 FR 50385, Dec. 6, 1989; 60 FR 38743, July 28, 1995]



                       Subpart C--Instrumentation



Sec. 325.21  Scope of the rules in this subpart.

    The rules in this subpart specify criteria for sound level 
measurement systems which are used to make the sound level measurements 
specified in subpart D and subpart E of this part.



Sec. 325.23  Type of measurement systems which may be used.

    The sound level measurement system must meet or exceed the 
requirements of American National Standard Specification for Sound Level 
Meters (ANSI S1.4-1971), approved April 27, 1971, issued by the American 
National Standards Institute,1 throughout the applicable 
frequency range for either:
---------------------------------------------------------------------------

    1  Copies of the specification may be secured from the 
American National Standards Institute, 1430 Broadway, New York, New 
York, 10018.
---------------------------------------------------------------------------

    (a) A Type 1 sound level meter;
    (b) A Type 2 sound level meter; or
    (c) A Type S sound level meter which has--

[[Page 645]]

    (1) A weighing frequency response;
    (2) Fast dynamic characteristics of its indicating instrument; and
    (3) A relative response level tolerance consistent with those of 
either a Type 1 or Type 2 sound level meter, as specified in section 3.2 
of ANSI S1.4-1971.



Sec. 325.25  Calibration of measurement systems.

    (a)(1) The sound level measurement system must be calibrated and 
appropriately adjusted at one or more frequencies in the range from 250 
to 1,000 Hz at the beginning of each series of measurements and at 
intervals of 5-15 minutes thereafter, until it has been determined that 
the sound level measurement system has not significantly drifted from 
its calibrated level. Once this fact has been established, calibrations 
may be made at intervals once every hour. A significant drift shall be 
considered to have occurred if a 0.3 dB or more excursion is noted from 
the system's predetermined reference calibration level. In the case of 
systems using displays with whole decibel increments, the operator may 
visually judge when the 0.3 dB drift has been met or exceeded.
    (2) The sound level measurement system must be checked periodically 
by its manufacturer, a representative of its manufacturer, or a person 
of equivalent special competence to verify that its accuracy meets the 
manufacturer's design criteria.
    (b) An acoustical calibrator of the microphone coupler type designed 
for the sound level measurement system in use shall be used to calibrate 
the sound level measurement system in accordance with paragraph (a) of 
this section. The calibration must meet or exceed the accuracy 
requirements specified in section 5.4.1 of the American National 
Standard Institute Standard Methods for Measurements of Sound Pressure 
Levels (ANSI S1.13-1971) for field method measurements.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]



Sec. 325.27  Use of a windscreen.

    A properly installed windscreen, of the type recommended by the 
manufacturer of the Sound Level Measurement System, shall be used during 
the time that noise emission measurements are being taken.



      Subpart D--Measurement of Noise Emissions; Highway Operations



Sec. 325.31  Scope of the rules in this subpart.

    The rules in this subpart specify conditions and procedures for 
measurement of the sound level generated by a motor vehicle engaged in a 
highway operation for the purpose of ascertaining whether the motor 
vehicle conforms to the Standards for Highway Operations set forth in 40 
CFR 202.20.



Sec. 325.33  Site characteristics; highway operations.

    (a) Measurement shall be made at a test site which is adjacent to, 
and includes a portion of, a traveled lane of a public highway. A 
microphone target point shall be established on the centerline of the 
traveled lane of the highway, and a microphone location point shall be 
established on the ground surface not less than 31 feet (9.5 m) or more 
than 83 feet (25.3 m) from the microphone target point and on a line 
that is perpendicular to the centerline of the traveled lane of the 
highway and that passes through the microphone target point. In the case 
of a standard test site, the microphone location point is 50 feet (15.2 
m) from the microphone target point. Within the test site is a 
triangular measurement area. A plan view diagram of a standard test 
site, having an open site within a 50-foot (15.2 m) radius of both the 
microphone target point and the microphone location point, is shown in 
Figure 1. Measurements may be made at a test site having smaller or 
greater dimensions in accordance with the rules in subpart F of this 
part.

[[Page 646]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.010

    (b) The test site must be an open site, essentially free of large 
sound-reflecting objects. However, the following objects may be within 
the test site, including the triangular measurement area:
    (1) Small cylindrical objects such as fire hydrants or telephone or 
utility poles.
    (2) Rural mailboxes.
    (3) Traffic railings of any type of construction except solid 
concrete barriers (see Sec. 325.5(c)(4)).
    (4) One or more curbs having a vertical height of 1 foot (.3 m) or 
less.
    (c) The following objects may be within the test site if they are 
outside of the triangular measurement area of the site:
    (1) Any vertical surface (such as billboard), regardless of size, 
having a lower edge more than 15 feet (4.6 m) higher than the surface of 
the traveled lane of the highway.
    (2) Any uniformly smooth sloping surface slanting away from the 
highway (such as a rise in grade alongside the highway) with a slope 
that is less than 45 degrees above the horizontal.
    (3) Any surface slanting away from the highway that is 45 degrees or 
more and not more than 90 degrees above the horizontal, if all points on 
the surface are more than 15 feet (4.6 m) above the surface of the 
traveled lane of the highway.
    (d) The surface of the ground within the measurement area must be 
relatively flat (see Sec. 325.5(c)(5)). The site shall be a ``soft'' 
test site. However, if the site is determined to be ``hard,'' the 
correction factor specified in Sec. 325.75(a) of this part shall be 
applied to the measurement.
    (e) The traveled lane of the highway within the test site must be 
dry, paved with relatively smooth concrete or asphalt, and substantially 
free of--
    (1) Holes or other defects which would cause a motor vehicle to emit 
irregular tire, body, or chassis impact noise; and
    (2) Loose material, such as gravel or sand.
    (f) The traveled lane of the highway on which the microphone target 
point is situated must not pass through a tunnel or underpass located 
within 200 feet (61 m) of that point.

[40 FR 42437, Sept. 12, 1975, as amended at 54 FR 50385, Dec. 6, 1989]



Sec. 325.35  Ambient conditions; highway operations.

    (a)(1) Sound. The ambient A-weighted sound level at the microphone 
location point shall be measured, in the absence of motor vehicle noise 
emanating from within the clear zone, with fast meter response using a 
sound level measurement system that conforms to the rules of 
Sec. 325.23.
    (2) The measured ambient level must be 10 dB(A) or more below that 
level specified in Sec. 325.7, Table 1, which corresponds to the maximum 
permissible sound level reading which is applicable at the test site at 
the time of testing.
    (b) Wind. The wind velocity at the test shall be measured at the 
beginning of each series of noise measurements and at intervals of 5-15 
minutes thereafter until it has been established that the wind velocity 
is essentially constant. Once this fact has been established, wind 
velocity measurements may be made at intervals of once every hour. Noise 
measurements may only be made if the measured wind velocity is 12 mph 
(19.3 kph) or less. Gust wind measurements of up to 20 mph (33.2 kph) 
are allowed.
    (c) Precipitation. Measurements are prohibited under any condition 
of precipitation, however, measurements may be made with snow on the 
ground.

[[Page 647]]

The ground surface within the measurement area must be free of standing 
water.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976; 
41 FR 28267, July 9, 1976]



Sec. 325.37  Location and operation of sound level measurement system; highway operations.

    (a) The microphone of a sound level measurement system that conforms 
to the rules in Sec. 325.23 of this part shall be located at a height of 
not less than 2 feet (.6 m) nor more than 6 feet (1.8 M) above the plane 
of the roadway surface and not less than 3\1/2\ feet (1.1 m) above the 
surface on which the microphone stands. The preferred microphone height 
on flat terrain is 4 feet (1.2 m).
    (b)(1) When the sound level measurement system is hand-held or is 
otherwise monitored by a person located near its microphone, the holder 
must orient himself/herself relative to the highway in a manner 
consistent with the recommendation of the manufacturer of the sound 
level measurement system.
    (2) In no case shall the holder or observer be closer than 2 feet 
(.6 m) from the system's microphone, nor shall he/she locate himself/
herself between the microphone and the vehicle being measured.
    (c) The microphone of the sound level measurement system shall be 
oriented toward the traveled lane of the highway at the microphone 
target point at an angle that is consistent with the recommendation of 
the system's manufacturer. If the manufacturer of the system does not 
recommend an angle of orientation for its microphone, the microphone 
shall be oriented toward the highway at an angle of not less than 70 
degrees and not more than perpendicular to the horizontal plane of the 
traveled lane of the highway at the microphone target point.
    (d) The sound level measurement system shall be set to the A-
weighting network and ``fast'' meter response mode.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]



Sec. 325.39  Measurement procedure; highway operations.

    (a) In accordance with the rules in this subpart, a measurement 
shall be made of the sound level generated by a motor vehicle operating 
through the measurement area on the traveled lane of the highway within 
the test site, regardless of the highway grade, load, acceleration or 
deceleration.
    (b) The sound level generated by the motor vehicle is the highest 
reading observed on the sound level measurement system as the vehicle 
passes through the measurement area, corrected, when appropriate, in 
accordance with the rules in subpart F of this part. (Table 1 in 
Sec. 325.7 lists the range of maximum permissible sound level readings 
for various test conditions.) The sound level of the vehicle being 
measured must be observed to rise at least 6 dB(A) before the maximum 
sound level occurs and to fall at least 6 dB(A) after the maximum sound 
level occurs in order to be considered a valid sound level reading.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]



       Subpart E--Measurement of Noise Emissions; Stationary Test



Sec. 325.51  Scope of the rules in this subpart.

    (a) The rules in this subpart specify conditions and procedures for 
measuring the sound level generated by a vehicle when the vehicle's 
engine is rapidly accelerated from idle to governed speed at wide open 
throttle with the vehicle stationary, its transmission in neutral, and 
its clutch engaged, for the purpose of ascertaining whether the motor 
vehicle conforms to the Standard for Operation Under Stationary Test, 40 
CFR 202.21.
    (b) The rules in this subpart apply only to a motor vehicle that is 
equipped with an engine speed governor.
    (c) Tests conducted in accordance with the rules of this subpart may 
be made on either side of the vehicle.

[[Page 648]]



Sec. 325.53  Site characteristics; stationary test.

    (a)(1) The motor vehicle to be tested shall be parked on the test 
site. A microphone target point shall be established on the ground 
surface of the site on the centerline of the lane in which the motor 
vehicle is parked at a point that is within 3 feet (.9 m) of the 
longitudinal position of the vehicle's exhaust system outlet(s). A 
microphone location point shall be established on the ground surface not 
less than 31 feet (9.5 m) and not more than 83 feet (25.3 m) from the 
microphone target point. Within the test site is a triangular 
measurement area. A plan view diagram of a standard test site, having an 
open site within a 50-foot (15.2 m) radius of both the microphone target 
point and the microphone location point, is shown in Figure 2.
[GRAPHIC] [TIFF OMITTED] TC01AP91.011

    (2) Measurements may be made at a test site having smaller or 
greater dimensions in accordance with the rules in subpart F of this 
part.
    (b) The test site must be an open site, essentially free of large 
sound-reflecting objects. However, the following objects may be within 
the test site, including the triangular measurement area:
    (1) Small cylindrical objects such as fire hydrants or telephone or 
utility poles.
    (2) Rural mailboxes.
    (3) Traffic railings of any type of construction except solid 
concrete barriers (see Sec. 325.5(c)(4)).
    (4) One or more curbs having a height of 1 foot (.3 m) or less.
    (c) The following objects may be within the test site if they are 
outside of the triangular measurement area of the site:
    (1) Any vertical surface, regardless of size (such as a billboard), 
having a lower edge more than 15 feet (4.6 m) above the ground.
    (2) Any uniformly smooth surface slanting away from the vehicle with 
a slope that is less than 45 degrees above the horizontal.
    (3) Any surface slanting away from the vehicle that is 45 degrees or 
more and not more than 90 degrees above the horizontal, if all points on 
the surface are more than 15 feet (4.6 m) above the surface of the 
ground in the test site.
    (d) The surface of the ground within the measurement area must be 
relatively flat. (See Sec. 325.5(c)(5)). The site shall be a ``hard'' 
site. However, if the site is determined to be ``soft,'' the correction 
factor specified in Sec. 325.75(b) of this part shall be applied to the 
measurement.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976; 
54 FR 50385, Dec. 6, 1989]



Sec. 325.55  Ambient conditions; stationary test.

    (a)(1) Sound. The ambient A-weighted sound level at the microphone 
location point shall be measured, in the absence of motor vehicle noise 
emanating from within the clear zone, with fast meter response using a 
sound level measurement system that conforms to the rules of 
Sec. 325.23.
    (2) The measured ambient level must be 10 dB(A) or more below that 
level specified in Sec. 325.7, Table 1, which corresponds to the maximum 
permissible sound level reading which is applicable at the test site at 
the time of testing.
    (b) Wind. The wind velocity at the test site shall be measured at 
the beginning of each series of noise measurements and at intervals of 
5-15 minutes thereafter until it has been established that the wind 
velocity is essentially constant. Once this fact has been established, 
wind velocity measurements may be made at intervals of once every hour. 
Noise measurements may only be made if the measured wind velocity is 12 
mph (19.3 kph) or less. Gust wind measurements of up to 20 mph (33.2 
kph) are allowed.

[[Page 649]]

    (c) Precipitation. Measurements are prohibited under any conditions 
of precipitation, however, measurements may be made with snow on the 
ground. The ground within the measurement area must be free of standing 
water.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 28267, July 9, 1976]



Sec. 325.57  Location and operation of sound level measurement systems; stationary test.

    (a) The microphone of a sound level measurement system that conforms 
to the rules in Sec. 325.23 shall be located at a height of not less 
than 2 feet (.6 m) nor more than 6 feet (1.8 m) above the plane of the 
roadway surface and not less than 3\1/2\ feet (1.1 m) above the surface 
on which the microphone stands. The preferred microphone height on flat 
terrain is 4 feet (1.2 m).
    (b) When the sound level measurement system is hand-held or 
otherwise monitored by a person located near its microphone, the holder 
must orient himself/herself relative to the highway in a manner 
consistent with the recommendation of the manufacturer of the sound 
level measurement system. In no case shall the holder or observer be 
closer than 2 feet (.6 m) from the system's microphone, nor shall he/she 
locate himself/herself between the microphone and the vehicle being 
measured.
    (c) The microphone of the sound level measurement system shall be 
oriented toward the vehicle at an angle that is consistent with the 
recommendation of the system's manufacturer. If the manufacturer of the 
system does not recommend an angle of orientation for its microphone, 
the microphone shall be oriented at an angle of not less than 70 degrees 
and not more than perpendicular to the horizontal plane of the test site 
at the microphone target point.
    (d) The sound level measurement system shall be set to the A-
weighting network and ``fast'' meter response mode.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]



Sec. 325.59  Measurement procedure; stationary test.

    In accordance with the rules in this subpart, a measurement shall be 
made of the sound level generated by a stationary motor vehicle as 
follows:
    (a) Park the motor vehicle on the test site as specified in 
Sec. 325.53 of this subpart. If the motor vehicle is a combination 
(articulated) vehicle, park the combination so that the longitudinal 
centerlines of the towing vehicle and the towed vehicle or vehicles are 
in substantial alinement.
    (b) Turn off all auxiliary equipment which is installed on the motor 
vehicle and which is designed to operate under normal conditions only 
when the vehicle is operating at a speed of 5 mph (8 kph) or less. 
Examples of such equipment include cranes, asphalt spreaders, liquid or 
slurry pumps, auxiliary air compressors, welders, and trash compactors.
    (c) If the motor vehicle's engine radiator fan drive is equipped 
with a clutch or similar device that automatically either reduces the 
rotational speed of the fan or completely disengages the fan from its 
power source in response to reduced engine cooling loads, park the 
vehicle before testing with its engine running at high idle or any other 
speed the operator may choose, for sufficient time but not more than 10 
minutes, to permit the engine radiator fan to automatically disengage 
when the vehicle's noise emissions are measured under stationary test.
    (d) With the motor vehicle's transmission in neutral and its clutch 
engaged, rapidly accelerate the vehicle's engine from idle to its 
maximum governed speed with wide open throttle. Return the engine's 
speed to idle.
    (e) Observe the maximum reading on the sound level measurement 
system during the time the procedures specified in paragraph (d) of this 
section are followed. Record that reading, if the reading has not been 
influenced by extraneous noise sources such as motor vehicles operating 
on adjacent roadways.
    (f) Repeat the procedures specified in paragraphs (d) and (e) of 
this section until the first two maximum sound level readings that are 
within 2 dB(A)

[[Page 650]]

of each other are recorded. Numerically average those two maximum sound 
level readings. When appropriate, correct the average figure in 
accordance with the rules in subpart F of this part.
    (g) The average figure, corrected as appropriate, contained in 
accordance with paragraph (f) of this section, is the sound level 
generated by the motor vehicle for the purpose of determining whether it 
conforms to the Standard for Operation Under Stationary Test, 40 CFR 
202.21. (Table 1 in Sec. 325.7 lists the range of maximum permissible 
sound level readings for various test conditions.)

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10226, Mar. 10, 1976]



                      Subpart F--Correction Factors



Sec. 325.71  Scope of the rules in this subpart.

    (a) The rules in this subpart specify correction factors which are 
added to, or subtracted from, the reading of the sound level generated 
by a motor vehicle, as displayed on a sound level measurement system, 
during the measurement of the motor vehicle's sound level emissions at a 
test site which is not a standard site.
    (b) The purpose of adding or subtracting a correction factor is to 
equate the sound level reading actually generated by the motor vehicle 
to the sound level reading it would have generated if the measurement 
had been made at a standard test site.



Sec. 325.73  Microphone distance correction factors.1
---------------------------------------------------------------------------

    1  Table 1, in Sec. 325.7 is a tabulation of the maximum 
allowable sound level readings taking into account both the distance 
correction factors contained in Sec. 325.73 and the ground surface 
correction factors contained in Sec. 325.75.
---------------------------------------------------------------------------

    If the distance between the microphone location point and the 
microphone target point is other than 50 feet (15.2 m), the maximum 
observed sound level reading generated by the motor vehicle in 
accordance with Sec. 325.39 of this part or the numerical average of the 
recorded maximum observed sound level readings generated by the motor 
vehicle in accordance with Sec. 325.59 of this part shall be corrected 
as specified in the following table:

                  Table 2--Distance Correction Factors
------------------------------------------------------------------------
                                                               The value
                                                               dB(A) to
                                                              be applied
                                                                to the
  If the distance between the microphone location point and    observed
               the microphone target point is                    sound
                                                                 level
                                                                reading
                                                                 is--
------------------------------------------------------------------------
31 feet (9.5 m) or more but less than 35 feet (10.7 m)......          -4
35 feet (10.7 m) or more but less than 39 feet (11.9 m).....          -3
39 feet (11.9 m) or more but less than 43 feet (13.1 m).....          -2
43 feet (13.1 m) or more but less than 48 feet (14.6 m).....          -1
48 feet (14.6 m) or more but less than 58 feet (17.7 m).....           0
58 feet (17.7 m) or more but less than 70 feet (21.3 m).....          +1
70 feet (21.3 m) or more but less than 83 feet (25.3 m).....          +2
------------------------------------------------------------------------


[40 FR 42437, Sept. 12, 1975, as amended at 54 FR 50385, Dec. 6, 1989]



Sec. 325.75  Ground surface correction factors.1
---------------------------------------------------------------------------

    1 Table 1, in Sec. 325.7 is a tabulation of the maximum 
allowable sound level readings taking into account both the distance 
correction factors contained in Sec. 325.73 and the ground surface 
correction factors contained in Sec. 325.75.
---------------------------------------------------------------------------

    (a) Highway operations. When measurements are made in accordance 
with the rules in subpart D of this part upon a test site which is 
``hard,'' a correction factor of 2 dB(A) shall be subtracted from the 
maximum observed sound level reading generated by the motor vehicle to 
determine whether the motor vehicle conforms to the Standards for 
Highway Operations, 40 CFR 202.20.
    (b) Stationary Test. When measurements are made in accordance with 
the rules in subpart E of this part upon a test site which is ``soft,'' 
a correction factor of 2 dB(A) shall be added to the numerical average 
of the recorded maximum observed sound level readings generated by the 
motor vehicle to determine whether the motor vehicle conforms to the 
Standard for Operation Under Stationary Test, 40 CFR 202.21.

[[Page 651]]



Sec. 325.77  Computation of open site requirements--nonstandard sites.

    (a) If the distance between the microphone location point and the 
microphone target point is other than 50 feet (15.2 m), the test site 
must be an open site within a radius from both points which is equal to 
the distance between the microphone location point and the microphone 
target point.
    (b) Plan view diagrams of nonstandard test sites are shown in 
Figures 3 and 4. Figure 3 illustrates a test site which is larger than a 
standard test site and is based upon a 60-foot (18.3 m) distance between 
the microphone location point and the microphone target point. (See 
Sec. 325.79(b)(1) for an example of the application of the correction 
factor to a sound level reading obtained at such a site.) Figure 4 
illustrates a test site which is smaller than a standard test site and 
is based upon a 35-foot (10.7 m) distance between the microphone 
location point and the microphone target point. (See Sec. 325.79(b)(2) 
for an example of the application of the correction factor to a sound 
level reading obtained at such a site.)
[GRAPHIC] [TIFF OMITTED] TC01AP91.012

[GRAPHIC] [TIFF OMITTED] TC01AP91.013



Sec. 325.79  Application of correction factors.

    (a) If two correction factors apply to a measurement they are 
applied cumulatively.
    (b) The following examples illustrate the application of correction 
factors to sound level measurement readings:
    (1) Example 1--Highway operations. Assume that a motor vehicle 
generates a maximum observed sound level reading of 86 dB(A) during a 
measurement in accordance with the rules in subpart D of this part. 
Assume also that the distance between the microphone location point and 
the microphone target point is 60 feet (18.3 m) and that the measurement 
area of the test site is acoustically ``hard.'' The corrected sound 
level generated by the motor vehicle would be 85 dB(A), calculated as 
follows:

 86 dB(A)  Uncorrected reading
+1 dB(A)  Distance correction factor
-2 dB(A)  Ground surface correction factor
__________
 85 dB(A)  Corrected reading

    (2) Example 2--Stationary test. Assume that a motor vehicle 
generates maximum sound level readings which average 88 dB(A) during a 
measurement in accordance with the rules in subpart E of this part. 
Assume also that the distance between the microphone location point and 
the microphone target point is 35 feet (10.7 m), and that the 
measurement area of the test site is acoustically ``soft.'' The 
corrected sound level generated by the motor vehicle

[[Page 652]]

would be 87 dB(A), calculated as follows:

 88 dB(A)  Uncorrected average of readings
-3 dB(A)  Distance correction factor
+2 dB(A)  Ground surface correction factor
__________

 87 dB(A)  Corrected reading



                  Subpart G--Exhaust Systems and Tires



Sec. 325.91  Exhaust systems.

    A motor vehicle does not conform to the visual exhaust system 
inspection requirements, 40 CFR 202.22, of the Interstate Motor Carrier 
Noise Emission Standards, if inspection of the exhaust system of the 
motor vehicle discloses that the system--
    (a) Has a defect which adversely affects sound reduction, such as 
exhaust gas leaks or alteration or deterioration of muffler elements, 
(small traces of soot on flexible exhaust pipe sections shall not 
constitute a violation of this subpart);
    (b) Is not equipped with either a muffler or other noise dissipative 
device, such as a turbocharger (supercharger driven by exhaust gases); 
or
    (c) Is equipped with a cut-out, by-pass, or similar device, unless 
such device is designed as an exhaust gas driven cargo unloading system.



Sec. 325.93  Tires.

    (a) Except as provided in paragraph (b) of this section, a motor 
vehicle does not conform to the visual tire inspection requirements, 40 
CFR 202.23, of the Interstate Motor Carrier Noise Emissions Standards, 
if inspection of any tire on which the vehicle is operating discloses 
that the tire has a tread pattern composed primarily of cavities in the 
tread (excluding sipes and local chunking) which are not vented by 
grooves to the tire shoulder or circumferentially to each other around 
the tire.
    (b) Paragraph (a) of this section does not apply to a motor vehicle 
operated on a tire having a tread pattern of the type specified in that 
paragraph, if the motor carrier who operates the motor vehicle 
demonstrates to the satisfaction of the Associate Administrator for 
Motor Carriers or his/her designee that either--
    (1) The tire did not have that type of tread pattern when it was 
originally manufactured or newly remanufactured; or
    (2) The motor vehicle generates a maximum sound level reading of 90 
dB(A) or less when measured at a standard test site for highway 
operations at a distance of 15.3 meters (50 feet) and under the 
following conditions:
    (i) The measurement must be made at a time and place and under 
conditions specified by the Associate Administrator or his/her designee.
    (ii) The motor vehicle must be operated on the same tires that were 
installed on it when the inspection specified in paragraph (a) of this 
section occurred.
    (iii) The motor vehicle must be operated on a highway having a 
posted speed limit of more than 56.3 kph (35 mph).
    (iv) The sound level measurement must be made while the motor 
vehicle is operating at the posted speed limit.

[40 FR 42437, Sept. 12, 1975, as amended at 60 FR 38743, July 28, 1995]

[[Page 653]]





         SUBCHAPTER B--FEDERAL MOTOR CARRIER SAFETY REGULATIONS


PART 350--COMMERCIAL MOTOR CARRIER SAFETY ASSISTANCE PROGRAM--Table of Contents




Sec.
350.1  Purpose.
350.3  Definitions.
350.5  Policy.
350.7  Objective.
350.9  Conditions for basic grant approval.
350.11  Adopting and enforcing compatible laws and regulations.
350.13  State Enforcement Plan (SEP) for a basic grant.
350.15  Certification of compliance by State.
350.17  Maintenance of effort.
350.19  Grant application submission.
350.21  Distribution of funds.
350.23  Acceptance of State plan.
350.25  Effect of failure to submit a satisfactory State plan.
350.27  Procedure for withdrawal of approval.
350.29  Eligible costs.

Appendix A to Part 350--Guidelines To Be Used in Preparing State 
          Enforcement Plan
Appendix B to Part 350--Form of State Certification
Appendix C to Part 350--Tolerance Guidelines for Adopting Compatible 
          State Rules and Regulations

    Authority: 49 U.S.C. 31101-31104, 31108, 31136, 31140-31141, 31161, 
31310-31311, 31502; and 49 CFR 1.48.

    Source: 57 FR 40956, Sept. 8, 1992, unless otherwise noted.



Sec. 350.1  Purpose.

    The purpose of this part is to prescribe requirements for Federal 
assistance to States for programs to adopt and enforce Federal rules, 
regulations, standards and orders applicable to commercial motor vehicle 
safety or compatible State rules, regulations, standards and orders.



Sec. 350.3  Definitions.

    As used in this part:
    Administrator means the Federal Highway Administrator.
    Basic allocation means only those Federal funds distributed by the 
allocation formula, or the minimum funding level specified in this part.
    Basic grant means the funds available to a State for carrying out an 
approved State Enforcement Plan (SEP), which include, but are not 
limited to:
    (1) Recruiting and training of personnel, payment of salaries and 
fringe benefits, the acquisition and maintenance of equipment except 
those at fixed weigh scales for the purposes of weight enforcement, and 
reasonable overhead costs needed to operate the program;
    (2) Commencement and conduct of expanded systems of enforcement;
    (3) Establishment of an effective out-of-service and compliance 
enforcement system; and
    (4) Retraining and replacing staff and equipment.
    Commercial motor vehicle means any self-propelled or towed vehicle 
used on the public highways in commerce to transport passengers or 
property when:
    (1) The vehicle has a gross vehicle weight rating or gross 
combination weight rating of 10,001 or more pounds; or
    (2) The vehicle is designed to transport more than 15 passengers, 
including the driver; or
    (3) The vehicle is used in the transportation of hazardous materials 
in quantities requiring placarding under regulations issued by the 
Secretary of Transportation pursuant to the authority of the Hazardous 
Material Transportation Act, as amended (49 U.S.C. app. 1801 et seq.).
    Compatible or compatibility means, in relation to State laws and 
regulations pertaining to commercial motor vehicle safety, having the 
same effect as the Federal Motor Carrier Safety Regulations (FMCSR) or 
Federal Hazardous Materials Regulations (FHMR) in that those State rules 
are either identical or fall within the tolerance guidelines in appendix 
C to this part.
    Motor carrier has the same meaning such term has in Sec. 390.5.
    State means a State of the United States, the District of Columbia, 
the Commonwealth of Puerto Rico, the Virgin Islands, American Samoa,

[[Page 654]]

Guam, or the Commonwealth of the Northern Marianas.

[57 FR 40956, Sept. 8, 1992, as amended at 60 FR 38743, July 28, 1995]



Sec. 350.5  Policy.

    The Federal Highway Administration (FHWA) policy is to encourage 
each State to enforce uniform motor carrier safety and hazardous 
materials regulations for both interstate and intrastate motor carriers 
and drivers. The requirements for compliance with safety standards in 
one State should be compatible with the requirements in another State. A 
coordinated program of inspection and enforcement activities is needed 
to avoid duplication of effort, to promote compliance with uniform 
safety requirements by all types of motor carriers, and to provide a 
basis for sanctioning carriers for poor safety performance.



Sec. 350.7  Objective.

    The objective of the Motor Carrier Safety Assistance Program (MCSAP) 
is to reduce the number and severity of accidents and hazardous 
materials incidents involving commercial motor vehicles by substantially 
increasing the level and effectiveness of enforcement activity and the 
likelihood that safety defects, driver deficiencies and unsafe carrier 
practices will be detected and corrected.



Sec. 350.9  Conditions for basic grant approval.

    (a) The State shall agree to adopt, and to assume responsibility for 
enforcing the Federal Motor Carrier Safety Regulations (FMCSR) (49 CFR 
parts 390 through 399, except as may be determined by the Administrator 
to be inapplicable to a State enforcement program) including highway 
related portions of the Federal Hazardous Materials Regulations (FHMR) 
(49 CFR parts 107, 171-173, 177, 178 and 180), or compatible State 
rules, regulations, standards, and orders applicable to motor carrier 
safety, including highway transportation of hazardous materials.
    (b) The State shall submit a State Enforcement Plan (SEP) for the 
conduct of an effective safety program. Such plan, upon acceptance by 
the FHWA, will serve as the basis for monitoring and evaluating 
performance of the State under the grant, and will be resubmitted, with 
revisions as necessary, in applications for reapproval in following 
years.
    (c) The SEP shall designate the lead State agency responsible for 
administering the plan for the State.
    (d) The agencies named to perform functions under the plan shall 
have the legal authority, resources, and qualified personnel necessary 
to enforce the FMCSR and FHMR or compatible State rules at the time the 
State implements the approved SEP.
    (e) The State shall allocate adequate funds for the administration 
of the SEP and the enforcement of the FMCSR and FHMR or compatible State 
rules.
    (f) State laws shall provide for right of entry and inspection 
adequate to carry out the SEP and provide that the State will grant 
maximum reciprocity for inspections conducted pursuant to the North 
American Uniform Driver/Vehicle Inspection standard, through the use of 
a nationally accepted system allowing ready identification of previously 
inspected commercial motor vehicles.
    (g) The State shall certify that it will maintain its aggregate 
expenditure of funds by the State and political subdivisions thereof, 
exclusive of Federal funds, for commercial motor vehicle safety programs 
and related programs eligible for funding under this part, as required 
by Sec. 350.17 of this part.
    (h) The State shall agree to prepare and submit all reports required 
in connection with the SEP or other conditions of the grant to the FHWA 
upon request.
    (i) The lead State agency shall agree to adopt such uniform 
reporting requirements and use such uniform forms to record work 
activities performed under the SEP as may be established and required by 
the FHWA.
    (j) The State shall require registrants of commercial motor vehicles 
to declare, at the time of registration, knowledge of the FMCSR and FHMR 
or compatible State rules, as applicable.
    (k) The statutory authority of the State to regulate motor carriers 
shall extend to private motor carriers of

[[Page 655]]

property as well as for-hire motor carriers.
    (l) The State shall ensure that commercial motor vehicle size and 
weight enforcement, drug interdiction, and traffic enforcement 
activities funded under this program will not diminish the effectiveness 
of other commercial motor vehicle safety enforcement programs.
    (m) The State shall take appropriate steps to ensure that fines 
imposed and collected by the State for violations will be reasonable and 
appropriate and, to the maximum extent practicable, will seek to 
implement into law and practice the recommended fine schedule published 
by the Commercial Vehicle Safety Alliance.
    (n) The State will participate in the SAFETYNET no later than 
January 1, 1994.
    (o) The State will undertake efforts to emphasize and improve 
enforcement of State and local traffic laws as they pertain to 
commercial motor vehicle safety.
    (p) The State will ensure comprehensive enforcement and reinspection 
of vehicles and drivers placed out of service to verify compliance with 
lawful orders and the correction of all violations cited on roadside 
inspection reports.



Sec. 350.11  Adopting and enforcing compatible laws and regulations.

    (a) No funds shall be awarded under this part to States that do not 
adopt and enforce laws and regulations that are compatible with the 
FMCSR (except as may be determined by the Administrator to be 
inapplicable) and the FHMR, unless otherwise provided in the Tolerance 
Guidelines (appendix C to this part).
    (b) The State shall conduct an annual review of all its laws and 
regulations pertaining to commercial motor vehicle safety to determine 
their compatibility with the FMCSR and FHMR. The review shall be carried 
out in accordance with part 355 of this subchapter. To support a State's 
contention of compatibility, the State may submit opinions from the 
State's Attorney General or other chief legal officer with respect to 
the effect and enforceability of State laws, rules, regulations, 
standards, or orders in relation to the FMCSR and FHMR.
    (c) State laws and regulations pertaining to commercial motor 
vehicle safety in interstate commerce are also subject to preemption 
under the provisions of Sec. 355.25 of this chapter.
    (d) State laws and regulations that are not identical to the FMCSR 
or FHMR will be deemed compatible for purposes of this part only if they 
are within the variances permitted under the tolerance guidelines in 
appendix C of this part.
    (e) No State shall implement any changes to a State law or 
regulation which makes that or any other law or regulation incompatible 
under this section.
    (f) As soon as practical after the effective date of any amendment 
to the FMCSR or FHMR, but no longer than three years, the applicable 
State law or regulation must be adopted or amended in such manner as 
makes it compatible with the amended Federal provision.
    (g) Any State may apply for a variance related to State laws, 
regulations or enforcement practices pertaining to commercial motor 
vehicle safety in intrastate commerce, which shall be granted if the 
State can satisfactorily demonstrate that the State law, regulation or 
enforcement practice achieves substantially the same purpose as the 
similar Federal rule, does not apply to interstate commerce, and has no 
adverse impact on safety.
    (h) Upon a determination by the FHWA, on its own initiative or after 
determination initiated at the request of any person, including a State, 
that a State has failed to comply with the requirements of this part, or 
that a State law, regulation or enforcement practice pertaining to 
commercial motor vehicle safety in either interstate or intrastate 
commerce is incompatible with the FMCSR or HMTR, a proceeding under 
Sec. 350.27 for withdrawal of approval of a State plan may be initiated. 
This proceeding shall be in addition to or in conjunction with any 
action initiated under Sec. 355.25 of this chapter.
    (i) Any decision regarding the compatibility of a State law or 
regulation

[[Page 656]]

with the FHMR that requires an interpretation will be referred to the 
Research and Special Programs Administration for such interpretation 
before proceeding under Sec. 350.27.

[57 FR 40956, Sept. 8, 1992, as amended at 59 FR 5264, Feb. 3, 1994]



Sec. 350.13  State Enforcement Plan (SEP) for a basic grant.

    (a) As a condition of the basic grant the State shall submit its 
proposed SEP or update thereof to the FHWA division office.
    (b) The SEP shall:
    (1) Provide an assessment of the commercial motor carrier and 
highway hazardous materials safety problems within the State;
    (2) Identify State penalty structures applicable to enforcement 
activities covered in the SEP, evaluate their reasonableness and 
appropriateness, and indicate the steps being taken to approximate the 
published Commercial Vehicle Safety Alliance (CVSA) fine schedule, if 
necessary.
    (3) Demonstrate that the State has authority to regulate and to 
enforce its regulations with respect to private carriers of property as 
well as for-hire motor carriers; and
    (4) Describe in detail the objectives sought to be achieved, the 
resources to be employed, the work items to be performed, the unit costs 
where feasible and the methods to be used to measure effectiveness. 
Specifically, the SEP shall:
    (i) Identify other agencies participating in the plan and describe 
the roles of each;
    (ii) Identify the number and category of personnel employed and the 
specialized training provided;
    (iii) Include roadside inspection activity at such times and 
locations as will assure comprehensive enforcement;
    (iv) Describe the proposed reinspection activities that would ensure 
motor carriers had made timely corrections of the out-of-service defects 
and other safety violations cited on the roadside inspection reports and 
that out-of-service drivers came into compliance with the regulations. 
These reinspection activities shall include covert operations to 
determine the extent of compliance with the State's out-of-service 
orders. State enforcement activities to remedy out-of-service violations 
shall depend on the extent of the verification problem and may include, 
but are not limited to: on-site reinspection activities; covert 
surveillance activities; safety and compliance review programs; and 
other State proposed activities approved by the FHWA; and
    (v) Describe the tracking system to be used by the State to ensure 
that the motor carrier has certified to the correction of the safety 
violations and returned the inspection report to the issuing agency.
    (5) Be coordinated with the State highway safety plan under 23 
U.S.C. 402.
    (6) Describe the methods the State will use to promote:
    (i) Removing impaired drivers from the highways through enforcement 
of regulations on the use of alcohol and controlled substances and by 
ensuring ready roadside access to alcohol detection and measuring 
equipment;
    (ii) Appropriate training to its personnel on the recognition of 
drivers impaired by alcohol or controlled substances;
    (iii) Enforcement of requirements relating to the licensing of 
commercial motor vehicle drivers, including checking the status of 
commercial driver's licenses;
    (iv) Improved enforcement of hazardous materials transportation 
regulation by encouraging more inspections of shipper facilities and 
comprehensive inspections of hazardous materials loads;
    (v) Effective controlled substance interdiction activities and 
training on strategies for carrying out such activities; and
    (vi) Effective use of trained and qualified officers and employees 
of political subdivisions and local governments, under the direction and 
supervision of the lead agency, in enforcement of commercial motor 
vehicle safety and hazardous materials transportation safety.
    (7) Document, if funds are used for vehicle size and weight, 
alcohol/controlled substance checks, drug interdiction and/or traffic 
law enforcement, that such activities are carried out in

[[Page 657]]

conjunction with an appropriate type of vehicle or driver inspection.
    (c) Guidelines for the preparation of the SEP are provided in 
appendix A to this part.

(Approved by the Office of Management and Budget under control number 
2125-0536)



Sec. 350.15  Certification of compliance by State.

    The FHWA will accept a certification, executed by the Governor, the 
State's Attorney General or other State official specifically designated 
by the Governor, in the form provided in appendix B to this part, that 
the State is in compliance with the conditions of Sec. 350.9 of this 
part. The certification shall accompany the SEP and be made part 
thereof. The certification shall be supplemented by a copy of any State 
law, regulation or forms pertaining to commercial motor carrier safety 
adopted since the State's last certification, if any, which bear on the 
items listed in the certification. The certificate should acknowledge 
that activities described in Sec. 350.9 will be performed.



Sec. 350.17  Maintenance of effort.

    (a) No SEP shall be approved or grant awarded in the absence of a 
commitment by the State to maintain the aggregate expenditure of funds 
by the State for commercial motor vehicle and highway hazardous 
materials safety programs as provided in this section.
    (b) The State shall certify each year that the level of State 
funding for the 12-month period covered in the SEP for motor carrier and 
highway hazardous materials safety, size and weight, traffic safety and 
drug interdiction enforcement purposes shall not fall below the average 
aggregate expenditure of funds, exclusive of Federal funds and any State 
matching funds used to receive Federal funding, for those purposes in 
the base period of three full fiscal years prior to December 18, 1991. 
The State may elect to use either Federal fiscal years or State fiscal 
years at its option.
    (c) In determining whether a State has complied with this 
maintenance of effort commitment, expenditures of State funds for 
federally sponsored demonstration or pilot programs need not be included 
in aggregating expenditures in the base period.
    (d) For the purpose of determining the State's expenditures in the 
base period, only costs associated with activities performed by State or 
local agencies currently receiving or projected to receive funds under 
this part must be counted, and only those activities which meet the most 
current requirements for funding eligibility under the grant program 
must be included.
    (e) If it is determined that a State has not maintained its level of 
expenditures as certified, the State shall be notified of the 
deficiency. Upon receipt of such notification, the State shall have the 
opportunity to submit information to substantiate the certification.
    (f) If, after consideration of all information, it is finally 
determined that a State has failed to meet its maintenance of effort 
requirement, an amount equal to the deficiency shall be deducted from 
the State's current allocation. That amount will then be available for 
reallocation under Sec. 350.21 of this part.



Sec. 350.19  Grant application submission.

    A State shall submit its application to the FHWA division office on 
or before August 1 of each year. The time for submitting a plan may be 
extended for a period not to exceed 30 calendar days for good cause 
shown. Grants are approved for the fiscal year for which application is 
made. Failure of a State to submit a plan for any given fiscal year will 
preclude consideration of grant approval for that State for that year.



Sec. 350.21  Distribution of funds.

    (a) The Federal share payable to reimburse States for eligible costs 
incurred in the administration of a commercial motor carrier safety 
program shall not exceed 80 percent.
    (b) The FHWA will, upon request, waive the requirement for matching 
funds to be provided by the Virgin Islands, American Samoa, Guam, or the 
Commonwealth of the Northern Marianas.
    (c) The funds available to any State for a basic grant in any one 
year shall

[[Page 658]]

be distributed according to an allocation formula based on the most 
recent reliable data concerning the following factors in equal 
proportion:
    (1) Road mileage (all highways);
    (2) Vehicle miles travelled (all vehicles);
    (3) Number of commercial vehicles over 10,000 pounds (gross vehicle 
weight rating);
    (4) Population (most current census); and
    (5) Special fuel consumption (net after reciprocity adjustment).
    (d) Subject to the availability of funds, the individual allocations 
shall be adjusted so that no State qualifying for an award shall be 
allocated more than a ceiling amount, which shall be no less than the 
ceiling amount used in the previous year's distribution process. The 
ceiling shall be increased each fiscal year in proportion to the amount 
of increase in the funds available for distribution in that fiscal year. 
The allocation formula shall also be adjusted so that no State 
qualifying for an award shall be allocated:
    (1) Less than the basic allocation of funds received in the 1991 
fiscal year, provided the SEP continues to support that level of 
funding; or
    (2) Less than 0.5 percent of the total amount allocated to all 
States (or $250,000, whichever is greater).
    (3) Beginning on October 1, 1994, and each October 1 thereafter, 
more than 50 percent of the basic formula allocation provided for in 
this section if any such State has adopted and is enforcing compatible 
regulations applicable to interstate transportation, but has not adopted 
or is not enforcing compatible regulations applicable to intrastate 
transportation.
    (e) Funds will be allocated to States in recognition of innovative, 
successful, cost efficient or cost effective programs to promote 
commercial motor vehicle safety and hazardous materials transportation 
safety and provide incentives to States that conduct traffic safety 
enforcement activities done in conjunction with motor carrier safety 
inspections. The allocations will be done in three separate grants:
    (1) Basic grants--funds used to perform commercial vehicle safety 
activities such as driver/vehicle inspections, safety reviews and 
compliance reviews. Allocation for basic grants will be made pursuant to 
paragraphs (c) and (d) of this section. Unused basic allocations will be 
periodically redistributed. Any eligible MCSAP activity can be included 
under the State's basic grant activities.
    (2) Supplemental grants--funds used to conduct additional activities 
or innovative programs demonstrated to be effective and cost-efficient, 
and may include emphasis areas established by policy in consultation 
with the States. To be eligible for a supplemental grant, a State must 
qualify for a basic grant. Unused supplemental grant funds will be 
periodically redistributed among those States that are able to 
demonstrate innovative, cost-effective purposes consistent with the 
objectives of this part.
    (3) Special grants--funds used by States to meet the conditions in 
Sec. 350.9 regarding eligibility requirements for basic grants; or for 
States already participating in the basic program, to develop the 
prerequisites for expanded activities not presently part of their basic 
programs. Special grants are also available for research or data 
collection activities, or for projects specifically identified by 
statute, as, for example, commercial driver's license enforcement. To be 
eligible for a special grant, a State need not qualify for a basic 
grant.
    (f) Notwithstanding any other provisions of this section, funds 
which have not been awarded to States under application of the 
allocation formula and the provisions for additional allocations 
contained in this section may be redistributed at the discretion of the 
Administrator. Subject to the availability of funds, the primary purpose 
of any such redistribution is to prevent a decrease in the amount of 
Federal funds used by particular States in previous years to support 
effective and innovative programs. Preference will be given to those 
States which have maintained effective federally assisted programs at 
levels beyond that possible if limited to formula allocations.
    (g) The funds obligated by a State will remain available to the 
State for a period of the fiscal year in which obligated and the next 
full fiscal year. Any

[[Page 659]]

unexpended obligations which are to be carried over to the next fiscal 
year must be accounted for in the new SEP for that fiscal year. Funds 
must be expended in the order in which they are obligated.

[57 FR 40956, Sept. 8, 1992, as amended at 59 FR 5264, Feb. 3, 1994]



Sec. 350.23  Acceptance of State plan.

    (a) Each plan will be reviewed for content, after which the State 
will be notified of its acceptance or rejection.
    (b) The time for submitting a plan may be extended for a period not 
to exceed 30 calendar days for good cause shown.
    (c) Each State plan shall include an analysis of the effectiveness 
of its prior year's plan in reaching the stated objectives. The State 
will be advised whether any changes are needed in the plan or in its 
intended objectives.



Sec. 350.25  Effect of failure to submit a satisfactory State plan.

    (a) A State will be notified in writing that approval of the plan is 
being withheld along with the reasons for such action, if:
    (1) It is determined that a plan does not meet the requirements 
described in Secs. 350.9 and 350.13; or
    (2) It is determined that an SEP is not adequate to ensure effective 
enforcement of the FMCSR and FHMR; or compatible State rules.
    (b) The State shall have 30 calendar days from the date of the 
notice to modify the plan and resubmit it for approval.



Sec. 350.27  Procedure for withdrawal of approval.

    (a) If a State is not performing according to an approved plan or a 
State is not adequately enforcing the FMCSR and FHMR, or compatible 
State rules, the Administrator shall issue a written notice of proposed 
determination of nonconformity to the Governor of the State or the 
official designated in the plan. The notice shall state the reasons for 
the proposed determination and inform the State that it may reply in 
writing within 30 calendar days from the date of the notice. The reply 
should address the deficiencies cited in the notice and provide 
documentation as necessary.
    (b) The Administrator's decision, after notice and opportunity for 
comment, will constitute the final decision of the FHWA. An adverse 
decision will result in immediate cessation of Federal participation in 
the plan.
    (c) If the State does not respond to a notice of proposed 
determination of nonconformity as provided in paragraph (a) of this 
section, the proposed determination shall become the Administrator's 
final decision with the same effect as paragraph (b) of this section.
    (d) Any State aggrieved by an adverse decision issued under this 
part may seek judicial review pursuant to 5 U.S.C. ch. 7.



Sec. 350.29  Eligible costs.

    (a) Work must be performed pursuant to an acceptable State plan in 
order for the cost of that work to be eligible for reimbursement. The 
eligible costs under the grant program are comprised of the allowable 
direct costs incident to the State's performance and its allocable 
portion of allowable indirect costs, less applicable credits.
    (b) The primary functions to be performed under a basic grant are 
uniform roadside inspections and safety and compliance reviews with 
follow-up enforcement actions or compliance measures. Consequently, the 
major cost will be compensation and expenses of the personnel required 
to perform these functions.
    (c) Subject to paragraph (c)(5) of this section, funds may also be 
used for:
    (1) Enforcement of size and weight limitations;
    (2) Detecting the unlawful presence of controlled substances in a 
commercial motor vehicle or on the person of any occupant (including the 
operator) of such a vehicle;
    (3) Enforcement of State traffic laws and regulations designed to 
promote safe operation of commercial motor vehicles; and
    (4) Sanitary food transportation inspections pursuant to 49 U.S.C. 
2808.
    (5) Provided: these activities are carried out in conjunction with 
an appropriate type of inspection for enforcement of safety regulations. 
Size and

[[Page 660]]

weight enforcement must be conducted at locations other than fixed 
weight facilities, at specific geographical locations where the weight 
of the vehicle can significantly affect the safe operation of the 
vehicle, or at seaports where intermodal shipping containers enter and 
exit the United States.
    (d) Eligible personnel costs include, but are not limited to:
    (1) Recruitment and screening;
    (2) Training;
    (3) Salaries and fringe benefits; and
    (4) Supervision.
    (e) Equipment and travel costs directly related to the primary 
functions are also eligible for proportionate reimbursement. These costs 
include, but are not limited to:
    (1) Vehicles;
    (2) Uniforms;
    (3) Communications equipment;
    (4) Special inspection equipment;
    (5) Vehicle maintenance;
    (6) Motor fuel and oil; and
    (7) Travel and per diem expenses.
    (f) Indirect expenses related to facilities used to conduct 
inspections or to house enforcement personnel, support staff, and 
equipment, except those related to fixed weighing facilities, may also 
be eligible to the extent they are measurable and recurring, such as 
rent and overhead.
    (g) A secondary function of the MCSAP is to develop a data base on 
which to coordinate resources and improve efficiency. Therefore, costs 
related to data acquisition, storage, and analysis that are specifically 
identifiable as program expenses may be eligible for reimbursement.
    (h) Clerical and administrative expenses, to the extent they are 
necessary and directly attributable to the MCSAP, are eligible for 
reimbursement.
    (i) The cost of acquisition of real property, land and buildings, is 
not eligible as a participating cost in the MCSAP. Expenditures related 
to the improvement of real property, for example, the installation of 
lights for the inspection of vehicles at night or minor modifications to 
existing structures, are not considered acquisition costs.
    (j) The eligibility of specific costs is subject to review, and such 
costs must be necessary, reasonable, allocable to the approved SEP, and 
allowable under this part and 49 CFR part 18, Uniform Administrative 
Requirements for Grants and Cooperative Agreements to State and Local 
Governments.
    (k) In-kind contributions are acceptable if they represent eligible 
costs as established by 49 CFR part 18, OMB Circulars, agency rule or 
policy.

    Appendix A to Part 350--Guidelines To Be Used in Preparing State 
                            Enforcement Plan

    1. Designate the lead State agency: The plan should indicate the 
agency responsible for administering the plan.
    2. Program Summary: This section includes objectives, activities, 
resources, costs and an analysis of the effectiveness of the program.
    (a) Define the problem: In assessing the level of commitment to be 
made to the enforcement of commercial motor carrier and highway 
hazardous materials safety regulations, the following factors should be 
considered:
    (1) Volume of commercial motor vehicle traffic;
    (2) Type of commercial motor vehicle traffic;
    (3) Volume of commercial motor vehicle traffic transporting 
hazardous materials;
    (4) Number and frequency (rate) of commercial motor carrier 
accidents;
    (5) Severity of accidents involving commercial motor carriers:
    (i) Fatalities;
    (ii) Injuries; and
    (iii) Property damage.
    (6) Seasonal commercial motor carrier operational patterns within 
the State;
    (7) Type and frequency of violations of traffic safety laws and 
regulations pertaining to commercial motor vehicles and accidents;
    (8) Use of alcohol and controlled substances by commercial motor 
vehicle drivers; and
    (9) Problems related to overweight vehicles and safety. (The 
information in paragraphs 2(a) (6), (7), (8), and (9) of this appendix 
may or may not be available to the States at present. To be able to 
measure program effectiveness, however, States will need to compile this 
type of data.)
    (b) Determine current enforcement efforts: The plan should identify 
the activities currently engaged in by the State to address the 
commercial motor carrier and hazardous materials safety problems. This 
should include a description of existing laws, regulations and 
compliance activities, as well as the agencies within the State with 
enforcement responsibilities.

[[Page 661]]

    (c) Establish the objectives: A key element in each plan is the 
establishment of the objectives sought to be achieved through the use of 
Federal funds. The objectives should be stated in terms of quantifiable 
measurements of results, where possible, or at least of effort. Ideally, 
the objectives should include a measurable reduction in highway 
accidents or hazardous materials incidents involving commercial motor 
vehicles, but may also refer to quantifiable improvements in legislative 
or regulatory authorities, problem identification, enforcement 
strategies and resource allocations.
    (1) Goals should be identified as:
    (i) Short term--the year beginning October 1 following submission of 
a MCSAP enforcement plan.
    (ii) Medium term--two to four years after submission of the 
enforcement plan.
    (iii) Long term--five years beyond the submission of the enforcement 
plan.
    (2) Describe the practices: The plan should describe how the 
resources are to be employed to achieve the objectives included under 
350.13 and should discuss:
    (i) Schedules of operation of inspection sites and units;
    (ii) Tactics for placing vehicles out of service and verifying 
compliance;
    (iii) Projected number of annual:
    (A) Roadside vehicle inspections including Commercial Driver's 
Licenses checks; and
    (B) Safety and Compliance Reviews;
    (iv) Methods to inspect all types of carriage;
    (v) Strategy for preventing circumvention or avoidance of 
inspections;
    (vi) Procedures for handling hazardous materials carriers and 
passenger carriers;
    (vii) Supervision and recordkeeping; and
    (viii) Methods used to coordinate activities with the State highway 
safety plan under 23 U.S.C. 402, including providing information to the 
appropriate State agency, describing the information provided, and 
discussing the comments that were received.
    (3) Identify the resources: The plan should detail the resources to 
be used in accomplishing the objectives, and should include:
    (i) State agencies involved:
    (A) Lead agency; and
    (B) Local and other cooperating political subdivisions.
    (ii) Personnel (from each agency involved):
    (A) Line functions;
    (B) Staff and supervision; and
    (C) Administrative, technical and clerical.
    (iii) Facilities:
    (A) Inspection sites regularly maintained; and
    (B) Building space required.
    (iv) Equipment:
    (A) Vehicles;
    (B) Communication and ADP; and
    (C) Other specialized tools.
    (v) Itemization of Costs:
    (A) Personnel (salaries, benefits, etc.);
    (B) Equipment (purchase, rental, fuel, maintenance, depreciation, 
salvage, etc.); and
    (C) Facilities (rent and overhead).
    (d) Program evaluation: Each plan should include a provision for 
program evaluation of the effectiveness of previous activities. This 
should include the economic and operational impact of increased 
enforcement and provisions for review and update of the plan. It is not 
practicable to establish objective minimums, as each State has unique 
characteristics and varying levels of existing enforcement activity. The 
FHWA will cooperate with State regulatory and enforcement agencies by 
gathering useful information and experience on elements of enforcement 
practices that produce positive results.
    The bottom line objective in any safety program is a decrease in the 
number and severity of accidents. Motor carrier safety regulations 
should be designed to prescribe methods to eliminate the risks of 
accidents. Compliance with such regulations should, therefore, reduce 
accidents. The States are encouraged to design their programs to link 
their enforcement efforts to causes of accidents, whenever possible, and 
to develop the data necessary to demonstrate the results. The States are 
encouraged to use the safety and program performance data collected over 
several years to show trends and effects of program activities. In 
assessing State Enforcement Plans, the FHWA will be particularly 
attentive to the methods by which effectiveness is to be evaluated, and 
will provide whatever assistance is feasible in developing measurement 
factors.

           Appendix B to Part 350--Form of State Certification

    I (name), (title), on behalf of the State of __________, as 
requested by the Federal Highway Administrator as a condition of 
approval of a grant under the authority of Sec. 402 of the Surface 
Transportation Assistance Act of 1982 (Pub. L. 97-424), do hereby 
certify as follows:
    1. The State (has adopted) (will adopt) commercial motor carrier and 
highway hazardous materials safety rules and regulations, which (are) 
(will be) substantially similar to and consistent with the Federal Motor 
Carrier Safety Regulations and the Federal Hazardous Materials 
Regulations (a copy of the existing or proposed State rules and 
regulations to be attached in the first year of the program).
    2. The State has designated (name of State commercial motor carrier 
safety agency) as the lead agency to administer the enforcement plan for 
which the grant is being awarded, and (name of agencies) to perform 
functions under the plan. These agencies

[[Page 662]]

(have) (will have) the legal authority, resources and qualified 
personnel necessary for the enforcement of the State's commercial motor 
carrier and highway hazardous materials safety rules and regulations.
    3. The State will devote such of its own funds as may be necessary 
to provide its matching share to the Federal assistance provided in the 
grant to administer the plan it is herewith submitting, and to enforce 
the State's commercial motor carrier safety rules and regulations in a 
manner to be consistent with the approved plan.
    4. The laws of the State provide the State's enforcement officers 
right of entry and inspection sufficient to carry out the purposes of 
the enforcement plan as approved and provides that the State will grant 
maximum reciprocity for inspections conducted pursuant to the North 
American Inspection Standard, through the use of a nationally accepted 
system allowing ready identification of previously inspected commercial 
motor vehicles.
    5. The State shall require that all reports relating to the program 
be submitted to the appropriate State agency or agencies; and such 
reports will be made available to the Federal Highway Administration 
upon request.
    6. The State will adopt such uniform reporting requirements and use 
such uniform forms for recordkeeping, inspection, and other enforcement 
activities as may be established by the Federal Highway Administration.
    7. The State (has) (will have) in effect a requirement that 
registrants of commercial motor vehicles declare knowledge of the 
applicable Federal or State commercial motor carrier safety rules and 
regulations.
    8. The State will maintain the level of its expenditures for motor 
carrier safety programs and, if applicable, size and weight, traffic 
safety, and drug interdiction enforcement programs, exclusive of Federal 
assistance, at least at the level of the average of the aggregate 
expenditures of the State and political subdivisions for these purposes 
during the last three full fiscal years immediately prior to December 
18, 1991 (fiscal years 1989, 1990, and 1991).
    9. The State will ensure that commercial motor vehicle size and 
weight enforcement, drug interdiction, and traffic enforcement 
activities funded under this program will not diminish the effectiveness 
of other commercial motor vehicle safety enforcement programs.
    10. The State will ensure that fines imposed and collected by the 
State for violations will be reasonable and appropriate and provides 
that, to the maximum extent practicable, it will seek to implement into 
law and practice the recommended fine schedule published by the 
Commercial Vehicle Safety Alliance.
    11. The State will ensure that the SEP is coordinated with the State 
highway safety plan under 23 U.S.C. 402 and the name of the Governor's 
highway safety representative (or other authorized State official) 
through whom coordination was accomplished is __________.
    12. The State will participate in the SAFETYNET no later than 
January 1, 1994.
    13. The State will undertake efforts to emphasize and improve 
enforcement of State and local traffic laws as they pertain to 
commercial motor vehicle safety.

Date____________________________________________________________________

Location________________________________________________________________

(Signature)_____________________________________________________________

  Appendix C to Part 350--Tolerance Guidelines for Adopting Compatible 
                       State Rules and Regulations

           1. Introduction, Purpose and Rules of Construction

    The goal of the Federal Highway Administration (FHWA) is to 
encourage all States to ultimately adopt motor carrier safety and 
hazardous materials transportation rules and regulations identical in 
all respects to those requirements set forth in Federal laws and 
regulations, applicable to both interstate and intrastate commerce. 
Recognizing that there are circumstances unique to each State which may 
require special attention in that particular State, FHWA has concluded 
that certain circumstances may warrant limited deviations from the 
Federal standards where the Federal regulations do not apply.
    The purpose of this appendix is to set forth the limits within which 
a State's deviations to variances in adopting motor carrier safety and 
hazardous materials rules may extend and still be considered compatible 
for funding purposes under 49 CFR 350. These limits or tolerances are 
applicable for this purpose to those State rules and regulations 
applicable where the U.S. Department of Transportation does not have 
jurisdiction.

 2. Tolerance Guidelines for State Rules and Regulations Where the U.S. 
          Department of Transportation Also Holds Jurisdiction

    (a) States shall not be required to adopt 49 CFR parts 398, 399, 
107, 171.15, 171.16 and 177.807 as applicable to either interstate or 
intrastate commerce. A State is not required to adopt 49 CFR part 178 
only if the State can still enforce the standards contained therein.
    (b) State rules must be applicable to the same extent as the Federal 
Motor Carrier Safety and Hazardous Materials Regulations

[[Page 663]]

except where deviation may be allowed by part 355 of this subchapter and 
this appendix.

 3. Tolerance Guidelines for State Rules and Regulations Where the U.S. 
          Department of Transportation Regulations Do Not Apply

    (a) State rules must be applicable to the same extent as the Federal 
Motor Carrier Safety and Hazardous Materials Regulations except where 
deviation may be allowed by parts 350 and 355 of this subchapter and 
this appendix.
    (b) States may exempt from all or part of their regulations 
commercial motor vehicles with a GVWR of 26,000 pounds or less. However, 
vehicles with a GVWR of 26,000 pounds or less may not be exempted from 
either the motor carrier safety regulations or hazardous materials 
regulations if the vehicle is used to transport hazardous materials 
requiring a placard or if the vehicle is designed to transport more than 
15 passengers, including the driver.
    (c) States may not exempt from regulation motor carriers based on 
the type of carriage being performed (i.e., for-hire, private, etc.).
    (d) Exemptions granted to certain industries by a State prior to 
April 1988 and accepted by FHWA may remain valid. Although industry 
exemptions are strongly discouraged, a State may request and FHWA may 
approve such an exemption after the State has submitted to the FHWA 
documentation which will allow evaluation of the following or similar 
information:
    (1) Type and scope of the industry exemption requested;
    (2) Type and scope of regulatory exemption requested;
    (3) Accident information related to that specific industry--ratio, 
frequency, comparative figures, etc.;
    (4) Percentage of industry affected--number of vehicles, mileage 
traveled, number of companies involved, etc.;
    (5) Inspection information--number of violations per inspection, 
out-of-service information, etc.;
    (6) Other regulations enforced by other State agencies not 
participating in the MCSAP;
    (7) Commodity transported--i.e., hazardous materials, livestock, 
grain, etc.;
    (8) Similar exemptions granted;
    (9) Reason exemption is needed;
    (10) Projected effect on safety;
    (11) The State's economic environment and its ability to compete in 
foreign and domestic markets.
    (e) Regulatory exemptions based on the distance a motor carrier or 
driver operates from their home terminal are not deemed to be 
compatible. This prohibition does not apply to those exemptions already 
contained in the Federal Motor Carrier Safety Regulations nor to the 
extension of the mileage radius exemption contained in 49 CFR 395.1(e) 
from 100 to 150 miles.
    (f) States are strongly encouraged to apply the identical regulatory 
and enforcement schemes to both interstate and intrastate carriers as 
set forth in the Federal Motor Carrier Safety Regulations when 
regulating drivers' hours of service. However, certain limited 
tolerances where the U.S. Department of Transportation's hours of 
service regulations do not apply are allowed. Specifically, an expansion 
of the 10-hour driving rule to a 12-hour driving limit, provided that 
the total period of time spent driving and on duty not driving is not 
extended to more than 16 hours and an increase in the 70 hour rule to 70 
hours in 7 consecutive days or 80 hours in 8 consecutive days will be 
considered compatible.
    (g) Drivers operating not subject to the jurisdiction of the U.S. 
Department of Transportation may drive if they are at least 18 years 
old.
    (h) States may provide grandfather clauses in their rules and 
regulations if such exemptions are uniform or in substantial harmony 
with the Federal standards and provide an orderly transition to full 
regulatory adoption at a later date.
    (i) The States may qualify any driver engaged wholly in intrastate 
commerce who is adversely affected by current State medical standards, 
upgraded to be consistent with part 391, even if the States adopted 
those medical standards in the past. Drivers identified through July 29, 
1996, as not meeting the upgraded State standards may also be qualified. 
Such a driver may remain qualified after July 29, 1996, as long as an 
examining physician determines during the biennial medical examination 
that existing medical or physical conditions that would otherwise render 
the driver not qualified under Federal standards have not significantly 
worsened or another non-qualifying medical or physical condition has not 
developed.
    (j) States whose rules and regulations do not meet these guidelines 
may still be considered qualified for participation under Sec. 350.21. 
However, their formula allocations for basic grant funds will be subject 
to the limitations of Sec. 350.21 (d).
    It should be noted that the FHWA still considers the physical 
qualification requirements in part 391 to be the minimum requirements 
that contribute significantly to commercial motor vehicle operational 
safety. The FHWA continues to encourage States to adopt these minimum 
standards as their own and to use this grandfathering option judiciously 
to respond to legitimate hardships. This policy should in no way be 
interpreted as discrediting the medical standards adopted in part 391.
    This guideline will not preclude a State's adoption of or 
continuation of a waiver program which can be demonstrated to be based

[[Page 664]]

on sound medical judgment combined with appropriate performance 
standards causing no adverse affect on safety.

[57 FR 40956, Sept. 8, 1992, as amended at 58 FR 33776, June 21, 1993; 
58 FR 40600, July 29, 1993; 59 FR 5264, Feb. 3, 1994; 60 FR 38743, July 
28, 1995]



PART 355--COMPATIBILITY OF STATE LAWS AND REGULATIONS AFFECTING INTERSTATE MOTOR CARRIER OPERATIONS--Table of Contents




            Subpart A--General Applicability and Definitions

Sec.
355.1  Purpose.
355.3  Applicability.
355.5  Definitions.

                         Subpart B--Requirements

355.21  Regulatory review.
355.23  Submission of results.
355.25  Adopting and enforcing compatible laws and regulations.

Appendix A to Part 355--Guidelines for the Regulatory Review

    Authority: 49 U.S.C. 504 and 31101 et seq.; 49 CFR 1.48.

    Source: 57 FR 40962, Sept. 8, 1992, unless otherwise noted.



            Subpart A--General Applicability and Definitions



Sec. 355.1  Purpose.

    (a) To promote adoption and enforcement of State laws and 
regulations pertaining to commercial motor vehicle safety that are 
compatible with appropriate parts of the Federal Motor Carrier Safety 
Regulations.
    (b) To provide guidelines for a continuous regulatory review of 
State laws and regulations.
    (c) To establish deadlines for States to achieve compatibility with 
appropriate parts of the Federal Motor Carrier Safety Regulations with 
respect to interstate commerce.



Sec. 355.3  Applicability.

    These provisions apply to any State that adopts or enforces laws or 
regulations pertaining to commercial motor vehicle safety in interstate 
commerce.



Sec. 355.5  Definitions.

    Unless specifically defined in this section, terms used in this part 
are subject to the definitions in 49 CFR 390.5.
    Compatible or compatibility means, in relation to State laws and 
regulations pertaining to commercial motor vehicle safety, having the 
same effect as the Federal Motor Carrier Safety Regulations in that 
those State laws and regulations are either identical or fall within the 
guidelines in appendix C of part 350.
    Federal Motor Carrier Safety Regulations means those safety 
regulations which are contained in parts 390, 391, 392, 393, 395, 396, 
and 397 of this subchapter.
    State means a State of the United States and the District of 
Columbia.



                         Subpart B--Requirements



Sec. 355.21  Regulatory review.

    (a) General. Each State shall annually analyze its laws and 
regulations, including those of its political subdivisions, which 
pertain to commercial motor vehicle safety to determine whether its laws 
and regulations are compatible with the Federal Motor Carrier Safety 
Regulations. Guidelines for the regulatory review are provided in the 
appendix to this part.
    (b) Responsibility. The State agency designated as lead agency for 
the administration of grants made pursuant to part 350 of this 
subchapter is responsible for reviewing and analyzing State laws and 
regulations for compliance with this part. In the absence of an 
officially designated Motor Carrier Safety Assistance Program (MCSAP) 
lead agency or in its discretion, the State shall designate another 
agency responsible to review and determine compliance with these 
regulations.
    (c) State review. (1) The State shall determine which of its laws 
and regulations pretaining to commercial motor vehicle safety are the 
same as the Federal Motor Carrier Safety or Federal Hazadous Materials 
Regulations. With respect to any State law or regulation which is not 
the same, the State shall identify such law or regulation and determine 
whether:

[[Page 665]]

    (i) It has the same effect as a corresponding section of the Federal 
Motor Carrier Safety or Federal Hazardous Materials Regulations;
    (ii) It applies to interstate commerce;
    (iii) It is more stringent than the FMCSR or FHMR in that it is more 
restrictive or places a greater burden on any entity subject to its 
provisions;
    (2) If the inconsistent State law or regulation applies to 
interstate commerce and is more stringent than the FMCSR or FHMR, the 
State shall determine:
    (i) The safety benefits associated with such State law or 
regulation; and
    (ii) The effect of the enforcement of such State law or regulation 
on interstate commerce.
    (3) If the inconsistent State law or regulation does not apply to 
interstate commerce or is less stringent than the FMCSR or FHMR, the 
tolerance guidelines for participation in the Motor Carrier Safety 
Assistance Program in part 350 of this subchapter shall apply.



Sec. 355.23  Submission of results.

    Each State shall submit the results of its regulatory review 
annually with its certification of compliance under 49 CFR 350.15. It 
shall submit the results of the regulatory review with the certification 
no later than August 1 of each year with the SEP. The State shall 
include copies of pertinent laws and regulations.



Sec. 355.25  Adopting and enforcing compatible laws and regulations.

    (a) General. No State shall have in effect or enforce any State law 
or regulation pertaining to commercial motor vehicle safety in 
interstate commerce which the Administrator finds to be incompatible 
with the provisions of the Federal Motor Carrier Safety Regulations.
    (b) New state requirements. No State shall implement any changes to 
a law or regulation which makes that or any other law or regulation 
incompatible with a provision of the Federal Motor Carrier Safety 
Regulations.
    (c) Enforcement. To enforce compliance with this section, the 
Administrator will initiate a rulemaking proceeding under part 389 of 
this subchapter to declare the incompatible State law or regulation 
pertaining to commercial motor vehicle safety unenforceable in 
interstate commerce.
    (d) Waiver of determination. Any person (including any State) may 
petition for a waiver of a determination made under paragraph (c) of 
this section. Such petition will also be considered in a rulemaking 
proceeding under part 389. Waivers shall be granted only upon a 
satisfactory showing that continued enforcement of the incompatible 
State law or regulation is not contrary to the public interest and is 
consistent with the safe operation of commercial motor vehicles.
    (e) Consolidation of proceedings. The Administrator may consolidate 
any action to enforce this section with other proceedings required under 
this section if the Administrator determines that such consolidation 
will not adversely affect any party to any such proceeding.

      Appendix A to Part 355--Guidelines for the Regulatory Review

    Each State shall review its laws and regulations to achieve 
compatibility with the Federal Motor Carrier Safety Regulations 
(FMCSRs). Each State shall consider all related requirements on 
enforcement of the State's motor carrier safety regulations. The 
documentation shall be simple and brief.

                                  Scope

    The State review required by Sec. 355.21 may be limited to those 
laws and regulations previously determined to be incompatible in the 
report of the Commercial Motor Vehicle Safety Regulatory Review Panel 
issued in August 1990, or by subsequent determination by the 
Administrator under this part, and any State laws or regulations enacted 
or issued after August 1990.

                              Applicability

    The requirements must apply to all segments of the motor carrier 
industry common, contract, and private carriers of property and for-hire 
carriers of passengers.

                               Definitions

    Definitions of terms must be consistent with those in the FMCSR. For 
example, a commercial motor vehicle is a vehicle operating in interstate 
commerce on a public highway, that:
    (1) Has a gross vehicle weight rating (GVWR) of 4,537 or more 
kilograms;

[[Page 666]]

    (2) Is designed to transport more than 15 passengers (including the 
driver); or
    (3) Is used to transport hazardous materials in a quantity requiring 
placarding under regulations issued by the Secretary under the Hazardous 
Materials Transportation Act, as amended (49 U.S.C. 5101 et seq.).

                          Driver Qualifications

    Require a driver to be properly licensed to drive a commercial motor 
vehicle; require a driver to be in good physical health, at least 21 
years of age, able to operate a vehicle safely, and maintain a good 
driving record; prohibit drug and alcohol abuse; require a motor carrier 
to maintain a driver qualification file for each driver; and require a 
motor carrier to ensure that a driver is medically qualified.

    Note: The requirements for testing apply only to drivers of 
commercial motor vehicles as defined in 49 CFR part 383.

                        Driving of Motor Vehicles

    Prohibit possession, use, or driving under the influence of alcohol 
or other controlled substances (while on duty); and establish 0.04 
percent as the level of alcohol in the blood at which a driver is 
considered under the influence of alcohol.

           Parts and Accessories Necessary for Safe Operation

    Require operational lights and reflectors; require systematically 
arranged and installed wiring; and require brakes working at the 
required performance level, and other key components included in 49 CFR 
part 393.

                            Hours of Service

    Prohibit a motor carrier from allowing or requiring any driver to 
drive: More than 10 hours following 8 consecutive hours off duty; after 
being on duty 15 hours, after being on duty more than 60 hours in any 7 
consecutive days; or after being on duty more than 70 hours in any 8 
consecutive days.
    Require a driver to prepare a record-of-duty status for each 24-hour 
period. The driver and motor carrier must retain the records.

                       Inspection and Maintenance

    Prohibit a commercial motor vehicle from being operated when it is 
likely to cause an accident or a breakdown; require the driver to 
conduct a walk-around inspection of the vehicle before driving it to 
ensure that it can be safely operated; require the driver to prepare a 
driver vehicle inspection report; and require commercial motor vehicles 
to be inspected at least annually.

                           Hazardous Materials

    Require a motor carrier or a person operating a commercial motor 
vehicle transporting hazardous materials to follow the safety and 
hazardous materials requirements.

                          State Determinations

    1. Each State must determine whether its requirements affecting 
interstate motor carriers are ``less stringent'' than the Federal 
requirements. ``Less stringent'' requirements represent either gaps in 
the State requirements in relation to the Federal requirements as 
summarized under item number one in this appendix or State requirements 
which are less restrictive than the Federal requirements.
    a. An example of a gap is when a State does not have the authority 
to regulate the safety of for-hire carriers of passengers or has the 
authority but chooses to exempt the carrier.
    b. An example of a less restrictive State requirement is when a 
State allows a person under 21 years of age to operate a commercial 
motor vehicle in interstate commerce.
    2. Each State must determine whether its requirements affecting 
interstate motor carriers are ``more stringent'' than the Federal 
requirements: ``More stringent'' requirements are more restrictive or 
inclusive in relation to the Federal requirements as summarized under 
item number one in this appendix. For example, a requirement that a 
driver must have 2 days off after working 5 consecutive days. The State 
would demonstrate that its more stringent requirements:
    a. Have a ``safety benefit;'' for example, result in fewer accidents 
or reduce the risk of accidents;
    b. do not create ``an undue burden on interstate commerce,'' e.g., 
do not delay, interfere with, or increase that cost or the 
administrative burden for a motor carrier transporting property or 
passengers in interstate commerce; and
    c. Are otherwise compatible with Federal safety requirements.
    3. A State must adopt and enforce in a consistent manner the 
requirements referenced in the above guidelines in order for the FHWA to 
accept the State's determination that it has compatible safety 
requirements affecting interstate motor carrier operations. Generally, 
the States would have up to 3 years from the effective date of the new 
Federal requirement to adopt and enforce compatible requirements. The 
FHWA would

[[Page 667]]

specify the deadline when promulgating future Federal safety 
requirements. The requirements are considered of equal importance.

[57 FR 40962, Sept. 8, 1992, as amended by 58 FR 33776, June 21, 1993; 
62 FR 37151, July 11, 1997]



PART 356--MOTOR CARRIER ROUTING REGULATIONS--Table of Contents




Sec.
356.1  Authority to serve a particular area--construction.
356.3  Regular route motor passenger service.
356.5  Traversal authority.
356.7  Tacking.
356.9  Elimination of routing restrictions--regular route carriers.
356.11  Elimination of gateways--regular and irregular route carriers.
356.13  Redesignated highways.

    Authority: 49 U.S.C. 13301 and 13902; 5 U.S.C. 553; 49 CFR 1.48.

    Source: 62 FR 32041, June 12, 1997, unless otherwise noted.



Sec. 356.1  Authority to serve a particular area--construction.

    (a) Service at municipality. A motor carrier of property, motor 
passenger carrier of express, and freight forwarder authorized to serve 
a municipality may serve all points within that municipality's 
commercial zone not beyond the territorial limits, if any, fixed in such 
authority.
    (b) Service at unincorporated community. A motor carrier of 
property, motor passenger carrier of express, and freight forwarder, 
authorized to serve an unincorporated community having a post office of 
the same name, may serve all points in the United States not beyond the 
territorial limits, if any, fixed in such authority, as follows:
    (1) All points within 3 miles of the post office in such 
unincorporated community if it has a population of less than 2,500; 
within 4 miles if it has a population of 2,500 but less than 25,000; and 
within 6 miles if it has a population of 25,000 or more;
    (2) At all points in any municipality any part of which is within 
the limits described in paragraph (b)(1) of this section; and
    (3) At all points in any municipality wholly surrounded, or so 
surrounded except for a water boundary, by any municipality included 
under the terms of paragraph (b)(2) of this section.



Sec. 356.3  Regular route motor passenger service.

    (a) A motor common carrier authorized to transport passengers over 
regular routes may serve:
    (1) All points on its authorized route;
    (2) All municipalities wholly within one airline mile of its 
authorized route;
    (3) All unincorporated areas within one airline mile of its 
authorized route; and
    (4) All military posts, airports, schools, and similar 
establishments that may be entered within one airline mile of its 
authorized route, but operations within any part of such establishment 
more than one airline mile from such authorized route may not be over a 
public road.
    (b) This section does not apply to those motor passenger common 
carriers authorized to operate within:
    (1) New York, NY;
    (2) Rockland, Westchester, Orange, or Nassau Counties, NY;
    (3) Fairfield County, CT; and
    (4) Passaic, Bergen, Essex, Hudson, Union, Morris, Somerset, 
Middlesex, or Monmouth Counties, NJ.



Sec. 356.5  Traversal authority.

    (a) Scope. An irregular route motor carrier may operate between 
authorized service points over any reasonably direct or logical route 
unless expressly prohibited.
    (b) Requirements. Before commencing operations, the carrier must, 
regarding each State traversed:
    (1) Notify the State regulatory body in writing, attaching a copy of 
its operating rights;
    (2) Designate a process agent; and
    (3) Comply with 49 CFR 387.315.



Sec. 356.7  Tacking.

    Unless expressly prohibited, a motor common carrier of property 
holding separate authorities which have common service points may join, 
or tack, those authorities at the common point, or gateway, for the 
purpose of performing through service as follows:
    (a) Regular route authorities may be tacked with one another;

[[Page 668]]

    (b) Regular route authority may be tacked with irregular route 
authority;
    (c) Irregular route authorities may be tacked with one another if 
the authorities were granted pursuant to application filed on or before 
November 23, 1973, and the distance between the points at which service 
is provided, when measured through the gateway point, is 300 miles or 
less; and
    (d) Irregular route authorities may be tacked with one another if 
the authorities involved contain a specific provision granting the right 
to tack.



Sec. 356.9  Elimination of routing restrictions--regular route carriers.

    (a) Regular route authorities--construction. All certificates that, 
either singly or in combination, authorize the transportation by a motor 
common carrier of property over:
    (1) A single regular route or;
    (2) Over two or more regular routes that can lawfully be tacked at a 
common service point, shall be construed as authorizing transportation 
between authorized service points over any available route.
    (b) Service at authorized points. A common carrier departing from 
its authorized service routes under paragraph (a) of this section shall 
continue to serve points authorized to be served on or in connection 
with its authorized service routes.
    (c) Intermediate point service. A common carrier conducting 
operations under paragraph (a) of this section may serve points on, and 
within one airline mile of, an alternative route it elects to use if all 
the following conditions are met:
    (1) The carrier is authorized to serve all intermediate points 
(without regard to nominal restrictions) on the underlying service 
route;
    (2) The alternative route involves the use of a superhighway (i.e., 
a limited access highway with split-level crossings);
    (3) The alternative superhighway route, including highways 
connecting the superhighway portion of the route with the carrier's 
authorized service route,
    (i) Extends in the same general direction as the carrier's 
authorized service route and
    (ii) Is wholly within 25 airline miles of the carrier's authorized 
service route; and
    (4) Service is provided in the same manner as, and subject to any 
restrictions that apply to, service over the authorized service route.



Sec. 356.11  Elimination of gateways--regular and irregular route carriers.

    A motor common carrier of property holding separate grants of 
authority (including regular route authority), one or more of which 
authorizes transportation over irregular routes, where the authorities 
have a common service point at which they can lawfully be tacked to 
perform through service, may perform such through service over any 
available route.



Sec. 356.13  Redesignated highways.

    Where a highway over which a regular route motor common carrier of 
property is authorized to operate is assigned a new designation, such as 
a new number, letter, or name, the carrier shall advise the FHWA by 
letter, and shall provide information concerning the new and the old 
designation, the points between which the highway is redesignated, and 
each place where the highway is referred to in the carrier's authority. 
The new designation of the highway will be shown in the carrier's 
certificate when the FHWA has occasion to reissue it.



PART 360--FEES FOR MOTOR CARRIER REGISTRATION AND INSURANCE--Table of Contents




Sec.
360.1  Fees for records search, review, copying, certification, and 
          related services.
360.3  Filing fees.
360.5  Updating user fees.

    Authority: 31 U.S.C. 9701; 49 U.S.C. 13908(c) and 14504(c)(2); and 
49 CFR 1.48.

    Source: 64 FR 7137, Feb. 12, 1999, unless otherwise noted.



Sec. 360.1  Fees for records search, review, copying, certification, and related services.

    Certifications and copies of public records and documents on file 
with the Federal Highway Administration will be furnished on the 
following basis,

[[Page 669]]

pursuant to the Freedom of Information Act regulations at 49 CFR Part 7:
    (a) Certificate of the Director, Office of Motor Carrier Information 
Analysis, as to the authenticity of documents, $9.00;
    (b) Service involved in checking records to be certified to 
determine authenticity, including clerical work, etc., incidental 
thereto, at the rate of $16.00 per hour;
    (c) Electrostatic copies of the public documents, at the rate of 
$.80 per letter size or legal size exposure. A minimum charge of $5.00 
will be made for this service; and
    (d) Search and copying services requiring ADP processing, as 
follows:
    (1) A fee of $42.00 per hour for professional staff time will be 
charged when it is required to fulfill a request for ADP data.
    (2) The fee for computer searches will be set at the current rate 
for computer service. Information on those charges can be obtained from 
the Chief, Licensing and Insurance Division.
    (3) Printing shall be charged at the rate of $.10 per page of 
computer generated output with a minimum charge of $.25. A charge of $30 
per reel of magnetic tape will be made if the tape is to be permanently 
retained by the requestor.



Sec. 360.3  Filing fees.

    (a) Manner of payment. (1) Except for the insurance fees described 
in the next sentence, all filing fees will be payable at the time and 
place the application, petition, or other document is tendered for 
filing. The service fee for insurance, surety or self-insurer accepted 
certificate of insurance, surety bond or other instrument submitted in 
lieu of a broker surety bond must be charged to an insurance service 
account established by the Federal Highway Administration in accordance 
with paragraph (a)(2) of this section.
    (2) Billing account procedure. A written request must be submitted 
to the Office of Motor Carrier Information Analysis, Licensing and 
Insurance Division, to establish an insurance service fee account.
    (i) Each account will have a specific billing date within each month 
and a billing cycle. The billing date is the date that the bill is 
prepared and printed. The billing cycle is the period between the 
billing date in one month and the billing date in the next month. A bill 
for each account which has activity or an unpaid balance during the 
billing cycle will be sent on the billing date each month. Payment will 
be due 20 days from the billing date. Payments received before the next 
billing date are applied to the account. Interest will accrue in 
accordance with 4 CFR 102.13.
    (ii) The Debt Collection Act of 1982, including disclosure to the 
consumer reporting agencies and the use of collection agencies, as set 
forth in 4 CFR 102.5 and 102.6 will be utilized to encourage payment 
where appropriate.
    (iii) An account holder who files a petition in bankruptcy or who is 
the subject of a bankruptcy proceeding must provide the following 
information to the Office of Motor Carrier Information Analysis, 
Licensing and Insurance Division:
    (A) The filing date of the bankruptcy petition;
    (B) The court in which the bankruptcy petition was filed;
    (C) The type of bankruptcy proceeding;
    (D) The name, address, and telephone number of its representative in 
the bankruptcy proceeding; and
    (E) The name, address, and telephone number of the bankruptcy 
trustee, if one has been appointed.
    (3) Fees will be payable to the Federal Highway Administration by a 
check payable in United States currency drawn upon funds deposited in a 
United States or foreign bank or other financial institution, money 
order payable in United States' currency, or credit card (VISA or 
MASTERCARD).
    (b) Any filing that is not accompanied by the appropriate filing fee 
is deficient except for filings that satisfy the deferred payment 
procedures in paragraph (a) of this section.
    (c) Fees not refundable. Fees will be assessed for every filing in 
the type of proceeding listed in the schedule of fees contained in 
paragraph (f) of this section, subject to the exceptions contained in 
paragraphs (d) and (e) of this section. After the application, petition, 
or other document has been accepted

[[Page 670]]

for filing by the Federal Highway Administration, the filing fee will 
not be refunded, regardless of whether the application, petition, or 
other document is granted or approved, denied, rejected before 
docketing, dismissed, or withdrawn.
    (d) Related or consolidated proceedings. (1) Separate fees need not 
be paid for related applications filed by the same applicant which would 
be the subject of one proceeding. (This does not mean requests for 
multiple types of operating authority filed on forms in the OP-1 series 
under the regulations at 49 CFR part 365. A separate filing fee is 
required for each type of authority sought in each transportation mode, 
e.g., common, contract, and broker authority for motor property 
carriers.)
    (2) Separate fees will be assessed for the filing of temporary 
operating authority applications as provided in paragraph (f)(6) of this 
section, regardless of whether such applications are related to an 
application for corresponding permanent operating authority.
    (3) The Federal Highway Administration may reject concurrently filed 
applications, petitions, or other documents asserted to be related and 
refund the filing fee if, in its judgment, they embrace two or more 
severable matters which should be the subject of separate proceedings.
    (e) Waiver or reduction of filing fees. It is the general policy of 
the Federal Highway Administration not to waive or reduce filing fees 
except as described as follows:
    (1) Filing fees are waived for an application or other proceeding 
which is filed by a Federal government agency, or a State or local 
government entity. For purposes of this section the phrases ``Federal 
government agency'' or ``government entity'' do not include a quasi-
governmental corporation or government subsidized transportation 
company.
    (2) In extraordinary situations the Federal Highway Administration 
will accept requests for waivers or fee reductions in accordance with 
the following procedure:
    (i) When to request. At the time that a filing is submitted to the 
Federal Highway Administration the applicant may request a waiver or 
reduction of the fee prescribed in this part. Such request should be 
addressed to the Director, Office of Motor Carrier Information Analysis.
    (ii) Basis. The applicant must show the waiver or reduction of the 
fee is in the best interest of the public, or that payment of the fee 
would impose an undue hardship upon the requestor.
    (iii) Federal Highway Administration action. The Director, Office of 
Motor Carrier Information Analysis, will notify the applicant of the 
decision to grant or deny the request for waiver or reduction.
    (f) Schedule of filing fees.

 
----------------------------------------------------------------------------------------------------------------
           Type of Proceeding                                                                     Fee
----------------------------------------------------------------------------------------------------------------
Part I: Licensing:
  (1)...................................  An application for motor carrier operating  $300
                                           authority, a certificate of registration
                                           for certain foreign carriers, property
                                           broker authority, or freight forwarder
                                           authority.
  (2)...................................  A petition to interpret or clarify an       3,000
                                           operating authority.
  (3)...................................  A request seeking the modification of       50
                                           operating authority only to the extent of
                                           making a ministerial correction, when the
                                           original error was caused by applicant, a
                                           change in the name of the shipper or
                                           owner of a plant site, or the change of a
                                           highway name or number.
  (4)...................................  A petition to renew authority to transport  250
                                           explosives.
  (5)...................................  An application for authority to deviate     150
                                           from authorized regular-route authority.
  (6)...................................  An application for motor carrier temporary  100
                                           authority issued in an emergency
                                           situation.
  (7)...................................  Request for name change of a motor          14
                                           carrier, property broker, or freight
                                           forwarder.
  (8)--(49).............................  [Reserved]................................  ..........................
Part II: Insurance:
  (50)..................................  (i) An application for original             4,200
                                           qualification as self-insurer for bodily
                                           injury and property damage insurance
                                           (BI&PD).
                                          (ii) An application for original            420
                                           qualification as self-insurer for cargo
                                           insurance.

[[Page 671]]

 
  (51)..................................  A service fee for insurer, surety, or self- $10 per accepted
                                           insurer accepted certificate of             certificate, surety bond
                                           insurance, surety bond, and other           or other instrument
                                           instrument submitted in lieu of a broker    submitted in lieu of a
                                           surety bond.                                broker surety bond.
  (52)..................................  A petition for reinstatement of revoked     80
                                           operating authority.
  (53)--(79)............................  [Reserved]................................
Part III: Services:
  (80)..................................  Request for service or pleading list for    13 per list
                                           proceedings.
  (81)..................................  Faxed copies of operating authority to      5
                                           applicants or their representatives who
                                           did not receive a served copy.
----------------------------------------------------------------------------------------------------------------

    (g) Returned check policy. (1) If a check submitted to the FHWA for 
a filing or service fee is dishonored by a bank or financial institution 
on which it is drawn, the FHWA will notify the person who submitted the 
check that:
    (i) All work will be suspended on the filing or proceeding, until 
the check is made good;
    (ii) A returned check charge of $6.00 and any bank charges incurred 
by the FHWA as a result of the dishonored check must be submitted with 
the filing fee which is outstanding; and
    (iii) If payment is not made within the time specified by the FHWA, 
the proceeding will be dismissed or the filing may be rejected.
    (2) If a person repeatedly submits dishonored checks to the FHWA for 
filing fees, the FHWA may notify the person that all future filing fees 
must be submitted in the form of a certified or cashier's check or a 
money order.



Sec. 360.5  Updating user fees.

    (a) Update. Each fee established in this part may be updated in 
accordance with this section as deemed necessary by the FHWA.
    (b) Publication and effective dates. Updated fees shall be published 
in the Federal Register and shall become effective 30 days after 
publication.
    (c) Payment of fees. Any person submitting a filing for which a fee 
is established shall pay the fee in effect at the time of the filing.
    (d) Method of updating fees. Each fee shall be updated by updating 
the cost components comprising the fee. Cost components shall be updated 
as follows:
    (1) Direct labor costs shall be updated by multiplying base level 
direct labor costs by percentage changes in average wages and salaries 
of FHWA employees. Base level direct labor costs are direct labor costs 
determined by the cost study in Regulations Governing Fees For Service, 
1 I.C.C. 2d 60 (1984), or subsequent cost studies. The base period for 
measuring changes shall be April 1984 or the year of the last cost 
study.
    (2) Operations overhead shall be developed each year on the basis of 
current relationships existing on a weighted basis, for indirect labor 
applicable to the first supervisory work centers directly associated 
with user fee activity. Actual updating of operations overhead will be 
accomplished by applying the current percentage factor to updated direct 
labor, including current governmental overhead costs.
    (3)(i) Office general and administrative costs shall be developed 
each year on the basis of current levels costs, i.e., dividing actual 
office general and administrative costs for the current fiscal year by 
total office costs for the office directly associated with user fee 
activity. Actual updating of office general and administrative costs 
will be accomplished by applying the current percentage factor to 
updated direct labor, including current governmental overhead and 
current operations overhead costs.
    (ii) FHWA general and administrative costs shall be developed each 
year on the basis of current level costs; i.e., dividing actual FHWA 
general and administrative costs for the current fiscal year by total 
agency expenses for the current fiscal year. Actual updating of FHWA 
general and administrative costs will be accomplished by applying the 
current percentage factor to updated direct labor, including current

[[Page 672]]

governmental overhead, operations overhead and office general and 
administrative costs.
    (4) Publication costs shall be adjusted on the basis of known 
changes in the costs applicable to publication of material in the 
Federal Register or FHWA-OMC Register.
    (This rounding procedures excludes copying, printing and search 
fees.)
    (e) Rounding of updated fees. Updated fees shall be rounded in the 
following manner:
    (1) Fees between $1 and $30 will be rounded to the nearest $1;
    (2) Fees between $30 and $100 will be rounded to the nearest $10;
    (3) Fees between $100 and $999 will be rounded to the nearest $50; 
and
    (4) Fees above $1,000 will be rounded to the nearest $100.



PART 365--RULES GOVERNING APPLICATIONS FOR OPERATING AUTHORITY--Table of Contents




             Subpart A--How To Apply for Operating Authority

Sec.
365.101  Applications governed by these rules.
365.103   Modified procedure.
365.105  Starting the application process: Form OP-1.
365.107  Types of applications.
365.109  Commission review of the application.
365.111  Appeals to rejections of the application.
365.113  Changing the request for authority or filing supplementary 
          evidence after the application is filed.
365.115  After publication in the ICC Register.
365.117  Obtaining a copy of the application.
365.119  Opposed applications.
365.121  Filing a reply statement.
365.123  Applicant withdrawal.

             Subpart B--How To Oppose Requests for Authority

365.201  Definitions.
365.203  Time for filing.
365.205  Contents of the protest.
365.207  Withdrawal.

       Subpart C--General Rules Governing the Application Process

365.301  Applicable rules.
365.303  Contacting another party.
365.305  Serving copies of pleadings.
365.307  Replies to motions.
365.309  FAX filings.

      Subpart D--Transfer of Operating Rights Under 49 U.S.C. 10926

365.401  Scope of rules.
365.403  Definitions.
365.405  Applications.
365.407  Notice.
365.409  Commission action and criteria for approval.
365.411  Responsive pleadings.
365.413  Procedures for changing the name or business form of a motor or 
          water carrier, household goods freight forwarder, or property 
          broker.

    Authority: 5 U.S.C. 553 and 559; 16 U.S.C. 1456; 49 U.S.C. 13101, 
13301, 13901-13906, 14708, 31138, and 31144; 49 CFR 1.48.

    Source: 59 FR 63728, Dec. 9, 1994, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.



             Subpart A--How To Apply for Operating Authority



Sec. 365.101  Applications governed by these rules.

    These rules govern the handling of applications for operating 
authority of the following type:
    (a) Applications for certificates and permits to operate as a motor 
common or contract carrier of property or passengers.
    (b) Applications for permits to operate as a household goods freight 
forwarder.
    (c) Applications for certificates, permits, and exemptions for water 
carrier transportation of property and passengers.
    (d) Applications for licenses to operate as a broker of motor 
vehicle transportation.
    (e) Applications for certificates under 49 U.S.C. 13902(b)(3) to 
operate as a motor common carrier of passengers in intrastate commerce 
on a route over which applicant holds interstate authority as of 
November 19, 1982.
    (f) Applications for certificates under 49 U.S.C. 13902(b)(3) to 
operate as a motor common carrier of passengers in intrastate commerce 
on a route over which applicant has been granted or will be granted 
interstate authority after November 19, 1982.

[[Page 673]]

    (g) Applications for temporary motor and water carrier authority.
    (h) Applications for Mexican carriers to operate in foreign commerce 
as common, contract or private motor carriers of property (including 
exempt items) between the U.S./Mexico border, and points in California, 
Arizona, New Mexico and Texas.

[59 FR 63728, Dec. 9, 1994, as amended at 60 FR 63981, Dec. 13, 1995; 62 
FR 49940, Sept. 24, 1997]



Sec. 365.103  Modified procedure.

    The Commission will handle licensing application proceedings using 
the modified procedure, if possible. The applicant and protestants send 
statements made under oath (verified statements) to each other and to 
the ICC. There are no personal appearances or formal hearings.



Sec. 365.105  Starting the application process: Form OP-1.

    (a) All applicants shall file the appropriate form in the OP-1 
series, effective January 1, 1995. Form OP-1 for motor property carriers 
and brokers of general freight and household goods; Form OP-1(P) for 
motor passenger carriers; Form OP-1 (FF) for freight forwarders of 
household goods; Form OP-1(W) for water carriers and Form OP-1MX for 
Mexican motor property carriers. A separate filing fee in the amount at 
49 CFR 1002.2(f) is required for each type of authority sought in each 
transportation mode.
    (b) Obtain the form at Commission regional and field offices, or 
call the Commission's automated response number at (202) 927-7600.

[59 FR 63728, Dec. 9, 1994, as amended at 60 FR 63981, Dec. 13, 1996]



Sec. 365.107  Types of applications.

    (a) Fitness applications. Motor property applications and certain 
types of motor passenger applications require only the finding that the 
applicant is fit, willing and able to perform the involved operations 
and to comply with all applicable statutory and regulatory provisions. 
These applications can be opposed only on the grounds that applicant is 
not fit [e.g., is not in compliance with applicable financial 
responsibility and safety fitness requirements]. These applications are:
    (1) Motor common and contract carrier of property (except household 
goods) , Mexican motor property carriers that perform private carriage 
and transport exempt items, and motor contract carrier of passengers 
transportation.
    (2) Motor carrier brokerage of general commodities (except household 
goods).
    (3) Certain types of motor passenger applications as described in 
Form OP-1 (P).
    (b) Motor passenger ``public interest'' applications as described in 
Form OP-1 (P).
    (c) Intrastate motor passenger applications under 49 U.S.C. 
13902(b)(3) as described in Form OP-1, Schedule B.
    (d) Motor common carrier of household goods applications, including 
Mexican carrier applicants. These applications require a finding that:
    (1) The applicant is fit, willing, and able to provide the involved 
transportation and to comply with all applicable statutory and 
regulatory provisions; and
    (2) The service proposed will serve a useful public purpose, 
responsive to a public demand or need.
    (e) Motor contract carrier of household goods, water contract 
carrier, household goods property broker, and household goods freight 
forwarder applications. These applications require a finding that:
    (1) The applicant is fit, willing, and able to provide the involved 
transportation and to comply with all applicable statutory and 
regulatory provisions; and
    (2) The transportation to be provided will be consistent with the 
public interest and the national transportation policy of 49 U.S.C. 
13101.
    (f) Water common carrier applications. These applications require a 
finding that:
    (1) The applicant is fit, willing, and able to provide the involved 
transportation and to comply with all applicable statutory and 
regulatory provisions; and
    (2) The transportation to be provided is or will be required by 
present or future public convenience and necessity.

[[Page 674]]

    (g) Temporary authority (TA) for motor and water carriers. These 
applications require a finding that there is or soon will be an 
immediate transportation need that cannot be met by existing carrier 
service.

    Note: In view of the expedited time frames established in this part 
for processing requests for permanent authority, applications for TA 
will be entertained only in exceptional circumstances (i.e., natural 
disasters or national emergencies) when evidence of immediate service 
need can be specifically documented in a narrative supplement appended 
to Form OP-1 for motor property carriers, Form OP-1MX for Mexican 
property carriers, Form OP-1(P) for motor passenger carriers, and Form 
OP-1(W) for water carriers. TA applications must be filed with the 
Regional Office which has jurisdiction over the area in which 
applicant's headquarters are located. Initial determinations of TA 
applications will be made by a Regional Motor Carrier Board.


[59 FR 63728, Dec. 9, 1994, as amended at 60 FR 63981, Dec. 13, 1995; 62 
FR 49940, Sept. 24, 1997]



Sec. 365.109  Commission review of the application.

    (a) ICC staff will review the application for correctness, 
completeness, and adequacy of the evidence (the prima facie case).
    (1) Minor errors will be corrected without notification to the 
applicant.
    (2) Materially incomplete applications will be rejected. 
Applications that are in substantial compliance with these rules may be 
accepted.
    (3) All motor carrier applications will be reviewed for consistency 
with the Commission's operational safety fitness policy. Applicants with 
``Unsatisfactory'' safety fitness ratings from DOT will have their 
applications rejected.
    (4) An employee board of the Commission appointed under 
Sec. 1011.6(g) will review completed applications that conform with the 
Commission's safety fitness policy and that are accompanied by evidence 
of adequate financial responsibility.
    (5) Financial responsibility is indicated by filing within 20 days 
from the date an application notice is published in the ICC Register:
    (i) Form BMC-91 or 91X or BMC 82 surety bond--Bodily injury and 
property damage (motor property and passenger carriers; household goods 
freight forwarders that provide pickup or delivery service directly or 
by using a local delivery service under their control).
    (ii) Form BMC-84--Surety bond or Form BMC-85--trust fund agreement 
(property brokers of general commodities and household goods).
    (iii) Form BMC-34 or BMC 83 surety bond--Cargo liability (motor 
property common carriers and household goods freight forwarders).
    (6) Applicants also must submit Form BOC-3--designation of legal 
process agents--within 20 days from the date an application notice is 
published in the ICC Register.
    (7) Applicants seeking to conduct operations for which tariffs are 
required may not commence such operations until tariffs are on file with 
the Commission and in effect.
    (8) All applications must be completed in English.
    (b) A summary of the application will be published as a preliminary 
grant of authority in the ICC Register to give notice to the public in 
case anyone wishes to oppose the application.

[59 FR 63728, Dec. 9, 1994, as amended at 60 FR 63981, Dec. 13, 1995]



Sec. 365.111  Appeals to rejections of the application.

    (a) An applicant has the right to appeal rejection of the 
application. The appeal must be filed at the Commission within 10 days 
of the date of the letter of rejection.
    (b) If the appeal is successful and the filing is found to be 
proper, the application shall be deemed to have been properly filed as 
of the decision date of the appeal.



Sec. 365.113  Changing the request for authority or filing supplementary evidence after the application is filed.

    (a) Once the application is filed, the applicant may supplement 
evidence only with approval of the Commission.
    (b) Amendments to the application generally are not permitted, but 
in appropriate instances may be entertained at the discretion of the 
Commission.

[[Page 675]]



Sec. 365.115  After publication in the ICC Register.

    (a) Interested persons have 10 days from the date of ICC Register 
publication to file protests. See Subpart B of this part.
    (b) If no one opposes the application, the grant published in the 
ICC Register will become effective by issuance of a certificate, permit, 
or license.



Sec. 365.117  Obtaining a copy of the application.

    After publication, interested persons may request a copy of the 
application by contacting the Commission-designated contract agent (as 
identified in the ICC Register), Room 2229, Interstate Commerce 
Commission Building.



Sec. 365.119  Opposed applications.

    If the application is opposed, opposing parties are required to send 
a copy of their protest to the applicant.



Sec. 365.121  Filing a reply statement.

    (a) If the application is opposed, applicant may file a reply 
statement. This statement is due within 20 days after ICC Register 
publication.
    (b) The reply statement may not contain new evidence. It shall only 
rebut or further explain matters previously raised.
    (c) The reply statement need not be notarized or verified. Applicant 
understands that the oath in the application form applies to all 
evidence submitted in the application. Separate legal arguments by 
counsel need not be notarized or verified.



Sec. 365.123  Applicant withdrawal.

    If the applicant wishes to withdraw an application, it shall request 
dismissal in writing.



             Subpart B--How To Oppose Requests for Authority



Sec. 365.201  Definitions.

    A person wishing to oppose a request for permanent authority files a 
protest. A person filing a valid protest becomes a protestant.



Sec. 365.203  Time for filing.

    A protest shall be filed (received at the Commission) within 10 days 
after notice of the application appears in the ICC Register. A copy of 
the protest shall be sent to applicant's representative at the same 
time. Failure timely to file a protest waives further participation in 
the proceeding.



Sec. 365.205  Contents of the protest.

    (a) All information upon which the protestant plans to rely is put 
into the protest.
    (b) A protest must be verified, as follows:

    I, ____________________, verify under penalty of perjury under laws 
of the United States of America, that the information above is true and 
correct. Further, I certify that I am qualified and authorized to file 
this protest. (See 18 U.S.C. 1001 and 18 U.S.C. 1621 for penalties.)

(Signature and Date)

    (c) A protest not in substantial compliance with applicable 
statutory standards or these rules may be rejected.
    (d) Protests must respond directly to the statutory standards for 
Commission review of the application. As these standards vary for 
particular types of applications, potential protestants should refer to 
the general criteria addressed at Sec. 365.107 of this part and may 
consult the Commission at (202) 927-7600 for further assistance in 
developing their evidence.

[59 FR 63728, Dec. 9, 1994. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 49940, Sept. 24, 1997]



Sec. 365.207  Withdrawal.

    A protestant wishing to withdraw from a proceeding shall inform the 
Commission and applicant in writing.



       Subpart C--General Rules Governing the Application Process



Sec. 365.301  Applicable rules.

    Generally, all application proceedings are governed by the 
Commission's Rules of Practice at 49 CFR parts 1100-1105 and 1112-1117, 
except as designated below.

[[Page 676]]



Sec. 365.303  Contacting another party.

    When a person wishes to contact a party or serve a pleading or 
letter on that party, it shall do so through its representative. The 
phone and FAX numbers and address of applicant's representative shall be 
listed in the ICC Register.



Sec. 365.305  Serving copies of pleadings.

    (a) An applicant must serve all pleadings and letters on the 
Commission and all known participants in the proceeding, except that a 
reply to a motion need only be served on the moving party.
    (b) A protestant need serve only the Commission and applicant with 
pleadings or letters.



Sec. 365.307  Replies to motions.

    Replies to motions filed under this part are due within 5 days of 
the date the motion is filed at the Commission.



Sec. 365.309  FAX filings.

    FAX filings of applications and supporting evidence are not 
permitted. To assist parties in meeting the expedited time frames 
established for protesting an application, however, the Commission will 
accept FAX filings of protests and any reply or rebuttal evidence. FAX 
filings of these pleadings must be followed by the original document, 
plus one copy for Commission recordkeeping purposes.



      Subpart D--Transfer of Operating Rights Under 49 U.S.C. 10926

    Source: 53 FR 4852, Feb. 18, 1988, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.



Sec. 365.401  Scope of rules.

    These rules define the procedures that enable motor passenger and 
property carriers, water carriers, property brokers, and household goods 
freight forwarders to obtain approval from the Interstate Commerce 
Commission to merge, transfer, or lease their operating rights in 
financial transactions not subject to 49 U.S.C. 11343. Transactions 
covered by these rules are governed by 49 U.S.C. 10321 and 10926. The 
filing fee is set forth at 49 CFR 1002.2(f)(25).



Sec. 365.403  Definitions.

    For the purposes of this part, the following definitions apply:
    (a) Transfer. Transfers include all transactions (i.e., the sale or 
lease of interstate operating rights,\1\ or the merger of two or more 
carriers or a carrier into a noncarrier) subject to 49 U.S.C. 10926, as 
well as the sale of property brokers' licenses under 49 U.S.C. 10321.
---------------------------------------------------------------------------

    \1\ The execution of a chattel mortgage, deed of trust, or other 
similar document does not constitute a transfer or require the 
Commission's approval. However, a foreclosure for the purpose of 
transferring an operating right to satisfy a judgment or claim against 
the record holder may not be effected without approval of the 
Commission.
---------------------------------------------------------------------------

    (b) Operating rights. Operating rights include:
    (1) Certificates and permits issued to motor and water carriers;
    (2) Permits issued to household goods freight forwarders;
    (3) Licenses issued to property brokers; and
    (4) Certificates of Registration issued to motor carriers. The term 
also includes authority held by virtue of the gateway elimination 
regulations published in the Federal Register as letter-notices.
    (c) Certificate of registration. The evidence of a motor carrier's 
right to engage in interstate or foreign commerce within a single State 
is established by a corresponding State certificate.
    (d) Person. An individual, partnership, corporation, company, 
association, or other form of business, or a trustee, receiver, 
assignee, or personal representative of any of these.
    (e) Record holder. The person shown on the records of the Commission 
as the legal owner of the operating rights.
    (f) Control. A relationship between persons that includes actual 
control, legal control, and the power to exercise control, through or by 
common directors, officers, stockholders, a voting trust, a holding or 
investment company, or any other means.
    (g) Category 1 transfers. Transactions in which the person to whom 
the operating rights would be transferred is not

[[Page 677]]

an ICC carrier and is not affiliated with any ICC carrier.
    (h) Category 2 transfers. Transactions in which the person to whom 
the operating rights would be transferred is an ICC carrier and/or is 
affiliated with an ICC carrier.



Sec. 365.405  Applications.

    (a) Procedural requirements. (1) At least 10 days before 
consummation, an original and two copies of a properly completed Form 
OP-FC-1 and any attachments (see paragraph (b)(1)(viii) of this section) 
must be filed with the Office of the Secretary, Applications and Fees 
Unit, Interstate Commerce Commission, Washington, DC 20423. The original 
must show that an additional copy has been furnished to the Commission's 
Regional Director for the Region(s) in which the applicants' 
headquarters are located. The nonrefundable filing fee prescribed by 49 
CFR 1002.2(f)(25) must accompany the application.
    (2) At any time after the expiration of the 10-day waiting period, 
applicants may consummate the transaction, subject to the subsequent 
approval of the application by the Commission, as described below. The 
transferee may commence operations under the rights acquired from the 
transferor upon its compliance with the Commission's regulations 
governing insurance, tariffs (if applicable), and process agents. See 49 
CFR parts 387, subpart C, 1312 and 366, respectively. In addition, 
contract carriers must comply with the Commission's regulations 
concerning contracts at 49 CFR part 1053. In the alternative, applicants 
may wait until the Commission has issued a decision on their application 
before transferring the operating rights. If the transferee wants the 
transferor's operating authority to be reissued in its name, it should 
furnish the Commission with a statement executed by both transferor and 
transferee indicating that the transaction has been consummated. 
Authority will not be reissued until after the Commission has approved 
the transaction.
    (b) Information required. (1) In category 1 and category 2 
transfers, applicants must furnish the following information:
    (i) Full name, address, and signatures of the transferee and 
transferor.
    (ii) A copy of that portion of the transferor's operating authority 
involved in the transfer proceeding.
    (iii) A short summary of the essential terms of the transaction.
    (iv) If relevant, the status of proceedings for the transfer of 
State certificate(s) corresponding to the Certificates of Registration 
being transferred.
    (v) A statement as to whether the transfer will or will not 
significantly affect the quality of the human environment.
    (vi) Certification by transferor and transferee of their current 
respective safety ratings by the United States Department of 
Transportation (i.e., satisfactory, conditional, unsatisfactory, or 
unrated).
    (vii) Certification by the transferee that it has sufficient 
insurance coverage under 49 U.S.C. 13906 for the service it intends to 
provide.
    (viii) Information to demonstrate that the proposed transaction is 
consistent with the national transportation policy and satisfies the 
criteria for approval set forth at Sec. 365.409 of this part. (Such 
information may be appended to the application form and, if provided, 
would be embraced by the oath and verification contained on that form.)
    (ix) If motor carrier operating rights are being transferred, 
certification by the transferee that it is not domiciled in Mexico nor 
owned or controlled by persons of that country.
    (2) Category 2 applicants must also submit the following additional 
information:
    (i) Name(s) of the carrier(s), if any, with which the transferee is 
affiliated.
    (ii) Aggregate revenues of the transferor, transferee, and their 
carrier affiliates from interstate transportation sources for a 1-year 
period ending not earlier than 6 months before the date of the agreement 
of the parties concerning the transaction. If revenues exceed $2 
million, the transfer may be subject to 49 U.S.C. 14303 rather than 
these rules.

[53 FR 4852, Feb. 18, 1988, as amended at 54 FR 35343, Aug. 25, 1989; 62 
FR 49940, Sept. 24, 1997]

[[Page 678]]



Sec. 365.407  Notice.

    The Commission will give notice of approved transfer applications 
through publication in the ICC Register.



Sec. 365.409  Commission action and criteria for approval.

    A transfer will be approved under this section if:
    (a) The transaction is not subject to 49 U.S.C. 14303; and
    (b) The transaction is consistent with the public interest; however,
    (c) If the transferor or transferee has an ``Unsatisfactory'' safety 
fitness rating from DOT, the transfer may be denied. If an application 
is denied, the Commission will set forth the basis for its action in a 
decision or letter notice. If parties with ``Unsatisfactory'' safety 
fitness ratings consummate a transaction pursuant to the 10-day rule at 
Sec. 365.405 of this part prior to the notification of Commission 
action, they do so at their own risk and subject to any conditions we 
may impose subsequently. Transactions that have been consummated but 
later are denied by the Commission are null and void and must be 
rescinded. Similarly, if applications contain false or misleading 
information, they are void ab initio.

[53 FR 4852, Feb. 18, 1988, as amended at 56 FR 46735, Sept. 16, 1991; 
62 FR 49940, Sept. 24, 1997]



Sec. 365.411  Responsive pleadings.

    (a) Protests must be filed within 20 days after the date of 
publication of an approved transfer application in the ICC Register. 
Protests received prior to the notice will be rejected. Applicants may 
respond within 20 days after the due date of protests. Petitions for 
reconsideration of decisions denying applications must be filed within 
20 days after the date of service of such decisions.
    (b) Protests and petitions for reconsideration must be filed with 
the Office of the Secretary, Case Control Branch, Interstate Commerce 
Commission, Washington, DC 20423, and be served on appropriate parties.



Sec. 365.413  Procedures for changing the name or business form of a motor or water carrier, household goods freight forwarder, or property broker.

    (a) Scope. These procedures (and not the transfer rules at 49 CFR 
parts 365, subpart D, 1182, 1183 and 1186) apply in the following 
circumstances:
    (1) A change in the form of a business, such as the incorporation of 
a partnership or sole proprietorship;
    (2) A change in the legal name of a corporation or partnership or 
change in the trade name or assumed name of any entity;
    (3) A transfer of operating rights from a deceased or incapacitated 
spouse to the other spouse;
    (4) A reincorporation and merger for the purpose of effecting a name 
change;
    (5) An amalgamation or consolidation of a carrier and a noncarrier 
into a new carrier having a different name from either of the 
predecessor entities; and
    (6) A change in the State of incorporation accomplished by 
dissolving the corporation in one State and reincorporating in another 
State.
    (b) Procedures. To accomplish these changes, a letter must be sent 
to the Office of the Secretary, Applications and Fees Unit, Interstate 
Commerce Commission, Washington, DC 20423. The envelope should be marked 
``NAME CHANGE''. The applicant must provide:
    (1) The docket number(s) and name of the carrier requesting the 
change;
    (2) A copy of the articles of incorporation and the State 
certificate reflecting the incorporation;
    (3) The name(s) of the owner(s) of the stock and the distribution of 
the shares;
    (4) The names of the officers and directors of the corporation; and
    (5) A statement that there is no change in the ownership, 
management, or control of the business. When this procedure is being 
used to transfer operating rights from a deceased or incapacitated 
spouse to the other spouse, documentation that the other spouse has the 
legal right to effect such

[[Page 679]]

change must be included with the request. The fee for filing a name 
change request is in 49 CFR 1002.2(f)(11).

[53 FR 4852, Feb. 18, 1988, as amended at 54 FR 47364, Nov. 14, 1989; 62 
FR 49940, Sept. 24, 1997]



PART 366--DESIGNATION OF PROCESS AGENT--Table of Contents




Sec.
366.1  Applicability.
366.2  Form of designation.
366.3  Eligible persons.
366.4  Required States.
366.5  Blanket designations.
366.6  Cancellation or change.

    Authority: 49 U.S.C. 13303, 13304, and 14704; 49 CFR 1.48.

    Source: 55 FR 11197, Mar. 27, 1990, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.



Sec. 366.1  Applicability.

    These rules, relating to the filing of designations of persons upon 
whom court process may be served, govern motor carriers and brokers and, 
as of the moment of succession, their fiduciaries (as defined at 49 CFR 
387.319(a)).

[55 FR 11197, Mar. 27, 1990. Redesignated at 61 FR 54707, Oct. 21, 1996; 
62 FR 49940, Sept. 24, 1997]



Sec. 366.2  Form of designation.

    Designations shall be made on Form BOC-3, Designation of Agent for 
Service of Process. Only one completed current form may be on file. It 
must include all States for which agent designations are required. One 
copy must be retained by the carrier or broker at its principal place of 
business.



Sec. 366.3  Eligible persons.

    All persons (as defined at 49 U.S.C. 13102(16)) designated must 
reside or maintain an office in the State for which they are designated. 
If a State official is designated, evidence of his willingness to accept 
service of process must be furnished.

[55 FR 11197, Mar. 27, 1990. Redesignated at 61 FR 54707, Oct. 21, 1996; 
62 FR 49940, Sept. 24, 1997]



Sec. 366.4  Required States.

    (a) Motor carriers. Every motor carrier (of property or passengers) 
shall make a designation for each State in which it is authorized to 
operate and for each State traversed during such operations. Every motor 
carrier (including private carriers) operating in the United States in 
the course of transportation between points in a foreign country shall 
file a designation for each State traversed.
    (b) Brokers. Every broker shall make a designation for each State in 
which its offices are located or in which contracts will be written.

[55 FR 11197, Mar. 27, 1990, as amended at 55 FR 47338, Nov. 13, 1990]



Sec. 366.5  Blanket designations.

    Where an association or corporation has filed with the Commission a 
list of process agents for each State, motor carriers may make the 
required designations by using the following statement:

    Those persons named in the list of process agents on file with the 
Interstate Commerce Commission by ______________________________

_______________________________________________________________________

(Name of association or corporation) and any subsequently filed 
revisions thereof, for the States in which this carrier is or may be 
authorized to operate, including States traversed during such 
operations, except those States for which individual designations are 
named.



Sec. 366.6  Cancellation or change.

    A designation may be canceled or changed only by a new designation 
except that, where a carrier or broker ceases to be subject to 
Sec. 366.4 in whole or in part for 1 year, designation is no longer 
required and may be canceled without making another designation.

[55 FR 11197, Mar. 27, 1990. Redesignated at 61 FR 54707, Oct. 21, 1996; 
62 FR 49940, Sept. 24, 1997]



PART 367--STANDARDS FOR REGISTRATION WITH STATES--Table of Contents




Sec.
367.1  Definitions.
367.2  Participation by States.
367.3  Selection of registration State.
367.4  Requirements for registration.

[[Page 680]]

367.5  Registration receipts.
367.6  Registration State accounting.
367.7  Violations unlawful; criminal penalties and civil sanctions.

Appendix A to Part 367--Uniform Application for Single State 
          Registration for Motor Carriers Registered with the Secretary 
          of Transportation

    Authority: 49 U.S.C. 13301 and 14504; 49 CFR 1.48.

    Source: 58 FR 28933, May 18, 1993, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.



Sec. 367.1  Definitions.

    (a) The Secretary. The Secretary of Transportation.
    (b) Motor carrier and carrier. A person authorized to engage in the 
transportation of passengers or property, as a common or contract 
carrier, in interstate or foreign commerce, under the provisions of 49 
U.S.C. 13902.
    (c) Motor vehicle. A self-propelled or motor driven vehicle operated 
by a motor carrier in interstate or foreign commerce under authority 
issued by the Secretary.
    (d) Principal place of business. A single location that serves as a 
motor carrier's headquarters and where it maintains or can make 
available its operational records.
    (e) State. A State of the United States or the District of Columbia.

[58 FR 28933, May 18, 1993. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15420, Apr. 1, 1997]



Sec. 367.2  Participation by States.

    (a) A State is eligible to participate as a registration State and 
to receive fee revenue only if, as of January 1, 1991, it charged or 
collected a fee for a vehicle identification stamp or a number pursuant 
to the provisions of the predecessor to this part.
    (b) An eligible State that intends either to commence or to cease 
participating in the registration program must publish notice of its 
intention by the 1st day of July of the year preceding the registration 
year in which it will commence or cease participating.



Sec. 367.3  Selection of registration State.

    (a) Each motor carrier required to register and pay filing fees must 
select a single participating State as its registration State. The 
carrier must select the State in which it maintains its principal place 
of business, if such State is a participating State. A carrier that 
maintains its principal place of business outside of a participating 
State must select the State in which it will operate the largest number 
of motor vehicles during the next registration year. In the event a 
carrier will operate the same largest number of vehicles in more than 
one State, it must select one of those States.
    (b) A carrier may not change its registration State unless it 
changes its principal place of business or its registration State ceases 
participating in the program, in which case the carrier must select a 
registration State for the next registration year under the standards of 
paragraph (a) of this section.
    (c) A carrier must give notice of its selection to the State 
commission of its selected registration State, and, the State commission 
of its prior registration State, within 30 days after it has made its 
selection. If a carrier changes its principal place of business during 
the annual registration period specified in Sec. 367.4(b)(2), the 
carrier may continue to use its prior registration State, if any, for 
the next registration year.
    (d) A carrier must give notice of its selection to its insurer or 
insurers as soon as practicable after it has made its selection.

[58 FR 28933, May 18, 1993. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15420, Apr. 1, 1997]



Sec. 367.4  Requirements for registration.

    (a) Except as provided in paragraph (c)(1) of this section with 
regard to a carrier operating under temporary authority, only a motor 
carrier holding a certificate or permit issued by the Secretary under 49 
U.S.C. 13902 shall be required to register under these standards.
    (b) A motor carrier operating in interstate or foreign commerce in 
one or more participating States under a certificate or permit issued by 
the Secretary shall be required to register annually with a single 
registration State, and such registration shall be deemed to satisfy the 
registration requirements of all participating States.

[[Page 681]]

    (1) The registration year will be the calendar year.
    (2) A carrier must file its annual registration application between 
the 1st day of August and the 30th day of November of the year preceding 
the registration year. A carrier that intends to commence operating 
during the current registration year may register at any time, but it 
must do so before it commences operating.
    (3) The registration application must be in the form appended to 
this part and must contain the information and be accompanied by the 
fees specified in paragraph (c) of this section. There will be no 
prorating of fees to account for partial year operations.
    (4) A carrier that has changed its registration State since its last 
filing must identify the registration State with which it previously 
filed.
    (c) A motor carrier must file, or cause to be filed, the following 
with its registration State:
    (1) Copies of its certificates and/or permits. A carrier must 
supplement its filing by submitting copies of any new operating 
authorities as they are issued. Once a carrier has submitted copies of 
its authorities, it may thereafter satisfy the filing requirement by 
certifying that the copies are on file. A carrier may, with the 
permission of its registration State, submit a summary of its operating 
authorities in lieu of copies. A carrier granted emergency temporary 
authority or temporary authority having a duration of 120 days or less 
is not required to file evidence of such authority, but it must 
otherwise comply with the requirements of this section;
    (2) A copy of its proof of public liability security submitted to 
and accepted by the Secretary under 49 CFR part 387, subpart C or a copy 
of an order of the Secretary approving a public liability self-insurance 
application or other public liability security or agreement under the 
provisions of that part. A carrier must supplement its filings as 
necessary to ensure that current information is on file. Once a carrier 
has submitted, or caused to be submitted, a copy of its proof or order 
of the Secretary, it may thereafter satisfy the filing requirement by 
certifying that it has done so and that its security, self-insurance, or 
agreement remains in effect;
    (3) A copy of its designation of an agent or agents for service of 
process submitted to and accepted by the Secretary under 49 CFR part 
366. A carrier must supplement its filings as necessary to ensure that 
current information is on file. Once a carrier has submitted a copy of 
its designation, it may thereafter satisfy the filing requirement by 
certifying that its designation is on file; and
    (4) A fee for the filing of proof of insurance. In support of such 
fee, the carrier must submit the following information:
    (i) The number of motor vehicles it intends to operate in each 
participating State during the next registration year;
    (ii) The per vehicle fee each pertinent participating State charges, 
which fee must equal the fee, not to exceed $10, that such State 
collected or charged as of November 15, 1991;
    (iii) The total fee due each participating State; and
    (iv) The total of all fees specified in paragraph (c)(4)(iii) of 
this section.
    (d) Consistent with its obligations under paragraph (c)(2) of this 
section, a carrier must cause to be timely filed with its registration 
State copies of any notices of cancellation or of any replacement 
certificates of insurance, surety bonds, or other security filed with 
the Secretary under 49 CFR part 387, subpart C.
    (e) A carrier must make such supplemental filings at any time during 
the registration year as may be necessary to specify additional vehicles 
and/or States of operation and to pay additional fees.
    (f) A motor carrier must submit to its insurer or insurers a copy of 
the supporting information, including any supplemental information, 
filed with its registration State under paragraphs (c)(4) and (e) of 
this section.
    (g) The charging or collection of any fee that is not in accordance 
with the fee system established above is deemed a burden on interstate 
commerce. This includes fees for the registration or filing of evidence 
of insurance whether assessed directly upon the carrier or indirectly 
upon the insurance provider

[[Page 682]]

or other party who seeks reimbursement from the carrier.
    (h) To the extent any State registration requirement imposes 
obligations in excess of those specified in this part, the requirement 
is an unreasonable burden on transportation within the Secretary's 
jurisdiction under 49 U.S.C. 13501.

[58 FR 28933, May 18, 1993. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15420, Apr. 1, 1997]



Sec. 367.5  Registration receipts.

    (a) On compliance by a motor carrier with the annual or supplemental 
registration requirements of Sec. 367.4, the registration State must 
issue the carrier a receipt reflecting that the carrier has filed the 
required proof of insurance and paid fees in accordance with the 
requirements of that section. The registration State also must issue a 
number of official copies of the receipt equal to the number of motor 
vehicles for which fees have been paid.
    (1) The receipt and official copies must contain only information 
identifying the carrier and specifying the States for which fees were 
paid. Supplemental receipts and official copies need contain only 
information relating to their underlying supplemental registrations.
    (b) Receipts and official copies issued pursuant to a filing made 
during the annual registration period specified in Sec. 367.4(b)(2) must 
be issued within 30 days of filing of a fully acceptable registration 
application. All other receipts and official copies must be issued by 
the 30th day following the date of filing of a fully acceptable 
supplemental registration application. All receipts and official copies 
shall expire at midnight on the 31st day of December of the registration 
year for which they were issued.
    (c) A carrier is permitted to operate its motor vehicles only in 
those participating States with respect to which it has paid appropriate 
fees, as indicated on the receipts and official copies. It may not 
operate more motor vehicles in a participating State than the number for 
which it has paid fees.
    (d) A motor carrier may not copy or alter a receipt or an official 
copy of a receipt.
    (e) A motor carrier must maintain in each of its motor vehicles an 
official copy of its receipt indicating that it has filed the required 
proof of insurance and paid appropriate fees for each State in which it 
operates.
    (f) A motor carrier may transfer its official copies of its receipts 
from vehicles taken out of service to their replacement vehicles.
    (g) The driver of a motor vehicle must present an official copy of a 
receipt for inspection by any authorized government personnel on 
reasonable demand.
    (h) No registration State shall require decals, stamps, cab cards, 
or any other means of registering or identifying specific vehicles 
operated by a motor carrier.

[60 FR 30012, June 7, 1995. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15420, Apr. 1, 1997]



Sec. 367.6  Registration State accounting.

    (a) A participating State must, on or before the last day of each 
month, allocate and remit to each other participating State the 
appropriate portion of the fee revenue registrants submitted during the 
preceding month. Each remittance must be accompanied by a supporting 
statement identifying registrants and specifying the number of motor 
vehicles for which each registrant submitted fees. A participating State 
must submit a report of ``no activity'' to any other participating State 
for which it collected no fees during any month.
    (b) A participating State must maintain records of fee revenue 
received from and remitted to each other participating State. Such 
records must specify the fees received from and remitted to each 
participating State with respect to each motor carrier registrant. A 
participating State must retain such records for a minimum of 3 years.
    (c) A participating State must keep records pertaining to each of 
the motor carriers for which it acts as a registration State. The 
records must, at a minimum, include copies of annual and supplemental 
registration applications containing the information required by

[[Page 683]]

Sec. 367.4(c). A registration State must retain all such records for a 
minimum of 3 years.

[58 FR 28933, May 18, 1993. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15420, Apr. 1, 1997]



Sec. 367.7  Violations unlawful; criminal penalties and civil sanctions.

    Any violation of the provisions of these standards is unlawful. 
Nothing in these standards shall be construed to prevent a State from 
imposing criminal penalties or civil sanctions upon any person or 
organization violating any provision of them.

      Appendix A to Part 367--Uniform Application for Single State 
    Registration for Motor Carriers Registered with the Secretary of 
                             Transportation

Motor Carrier Identification Numbers:

FHWA MC No.(s.)_________________________________________________________

US DOT No.______________________________________________________________
Applicant (Identical to name on FHWA order):

Name:___________________________________________________________________

D/B/A___________________________________________________________________
Principal Place of Business Address: \1\
---------------------------------------------------------------------------

    \1\ A principal place of business is a single location that serves 
as a motor carrier's headquarters and where it maintains or can make 
available its operational records.
---------------------------------------------------------------------------

Street__________________________________________________________________

City____________________________________________________________________

State___________________________________________________________________

Zip_____________________________________________________________________
Mailing Address if Different From Business Address Above:

Street__________________________________________________________________

City____________________________________________________________________

State___________________________________________________________________

Zip_____________________________________________________________________
Type of Registration:
[  ] New Carrier Registration-- The motor carrier has not previously 
          registered.
[  ] Annual Registration-- The motor carrier is renewing its annual 
          registration.
[  ] Supplemental Registration-- The motor carrier is adding additional 
          vehicles or States of travel after its annual registration.
[  ] New Registration State Selection-- The motor carrier has changed 
          its principal place of business or its prior registration 
          State has left the registration program. The prior 
          registration State was ____________________.

[  ] Additional States not registered in prior years. List

_______________________________________________________________________

_______________________________________________________________________

Type of Motor Carrier: (Check one)
[  ] Individual   [  ] Partnership   [  ] Corporation
    If corporation, give State in which 
incorporated:____________________

List names of partners or officers:

Name:___________________________________________________________________

Title:__________________________________________________________________

Name:___________________________________________________________________

Title:__________________________________________________________________

Name:___________________________________________________________________

Title:__________________________________________________________________

Type of FHWA Registered Authority:
Permanent Certificate or Permit [  ] Temporary Authority (TA) [  ] 
          Emergency Temporary Authority (ETA) [  ]

FHWA Certificate(s) or Permit(s):
[  ] FHWA Authority Order(s) attached for initial registration.
[  ] FHWA Authority Order(s) attached for additional grants received.
[  ] No change from prior year registration.
Proof of Public Liability Security:
[  ] The applicant is filing, or causing to be filed, a copy of its 
          proof of public liability security submitted to and accepted 
          by the FHWA under 49 CFR part 387, subpart C.
[  ] The applicant has filed, or caused to be filed, a copy of its proof 
          of public liability security submitted to and accepted by the 
          FHWA under 49 CFR part 387, subpart C, and the security 
          remains in effect.

FHWA Approved Self-Insurance or Other Securities:
[  ] FHWA Insurance order attached for new carrier registration. (Check 
          one when completing for annual registration.)
[  ] The FHWA Order approving the self-insurance plan or other security 
          is still in full force and effect, and the carrier is in full 
          compliance with all conditions imposed by the FHWA Order.
[  ] The motor carrier is no longer approved under a self-insurance plan 
          or other security, and the motor carrier will file, or cause 
          to be filed, a copy of proof of public liability security with 
          this application in the registration State.

Hazardous Materials: (Check one)
[  ] The applicant will not haul hazardous materials in any quantity.
[  ] The applicant will haul hazardous materials that require the 
          following limits in accordance with Title 49 CFR 387.303:

(Check one)
[  ] Public Liability and Property Damage Insurance of $1 million.

[[Page 684]]

[  ] Public Liability and Property Damage Insurance of $5 million.

Process Agents:
[  ] FHWA Form No. BOC-3 or blanket designation attached for new 
          registration.
[  ] FHWA Form No. BOC-3 or blanket designation attached reflecting 
          changes of designation of process agents.
[  ] No change from prior year registration.

Certification:

    I, the undersigned, under penalty for false statement, certify that 
the above information is true and correct and that I am authorized to 
execute and file this document on behalf of the applicant. (Penalty 
provisions subject to the laws of the registration State.)

Name (Printed)__________________________________________________________

Signature_______________________________________________________________

Title___________________________________________________________________

Telephone Number________________________________________________________

Date____________________________________________________________________

[58 FR 28933, May 18, 1993. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15420, Apr. 1, 1997]



PART 368--APPLICATIONS FOR CERTIFICATES OF REGISTRATION BY FOREIGN MOTOR CARRIERS AND FOREIGN MOTOR PRIVATE CARRIERS UNDER 49 U.S.C. 13902(c)--Table of Contents




Sec.
368.1  Controlling legislation.
368.2  Definitions.
368.3  Procedures used generally.
368.4  Information on Form OP-2.
368.5  Where to send the application.
368.6  Review of the application.
368.7  Appeals.

    Authority: 49 U.S.C. 13301 and 13902; 49 CFR 1.48.

    Source: 50 FR 20773, May 20, 1985, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.



Sec. 368.1  Controlling legislation.

    (a) This part governs applications filed under 49 U.S.C. 13902(c). 
Under this section certain foreign motor carriers and motor private 
carriers must hold a certificate of registration to provide certain 
interstate transportation services otherwise outside the registration 
jurisdiction of the Secretary. Neither a foreign motor carrier nor a 
foreign motor private carrier may provide interstate transportation of 
property unless the Secretary has issued the carrier a certificate of 
registration. The service allowable under a certificate of registration 
is described in 49 U.S.C. 13902(c)(4).
    (b) This part applies only to carriers of a contiguous foreign 
country with respect to which a moratorium is in effect under 49 U.S.C. 
13902(c)(4).

[62 FR 15420, Apr. 1, 1997]



Sec. 368.2  Definitions.

    (a) The Act. The ICC Termination Act of 1995.
    (b) Foreign motor carrier. A person transporting the goods of others 
for hire (including a motor carrier of property):
    (1) Which does not hold a registration issued under 49 U.S.C. 
13902(a);
    (2) Which is domiciled in any contiguous foreign country, or is 
owned or controlled by persons of any contiguous foreign country; and
    (3) In the case of a person which is not a motor carrier of 
property, which provides interstate transportation of property under an 
agreement or contract with a motor carrier of property (except a motor 
carrier described in (b)(2) of this section).
    (c) Foreign motor private carrier. A person transporting its own 
goods (including a motor private carrier):
    (1) Which is domiciled in any contiguous foreign country;
    (2) Which is owned or controlled by persons of any contiguous 
foreign country; and
    (3) In the case of a person which is not a motor private carrier 
which provided interstate transportation of property by motor vehicle 
under an agreement or contract entered into with a person (other than a 
motor private carrier described in (c) (1) and (2) of this section).
    (d) Exempt items. Commodities described in detail at or transported 
under 49 U.S.C. 13506(a) (4), (5), (6), (11), (12), (13), and (15).
    (e) Interstate transportation. Transportation described at 49 U.S.C. 
13501, and transportation in the United States otherwise exempt from the 
Secretary's jurisdiction under 49 U.S.C. 13506(b)(1).
    (f) Fit, willing and able. Safety fitness and proof of minimum 
financial responsibility as defined in 49 U.S.C. 13902(a).

[[Page 685]]

    (g) Motor vehicle taxes. Taxes imposed under 26 U.S.C. 4481.
    (h) Most recent taxable period. Same as defined in 26 U.S.C. 
4482(c).

[50 FR 20773, May 20, 1985, as amended at 54 FR 42959, Oct. 19, 1989; 62 
FR 15421, Apr. 1, 1997]



Sec. 368.3  Procedures used generally.

    (a) All applicants must file a completed Form OP-2. All required 
information must be submitted in English on the Form OP-2. The 
application will be decided based on the submitted Form OP-2 and any 
attachments. Notice of the authority sought will not be published in 
either the Federal Register or the Federal Highway Administration's 
Office of Motor Carriers Register. Protests or comments will not be 
allowed. There will be no oral hearings.
    (b) Under the statute, the carriers covered must have a copy of a 
valid certificate of registration in any vehicle providing 
transportation within the scope of the statute.
    (c) Form OP-2 may be obtained at any of the FHWA Regional Offices or 
by contacting the FHWA's Office of Motor Carriers Section of Licensing.

[50 FR 20773, May 20, 1985, as amended at 54 FR 42959, Oct. 19, 1989; 62 
FR 15421, Apr. 1, 1997]



Sec. 368.4  Information on Form OP-2.

    (a) Applicants must furnish all information required on Form OP-2 by 
completing all spaces on the form and providing any necessary 
attachments. Failure to do so will result in rejection of the 
application.
    (b) Notarization of the application is not required; however, 
applicants are subject to applicable Federal penalties for filing false 
information.

[50 FR 20773, May 20, 1985]



Sec. 368.5  Where to send the application.

    The original and one copy of the application shall be filed with the 
FHWA's Regional Office that has jurisdiction over applicant's point of 
domicile (the instructions to the application provide more specific 
information), or at such other location as the Secretary may designate 
in special circumstances. A check or money order for the amount of the 
filing fee set forth at 49 CFR 1002.2(f)(1), payable to the Federal 
Highway Administration's Office of Motor Carriers in United States 
dollars, must be submitted.

[62 FR 15421, Apr. 1, 1997]



Sec. 368.6  Review of the application.

    (a) Federal Highway Administration staff will review the application 
for correctness, completeness, and adequacy of the evidence.
    (1) Minor errors will be corrected without notification to the 
applicant.
    (2) Materially incomplete applications will be rejected.
    (b) Compliance will be determined solely on the basis of the 
application and the safety fitness of the applicant. An employee review 
board will decide whether the authority sought falls under the Act, and 
whether and to what extent the evidence warrants a grant of the 
authority.
    (1) If the authority sought does not require a certificate of 
registration, or if the evidence does not warrant a grant of the 
authority sought, the employee review board will deny the application in 
whole or in part. In the case of a full or partial denial of an 
application, the Federal Highway Administration will inform the 
applicant by letter setting forth the reasons for the denial.
    (2) If the employee board grants all or part of the application, the 
Federal Highway Administration will issue a certificate of registration 
authorizing specified operations provided that applicant has 
demonstrated compliance with 49 CFR 366 (designation of process agent). 
If applicant has not complied with this requirement, the Federal Highway 
Administration will issue a notice stating that a certificate of 
registration will be issued upon such compliance. No certificate of 
registration shall be issued prior to compliance.

[50 FR 20773, May 20, 1985, as amended at 50 FR 40030, Oct. 1, 1985; 54 
FR 52035, Dec. 20, 1989; 55 FR 47338, Nov. 13, 1990; 62 FR 15421, Apr. 
1, 1997]



Sec. 368.7  Appeals.

    A decision disposing of an application subject to this part is a 
final action of the Federal Highway Administration. Review of such an 
action on appeal is

[[Page 686]]

governed by the FHWA's appeal regulations in 49 CFR part 386.

[62 FR 15421, Apr. 1, 1997]



PART 370--PRINCIPLES AND PRACTICES FOR THE INVESTIGATION AND VOLUNTARY DISPOSITION OF LOSS AND DAMAGE CLAIMS AND PROCESSING SALVAGE--Table of Contents




Sec.
370.1  Applicability of regulations.
370.3  Filing of claims.
370.5  Acknowledgment of claims.
370.7  Investigation of claims.
370.9  Disposition of claims.
370.11  Processing of salvage.

    Authority: 49 U.S.C. 13301 and 14706; 49 CFR 1.48.

    Source: 62 FR 32042, June 12, 1997, unless otherwise noted.



Sec. 370.1  Applicability of regulations.

    The regulations set forth in this part shall govern the processing 
of claims for loss, damage, injury, or delay to property transported or 
accepted for transportation, in interstate or foreign commerce, by each 
motor carrier, water carrier, and freight forwarder (hereinafter called 
carrier), subject to 49 U.S.C. subtitle IV, part B.



Sec. 370.3  Filing of claims.

    (a) Compliance with regulations. A claim for loss or damage to 
baggage or for loss, damage, injury, or delay to cargo, shall not be 
voluntarily paid by a carrier unless filed, as provided in paragraph (b) 
of this section, with the receiving or delivering carrier, or carrier 
issuing the bill of lading, receipt, ticket, or baggage check, or 
carrier on whose line the alleged loss, damage, injury, or delay 
occurred, within the specified time limits applicable thereto and as 
otherwise may be required by law, the terms of the bill of lading or 
other contract of carriage, and all tariff provisions applicable 
thereto.
    (b) Minimum filing requirements. A written or electronic 
communication (when agreed to by the carrier and shipper or receiver 
involved) from a claimant, filed with a proper carrier within the time 
limits specified in the bill of lading or contract of carriage or 
transportation and:
    (1) Containing facts sufficient to identify the baggage or shipment 
(or shipments) of property,
    (2) Asserting liability for alleged loss, damage, injury, or delay, 
and
    (3) Making claim for the payment of a specified or determinable 
amount of money, shall be considered as sufficient compliance with the 
provisions for filing claims embraced in the bill of lading or other 
contract of carriage; Provided, however, That where claims are 
electronically handled, procedures are established to ensure reasonable 
carrier access to supporting documents.
    (c) Documents not constituting claims. Bad order reports, appraisal 
reports of damage, notations of shortage or damage, or both, on freight 
bills, delivery receipts, or other documents, or inspection reports 
issued by carriers or their inspection agencies, whether the extent of 
loss or damage is indicated in dollars and cents or otherwise, shall, 
standing alone, not be considered by carriers as sufficient to comply 
with the minimum claim filing requirements specified in paragraph (b) of 
this section.
    (d) Claims filed for uncertain amounts. Whenever a claim is 
presented against a proper carrier for an uncertain amount, such as 
``$100 more or less,'' the carrier against whom such claim is filed 
shall determine the condition of the baggage or shipment involved at the 
time of delivery by it, if it was delivered, and shall ascertain as 
nearly as possible the extent, if any, of the loss or damage for which 
it may be responsible. It shall not, however, voluntarily pay a claim 
under such circumstances unless and until a formal claim in writing for 
a specified or determinable amount of money shall have been filed in 
accordance with the provisions of paragraph (b) of this section.
    (e) Other claims. If investigation of a claim develops that one or 
more other carriers has been presented with a similar claim on the same 
shipment, the carrier investigating such claim shall communicate with 
each such other carrier and, prior to any agreement entered into between 
or among them as to the proper disposition of such claim or claims, 
shall notify all claimants of the receipt of conflicting

[[Page 687]]

or overlapping claims and shall require further substantiation, on the 
part of each claimant of his/her title to the property involved or his/
her right with respect to such claim.



Sec. 370.5  Acknowledgment of claims.

    (a) Each carrier shall, upon receipt in writing or by electronic 
transmission of a proper claim in the manner and form described in the 
regulations in the past, acknowledge the receipt of such claim in 
writing or electronically to the claimant within 30 days after the date 
of its receipt by the carrier unless the carrier shall have paid or 
declined such claim in writing or electronically within 30 days of the 
receipt thereof. The carrier shall indicate in its acknowledgment to the 
claimant what, if any, additional documentary evidence or other 
pertinent information may be required by it further to process the claim 
as its preliminary examination of the claim, as filed, may have 
revealed.
    (b) The carrier shall at the time each claim is received create a 
separate file and assign thereto a successive claim file number and note 
that number on all documents filed in support of the claim and all 
records and correspondence with respect to the claim, including the 
acknowledgment of receipt. At the time such claim is received the 
carrier shall cause the date of receipt to be recorded on the face of 
the claim document, and the date of receipt shall also appear in the 
carrier's acknowledgment of receipt to the claimant. The carrier shall 
also cause the claim file number to be noted on the shipping order, if 
in its possession, and the delivery receipt, if any, covering such 
shipment, unless the carrier has established an orderly and consistent 
internal procedure for assuring:
    (1) That all information contained in shipping orders, delivery 
receipts, tally sheets, and all other pertinent records made with 
respect to the transportation of the shipment on which claim is made, is 
available for examination upon receipt of a claim;
    (2) That all such records and documents (or true and complete 
reproductions thereof) are in fact examined in the course of the 
investigation of the claim (and an appropriate record is made that such 
examination has in fact taken place); and
    (3) That such procedures prevent the duplicate or otherwise unlawful 
payment of claims.



Sec. 370.7  Investigation of claims.

    (a) Prompt investigation required. Each claim filed against a 
carrier in the manner prescribed in this part shall be promptly and 
thoroughly investigated if investigation has not already been made prior 
to receipt of the claim.
    (b) Supporting documents. When a necessary part of an investigation, 
each claim shall be supported by the original bill of lading, evidence 
of the freight charges, if any, and either the original invoice, a 
photographic copy of the original invoice, or an exact copy thereof or 
any extract made therefrom, certified by the claimant to be true and 
correct with respect to the property and value involved in the claim; or 
certification of prices or values, with trade or other discounts, 
allowance, or deductions, of any nature whatsoever and the terms 
thereof, or depreciation reflected thereon; Provided, however, That 
where property involved in a claim has not been invoiced to the 
consignee shown on the bill of lading or where an invoice does not show 
price or value, or where the property involved has been sold, or where 
the property has been transferred at bookkeeping values only, the 
carrier shall, before voluntarily paying a claim, require the claimant 
to establish the destination value in the quantity, shipped, 
transported, or involved; Provided, further, That when supporting 
documents are determined to be a necessary part of an investigation, the 
supporting documents are retained by the carriers for possible FHWA 
inspection.
    (c) Verification of loss. When an asserted claim for loss of an 
entire package or an entire shipment cannot be otherwise authenticated 
upon investigation, the carrier shall obtain from the consignee of the 
shipment involved a certified statement in writing that the property for 
which the claim is filed has not been received from any other source.

[[Page 688]]



Sec. 370.9  Disposition of claims.

    (a) Each carrier subject to 49 U.S.C. subtitle IV, part B which 
receives a written or electronically transmitted claim for loss or 
damage to baggage or for loss, damage, injury, or delay to property 
transported shall pay, decline, or make a firm compromise settlement 
offer in writing or electronically to the claimant within 120 days after 
receipt of the claim by the carrier; Provided, however, That, if the 
claim cannot be processed and disposed of within 120 days after the 
receipt thereof, the carrier shall at that time and at the expiration of 
each succeeding 60-day period while the claim remains pending, advise 
the claimant in writing or electronically of the status of the claim and 
the reason for the delay in making final disposition thereof and it 
shall retain a copy of such advice to the claimant in its claim file 
thereon.
    (b) When settling a claim for loss or damage, a common carrier by 
motor vehicle of household goods as defined in Sec. 375.1(b)(1) of this 
chapter shall use the replacement costs of the lost or damaged item as a 
base to apply a depreciation factor to arrive at the current actual 
value of the lost or damaged item: Provided, That where an item cannot 
be replaced or no suitable replacement is obtainable, the proper measure 
of damages shall be the original costs, augmented by a factor derived 
from a consumer price index, and adjusted downward by a factor 
depreciation over average useful life.



Sec. 370.11  Processing of salvage.

    (a) Whenever baggage or material, goods, or other property 
transported by a carrier subject to the provisions in this part is 
damaged or alleged to be damaged and is, as a consequence thereof, not 
delivered or is rejected or refused upon tender thereof to the owner, 
consignee, or person entitled to receive such property, the carrier, 
after giving due notice, whenever practicable to do so, to the owner and 
other parties that may have an interest therein, and unless advised to 
the contrary after giving such notice, shall undertake to sell or 
dispose of such property directly or by the employment of a competent 
salvage agent. The carrier shall only dispose of the property in a 
manner that will fairly and equally protect the best interests of all 
persons having an interest therein. The carrier shall make an itemized 
record sufficient to identify the property involved so as to be able to 
correlate it to the shipment or transportation involved, and claim, if 
any, filed thereon. The carrier also shall assign to each lot of such 
property a successive lot number and note that lot number on its record 
of shipment and claim, if any claim is filed thereon.
    (b) Whenever disposition of salvage material or goods shall be made 
directly to an agent or employee of a carrier or through a salvage agent 
or company in which the carrier or one or more of its directors, 
officers, or managers has any interest, financial or otherwise, that 
carrier's salvage records shall fully reflect the particulars of each 
such transaction or relationship, or both, as the case may be.
    (c) Upon receipt of a claim on a shipment on which salvage has been 
processed in the manner prescribed in this section, the carrier shall 
record in its claim file thereon the lot number assigned, the amount of 
money recovered, if any, from the disposition of such property, and the 
date of transmittal of such money to the person or persons lawfully 
entitled to receive the same.



PART 371--BROKERS OF PROPERTY--Table of Contents




Sec.
371.1  Applicability.
371.2  Definitions.
371.3  Records to be kept by brokers.
371.7  Misrepresentation.
371.9  Rebating and compensation.
371.10  Duties and obligations of brokers.
371.13  Accounting.

    Authority: 49 U.S.C. 13301 and 13501; 49 CFR 1.48.

    Source: 45 FR 68942, Oct. 17, 1980, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.



Sec. 371.1  Applicability.

    This part applies, to the extent provided therein, to all brokers of 
transportation by motor vehicle as defined in Sec. 371.2.

[32 FR 20034, Dec. 20, 1967, as amended at 62 FR 15421, Apr. 1, 1997]

[[Page 689]]



Sec. 371.2  Definitions.

    (a) Broker means a person who, for compensation, arranges, or offers 
to arrange, the transportation of property by an authorized motor 
carrier. Motor carriers, or persons who are employees or bona fide 
agents of carriers, are not brokers within the meaning of this section 
when they arrange or offer to arrange the transportation of shipments 
which they are authorized to transport and which they have accepted and 
legally bound themselves to transport.
    (b) Bona fide agents are persons who are part of the normal 
organization of a motor carrier and perform duties under the carrier's 
directions pursuant to a preexisting agreement which provides for a 
continuing relationship, precluding the exercise of discretion on the 
part of the agent in allocating traffic between the carrier and others.
    (c) Brokerage or brokerage service is the arranging of 
transportation or the physical movement of a motor vehicle or of 
property. It can be performed on behalf of a motor carrier, consignor, 
or consignee.
    (d) Non-brokerage service is all other service performed by a broker 
on behalf of a motor carrier, consignor, or consignee.



Sec. 371.3  Records to be kept by brokers.

    (a) A broker shall keep a record of each transaction. For purposes 
of this section, brokers may keep master lists of consignors and the 
address and registration number of the carrier, rather than repeating 
this information for each transaction. The record shall show:
    (1) The name and address of the consignor;
    (2) The name, address, and registration number of the originating 
motor carrier;
    (3) The bill of lading or freight bill number;
    (4) The amount of compensation received by the broker for the 
brokerage service performed and the name of the payer;
    (5) A description of any non-brokerage service performed in 
connection with each shipment or other activity, the amount of 
compensation received for the service, and the name of the payer; and
    (6) The amount of any freight charges collected by the broker and 
the date of payment to the carrier.
    (b) Brokers shall keep the records required by this section for a 
period of three years.
    (c) Each party to a brokered transaction has the right to review the 
record of the transaction required to be kept by these rules.

[45 FR 68942, Oct. 17, 1980. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15421, Apr. 1, 1997]



Sec. 371.7  Misrepresentation.

    (a) A broker shall not perform or offer to perform any brokerage 
service (including advertising), in any name other than that in which 
its registration is issued.
    (b) A broker shall not, directly or indirectly, represent its 
operations to be that of a carrier. Any advertising shall show the 
broker status of the operation.

[45 FR 68942, Oct. 17, 1980. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15421, Apr. 1, 1997]



Sec. 371.9  Rebating and compensation.

    (a) A broker shall not charge or receive compensation from a motor 
carrier for brokerage service where:
    (1) The broker owns or has a material beneficial interest in the 
shipment or
    (2) The broker is able to exercise control over the shipment because 
the broker owns the shipper, the shipper owns the broker, or there is 
common ownership of the two.
    (b) A broker shall not give or offer to give anything of value to 
any shipper, consignor or consignee (or their officers or employees) 
except inexpensive advertising items given for promotional purposes.



Sec. 371.10  Duties and obligations of brokers.

    Where the broker acts on behalf of a person bound by law or the FHWA 
regulation as to the transmittal of bills or payments, the broker must 
also abide by the law or regulations which apply to that person.

[45 FR 68943, Oct. 17, 1980, as amended at 62 FR 15421, Apr. 1, 1997]

[[Page 690]]



Sec. 371.13  Accounting.

    Each broker who engages in any other business shall maintain 
accounts so that the revenues and expenses relating to the brokerage 
portion of its business are segregated from its other activities. 
Expenses that are common shall be allocated on an equitable basis; 
however, the broker must be prepared to explain the basis for the 
allocation.

[45 FR 68943, Oct. 17, 1980]



PART 372--EXEMPTIONS, COMMERCIAL ZONES, AND TERMINAL AREAS--Table of Contents




                          Subpart A--Exemptions

Sec.
372.101  Casual, occasional, or reciprocal transportation of passengers 
          for compensation when such transportation is sold or arranged 
          by anyone for compensation.
372.103  Motor vehicles employed solely in transporting school children 
          and teachers to or from school.
372.107  Definitions.
372.109  Computation of tonnage allowable in nonfarm-non-member 
          transportation.
372.111  Nonmember transportation limitation and record keeping.
372.113  [Reserved]
372.115  Commodities that are not exempt under 49 U.S.C. 13506(a)(6).
372.117  Motor transportation of passengers incidental to transportation 
          by aircraft.

                       Subpart B--Commercial Zones

372.201  Albany, NY.
372.203  Beaumont, TX.
372.205  Charleston, SC.
372.207  Charleston, WV.
372.209  Lake Charles, LA.
372.211  Pittsburgh, PA.
372.213  Pueblo, CO.
372.215  Ravenswood, WV.
372.217  Seattle, WA.
372.219  Washington, DC.
372.221  Twin Cities.
372.223  Consolidated governments.
372.225  Lexington-Fayette Urban County, KY.
372.227  Syracuse, NY.
372.229  Spokane, WA.
372.231  Tacoma, WA.
372.233  Chicago, IL.
372.235  New York, NY.
372.237  Cameron, Hidalgo, Starr, and Willacy Counties, TX.
372.239  Definitions.
372.241  Commercial zones determined generally, with exceptions.
372.243  Controlling distances and population data.

                        Subpart C--Terminal Areas

372.300  Distances and population data.
372.301  Terminal areas of motor carriers and freight forwarders at 
          municipalities served.
372.303  Terminal areas of motor carriers and household goods freight 
          forwarders at unincorporated communities served.

    Authority: 49 U.S.C. 13504 and 13506; 49 CFR 1.48.



                          Subpart A--Exemptions

    Source: 32 FR 20036, Dec. 20, 1967, unless otherwise noted. 
Redesignated at 61 FR 54708, Oct. 21, 1996.



Sec. 372.101  Casual, occasional, or reciprocal transportation of passengers for compensation when such transportation is sold or arranged by anyone for 
          compensation.

    The partial exemption from regulation under the provisions of 49 
U.S.C. subtitle IV, part B of the casual, occasional, and reciprocal 
transportation of passengers by motor vehicle in interstate or foreign 
commerce for compensation as provided in 49 U.S.C. 13506(b)  be, and it 
is hereby, removed to the extent necessary to make applicable all 
provisions of 49 U.S.C. subtitle IV, part B to such transportation when 
sold or offered for sale, or provided or procured or furnished or 
arranged for, by any person who sells, offers for sale, provides, 
furnishes, contracts, or arranges for such transportation for 
compensation or as a regular occupation or business.

[32 FR 20036, Dec. 20, 1967. Redesignated at 61 FR 54708, Oct. 21, 1996, 
as amended at 62 FR 15421, Apr. 1, 1997]



Sec. 372.103  Motor vehicles employed solely in transporting school children and teachers to or from school.

    The exemption set forth in 49 U.S.C. 13506(a)(1) shall not be 
construed as being inapplicable to motor vehicles being used at the time 
of operation in the transportation of schoolchildren and teachers to or 
from school, even

[[Page 691]]

though such motor vehicles are employed at other times in transportation 
beyond the scope of the exemption.

[36 FR 9022, May 18, 1971, as amended at 62 FR 15421, Apr. 1, 1997]



Sec. 372.107  Definitions.

    As used in the regulations in this part, the following terms shall 
have the meaning shown:
    (a) Cooperative association. The term ``cooperative association'' 
means an association which conforms to the following definition in the 
Agricultural Marketing Act, approved June 15, 1929, as amended (12 
U.S.C. 1141j):

    As used in this Act, the term cooperative association means any 
association in which farmers act together in processing, preparing for 
market, handling, and/or marketing the farm products of persons so 
engaged, and also means any association in which farmers act together in 
purchasing, testing, grading, processing, distributing, and/or 
furnishing farm supplies and/or farm business services. Provided, 
however, That such associations are operated for the mutual benefit of 
the members thereof as such producers or purchasers and conform to one 
or both of the following requirements:
    First. That no member of the association is allowed more than one 
vote because of the amount of stock or membership capital he may own 
therein; and
    Second. That the association does not pay dividends on stock or 
membership capital in excess of 8 per centum per annum.
    And in any case to the following:
    Third. That the association shall not deal in farm products, farm 
supplies and farm business services with or for nonmembers in an amount 
greater in value than the total amount of such business transacted by it 
with or for members. All business transacted by any cooperative 
association for or on behalf of the United States or any agency or 
instrumentality thereof shall be disregarded in determining the volume 
of member and nonmember business transacted by such association.


Associations which do not conform to such definition are not eligible to 
operate under the partial exemption of 49 U.S.C. 10526(a)(5).
    (b) Federation of cooperative associations. The term ``federation of 
cooperative associations'' means a federation composed of either two or 
more cooperative associations, or one or more farmers, which federation 
possesses no greater powers or purposes than a cooperative association 
as defined in paragraph (a) of this section. Federations of cooperative 
associations which do not conform to such definition are not eligible to 
operate under the partial exemption of 49 U.S.C. 10526(a)(5).
    (c) Member. The term ``member'' means any farmer or cooperative 
association which has consented to be, has been accepted as, and is a 
member in good standing in accordance with the constitution, bylaws, or 
rules of the cooperative association or federation of cooperative 
associations.
    (d) Farmer. The term ``farmer'' means any individual, partnership, 
corporation, or other business entity to the extent engaged in farming 
operations either as a producer of agricultural commodities or as a farm 
owner.
    (e) Interstate transportation. The term ``interstate 
transportation'' means transportation by motor vehicle in interstate or 
foreign commerce subject to the Commission's jurisdiction as set forth 
in 49 U.S.C. 10521.
    (f) Member transportation. The term ``member transportation'' means 
transportation performed by a cooperative association or federation of 
cooperative associations for itself or for its members, but does not 
include transportation performed in furtherance of the nonfarm business 
of such members.
    (g) Nonmember transportation. The term ``nonmember transportation'' 
means transportation performed by a cooperative association or 
federation of cooperative associations other than member transportation 
as defined in paragraph (f) of this section.
    (h) Fiscal year. The term ``fiscal year'' means the annual 
accounting period adopted by the cooperative association or federation 
of cooperative associations for Federal income tax reporting purposes.

[43 FR 2397, Jan. 17, 1978, as amended at 45 FR 45524, July 3, 1980; 47 
FR 13353, Mar. 30, 1982; 47 FR 15142, Apr. 8, 1982]



Sec. 372.109  Computation of tonnage allowable in nonfarm-non-member transportation.

    Interstate transportation performed by a cooperative association or 
federation of cooperative associations for nonmembers who are not 
farmers, cooperative associations, or federations

[[Page 692]]

of associations or the United States Government for compensation, 
(except transportation otherwise exempt under subchapter II, chapter 
105, subtitle IV of title 49 of the United States Code) shall be limited 
to that which is incidental to its primary transportation operation and 
necessary for its effective performance. It shall in no event exceed 25 
percent of its total interstate transportation services in any fiscal 
year, measured in terms of tonnage. A cooperative association or 
federation of cooperative associations may transport its own property, 
its members' property, property of other farmers and the property of 
other cooperatives or federations in accordance with existing law, 
except where the provisions of Sec. 372.111 may be applicable to the 
limit on member/nonmember transportation.
    (a) The phrase ``incidental to its primary transportation operation 
and necessary for its effective performance'' means that the interstate 
transportation of the cooperative association or federation of 
cooperation association for nonmembers as described above is performed 
with the same trucks or tractors employed in a prior or subsequent trip 
in the primary transportation operation of the cooperative association 
or federation, that it is not economically feasible to operate the 
trucks or tractors empty on return trips (outbound trips in cases where 
the primary transportation operation is inbound to the association or 
federation), and that the additional income obtained from such 
transportation is necessary to make the primary transportation operation 
financially practicable. Transportation for nonmembers as described 
above performed by a cooperative or federation through the use of trucks 
or tractors trip-leased for one-way movements with the cooperative 
association or federation acting as leasee, is not incidental and 
necessary;
    (b) The base tonnage to which the 25-percent limitation is applied 
is all tonnage of all kinds transported by the cooperative association 
or federation of cooperative associations in interstate or foreign 
commerce, whether for itself, its members or nonmembers, for or on 
behalf of the United States or any agency or instrumentality thereof, 
and that performed within the exemption provided by 49 U.S.C. 
10526(a)(5).

[43 FR 2397, Jan. 17, 1978, as amended at 43 FR 21894, May 22, 1978; 45 
FR 45524, July 3, 1980; 62 FR 49940, Sept. 24, 1997]



Sec. 372.111  Nonmember transportation limitation and record keeping.

    (a) Overall limitation of nonmember transportation. No cooperative 
association or federation of cooperative associations may engage in 
nonmember interstate transportation for compensation in any fiscal year 
which, measured in terms of tonnage, exceeds its total interstate member 
transportation in such fiscal year.
    (b) Records of interstate transportation when nonmember 
transportation is performed. Any cooperative association or federation 
of cooperative associations performing interstate transportation for 
nonmembers shall prepare and retain for a period of at least two years 
written records of all interstate transportation performed for members 
and nonmembers. These records shall contain:
    (1) The date of the shipment,
    (2) The names and addresses of the consignor and consignee,
    (3) The origin and destination of the shipment,
    (4) A description of the articles in the shipment,
    (5) The weight or volume of the shipment,
    (6) A description of the equipment used either by unit number or 
license number and, in the event this equipment is nonowned, the name 
and address of its owners and drivers,
    (7) The total charges collected,
    (8) A copy of all leases executed by the cooperative association or 
federation of cooperative associations to obtain equipment to perform 
transportation under 49 U.S.C. 13506(a)(5),
    (9) Whether the transportation performed is:
    (i) Member transportation,
    (ii) Nonmember transportation for nonmembers who are farmers, 
cooperative associations, or federations thereof,
    (iii) Other nonmember transportation, and if of class (iii), how the

[[Page 693]]

transportation was incidental and necessary as defined in 
Sec. 372.109(a).

[43 FR 2397, Jan. 17, 1978, as amended at 45 FR 45524, July 3, 1980; 62 
FR 38036, July 16, 1997; 62 FR 49940, Sept. 24, 1997]



Sec. 372.113  [Reserved]



Sec. 372.115  Commodities that are not exempt under 49 U.S.C. 13506(a)(6).

    49 U.S.C. 13506(a)(6) provides an exemption from regulation for 
motor vehicles used in carrying ordinary livestock, fish, and 
unmanufactured agricultural commodities. Certain specific commodities 
have been statutorily determined to be non-exempt. Administrative Ruling 
No. 133, which is reproduced below, is a list of those commodities that 
are non-exempt by statute.

                      Administrative Ruling No. 133

   List of Commodities That Are Not Exempt by Statute Under 49 U.S.C. 
                               13506(a)(6)

Animal fats
Butter
Canned fruits and vegetables
Carnauba wax as imported in slabs or chunks
Cattle, slaughtered
Charcoal
Cheese
Coal
Cocoa beans
Coffee, beans, roasted, or instant
Copra meal
Cotton yarn
Cottonseed cake or meal
Diatomaceous earth
Dinners, frozen

Feeds:

    Alfalfa meal
    Alfalfa pellets
    Beet pulp
    Bran shorts
    Copra meal
    Corn gluten
    Distilled corn grain residues, with or without solubles added
    Fish meal
    Hominy feed
    Middlings
    Pelletized ground refuse screenings
    Wheat bran
    Wheat shorts

Fertilizer, commercial

Fish:

    Canned or salted as a treatment for preserving
    Cooked or partially cooked fish or shrimp, frozen or unfrozen
    Hermetically sealed in containers as a treatment for preserving
    Oil from fishes
    Preserved, or treated for preserving, such as smoked, salted, 
pickled, spiced, corned or kippered

Flagstone
Flaxseed meal
Flour

Forest products:

    Resin products, such as turpentine

Fruits and Berries:

    Bananas, fresh, dried, dehydrated, or frozen
    Canned
    Frozen
    Hulls of oranges after juice extractions
    Juice, fruit, plain or concentrated
    Pies, frozen
    Preserved, such as jam
    Purees, strawberry and other, frozen

Grains:

    Oils extracted from grain
    Popcorn, popped
    Rice, precooked
    Wheat germ

Gravel
Hair, hog or other animal, product of slaughter of animal
Hay, sweetened with 3 percent molasses by weight
Hemp fiber
Hides, green and salted
Insecticides
Limestone, agricultural

Livestock:

    Monkeys
    Race horses
    Show horses
    Zoo animals

Lumber, rough sawed or planed
Maple syrup

Meal:

    Alfalfa
    Copra
    Cottonseed
    Fish
    Flaxseed
    Linseed
    Peanut
    Soybean

Meat and meat products, fresh, frozen or canned

Milk and Cream:

    Chocolate
    Condensed
    Sterilized in hermetically sealed cans

Molasses

Nuts (including peanuts):

    Peanut meal
    Roasted or boiled

Oil, mint

[[Page 694]]

Oil, extracted from vegetables, grain, seed, fish or other commodity
Pelts
Pies, frozen
Pigeons, racing
Pulp, beet
Pulp, sugar cane
Rock (except natural crushed, vesicular rock to be used for decorative 
          purposes)
Rubber, crude, in bales
Rubber, latex, natural, liquid, from which water has been extracted and 
          to which ammonia has been added
Sand

Seeds:

    Oil extracted from seeds

Skins, animal
Soil, potting
Soil, top
Soup, frozen
Sugar
Sugar cane pulp
Sugar raw
Syrup, cane
Syrup, maple
Tea

Tobacco:

    Cigars and cigarettes
    Homogenized
    Smoking

Top Soil

Trees:

    Sawed into lumber

Vegetables:

    Candied sweet potatoes, frozen
    Canned
    Cooked
    French fried potatoes
    Oil, extracted from vegetables
    Soup, frozen
    Soybean meal

Wool imported from a foreign country
Wool tops and noils
Wool waste (carded, spun, woven, or knitted)
Wool yarn

    Note 1: Under 49 U.S.C. 13506(a)(6)(D), any listed fish or shellfish 
product that is not intended for human consumption is exempt.
    Note 2: Under 49 U.S.C. 13506(a)(6)(E), any listed livestock feed, 
poultry feed, agricultural seeds, or plants that are transported to a 
site of agricultural production or to a business enterprise engaged in 
the sale to agricultural producers of goods used in agricultural 
production is exempt

[53 FR 17707, May 18, 1988, as amended at 62 FR 15421, Apr. 1, 1997]



Sec. 372.117  Motor transportation of passengers incidental to transportation by aircraft.

    (a) Passengers having an immediately prior or subsequent movement by 
air. The transportation of passengers by motor vehicle is transportation 
incidental to transportation by aircraft provided (1) that it is 
confined to the transportation of passengers who have had or will have 
an immediately prior or immediately subsequent movement by air and (2) 
that the zone within which motor transportation is incidental to 
transportation by aircraft, except as it may be individually determined 
as provided in section (c) herein, shall not exceed in size the area 
encompassed by a 25-mile radius of the boundary of the airport at which 
the passengers arrive or depart and by the boundaries of the commercial 
zones (as defined by the Secretary) of any municipalities any part of 
whose commercial zones falls within the 25-mile radius of the pertinent 
airport.
    (b) Substituted motor-for-air transportation due to emergency 
conditions. Transportation of passengers by motor vehicle is 
transportation incidental to transportation by aircraft if it 
constitutes substituted motor-for-air service performed at the expense 
of the air carrier in emergency situations arising from the inability of 
the air carrier to perform air transportation due to adverse weather 
conditions, equipment failure, or other causes beyond the control of the 
air carrier.
    (c) Individual determination of exempt zones. Upon its own motion or 
upon petition filed by any interested person, the Secretary may in an 
appropriate proceeding, determine whether the area within which the 
transportation by motor vehicle of passengers having an immediately 
prior or subsequent movement by air must be performed, in order to come 
within the provisions of paragraph (a) of this section, should be 
individually determined with respect to any particular airport or city 
served by an airport, and whether there should be established therefor 
appropriate boundaries differing in extent from this defined in 
paragraph (a)(2) of this section.

[[Page 695]]

    (d) Exempt zones and operations--(1) Dulles and Baltimore-Washington 
International Airports. The transportation by motor vehicle, in 
interstate or foreign commerce, of passengers, having an immediately 
prior or subsequent movement by air, between Dulles International 
Airport, near Chantilly, Va., and Baltimore-Washington International 
Airport, near Baltimore, Md., is partially exempt from regulation under 
49 U.S.C. 13506(a)(8)(A).
    (2) Savannah, Ga., Airport. The transportation by motor vehicle, in 
interstate or foreign commerce, of passengers, having an immediately 
prior or subsequent movement by air, between Savannah, Ga., Airport and 
all points on Hilton Head Island, SC, is partially exempt from 
regulation under 49 U.S.C. 13506(a)(8)(A).
    (3) Chicago O'Hare International Airport (Chicago, Ill.). The 
transportation by motor vehicle, in interstate or foreign commerce, of 
passengers, having an immediately prior or subsequent movement by air, 
between O'Hare International Airport, at Chicago, Ill., on the one hand, 
and, on the other, points in Indiana on and north of U.S. Highway 30 and 
on and west of Indiana Highway 49, is partially exempt from regulation 
under 49 U.S.C. 13506(a)(8)(A).

[32 FR 20036, Dec. 20, 1967, as amended at 37 FR 5252, Mar. 11, 1972; 42 
FR 10003, Feb. 18, 1977; 42 FR 15705; Mar. 23, 1977; 62 FR 15421, Apr. 
1, 1997]



                       Subpart B--Commercial Zones

    Source: 41 FR 56653, Dec. 29, 1976, unless otherwise noted. 
Redesignated at 61 FR 54708, Oct. 21, 1996.



Sec. 372.201  Albany, NY.

    The zone adjacent to, and commercially a part of Albany, N.Y., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulations under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Albany, N.Y., itself.
    (b) All points within a line drawn eight miles beyond the municipal 
limits of Albany.
    (c) All points in that area more than eight miles beyond the 
municipal limits of Albany bounded by a line as follows: Beginning at 
that point on the western boundary of Cohoes, N.Y., where it crosses the 
line described in paragraph (b) of this section, thence along the 
western and northern boundary of Cohoes to the Mohawk River thence along 
such river to the northern boundary of the Town of Waterford thence 
along the northern and eastern boundaries of the Town of Waterford to 
the northern boundary of the City of Troy (all of which city is included 
under the next provision).
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Albany or any other 
municipality included under the terms of paragraph (d) of this section.

[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.203  Beaumont, TX.

    The zone adjacent to, and commercially a part of Beaumont, Tex., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Beaumont, Tex., itself;
    (b) All points within a line drawn 8 miles beyond the municipal 
limits of Beaumont;
    (c) All points in Jefferson County and Orange County, Tex.;
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality

[[Page 696]]

of Beaumont or by any other municipality included under the terms of 
paragraph (d) of this section.

[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.205  Charleston, S.C.

    The zone adjacent to, and commercially a part of Charleston, S.C., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Charleston, S.C., itself;
    (b) All points within a line drawn 6 miles beyond the municipal 
limits of Charleston;
    (c) Those points in Charleston County, S.C., which are not within 
the areas described in paragraph (b) of this section; and those points 
in Berkley County, S.C., which are not within the areas described in 
paragraph (b) of this section, and which are west of South Carolina 
Highway 41; and all points in Dorchester County, SC.
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Charleston or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56653, Dec. 29, 1976, as amended at 46 FR 28658, May 28, 1981; 62 
FR 15422, Apr. 1, 1997]



Sec. 372.207  Charleston, WV.

    The zone adjacent to, and commercially a part of Charleston, W. Va., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Charleston, W. Va., itself;
    (b) All points within a line drawn 6 miles beyond the municipal 
limits of Charleston;
    (c) Those points in Kanawha County, W. Va., which are not within the 
area described in paragraph (b) of this section; and those points in 
Putnam County, W. Va., south of West Virginia Highway 34;
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Charleston or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.209  Lake Charles, LA.

    The zone adjacent to, and commercially a part of Lake Charles, La., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Lake Charles, La., itself;
    (b) All points within a line drawn 6 miles beyond the municipal 
limits of Lake Charles;
    (c) Those points in Calcasieu Parish, La., which are not within the 
area described in paragraph (b) of this section; and which are east of 
Louisiana Highway 27 (western section);
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Lake Charles or by 
any other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]

[[Page 697]]



Sec. 372.211  Pittsburgh, PA.

    The zone adjacent to, and commercially a part of Pittsburgh within 
which transportation by motor vehicle in interstate or foreign commerce, 
not under common control, management, or arrangement for a continuous 
carriage or shipment to or from a point beyond such zone, is partially 
exempt from regulation under 49 U.S.C. 13506(b)(1) includes and is 
comprised of all points as follows:
    (a) The municipality of Pittsburgh, Pa., itself;
    (b) All points within a line drawn 15 miles beyond the municipal 
limits of Pittsburgh;
    (c) Those points in Allegheny County, Pa., which are not within the 
area described in paragraph (b) of this section;
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Pittsburgh by any 
other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.213  Pueblo, CO.

    The zone adjacent to, and commercially a part of Pueblo, Colo., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulations under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Pueblo, Colo., itself;
    (b) All points within a line drawn 6 miles beyond the municipal 
limits of Pueblo;
    (c) Those points in Pueblo County, Colo., which are not within the 
area described in paragraph (b) of this section;
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality included under the 
terms of paragraph (d) of this section.

[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.215  Ravenswood, WV.

    The zone adjacent to, and commercially a part of Ravenswood, W. Va., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Ravenswood, W. Va., itself;
    (b) All points within a line drawn 4 miles beyond the municipal 
limits of Ravenswood;
    (c) Those points in Jackson County, W. Va., which are not within the 
area described in paragraph (b) of this section, and which are north of 
U.S. Highway 33;
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Ravenswood or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.217  Seattle, WA.

    The zone adjacent to, and commercially a part of Seattle, Wash., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Seattle, Wash., itself;

[[Page 698]]

    (b) All points within a line drawn 15 miles beyond the municipal 
limits of Seattle;
    (c) Those points in King County, Wash., which are not within the 
area described in paragraph (b) of this section, and which are west of a 
line beginning at the intersection of the line described in paragraph 
(b) of this section and Washington Highway 18, thence northerly along 
Washington Highway 18 to junction of Interstate Highway 90, thence 
westerly along Interstate Highway 90 to junction Washington Highway 203, 
thence northerly along Washington Highway 203 to the King County line; 
and those points in Snohomish County, Wash., which are not within the 
area described in paragraph (b) of this section and which are west of 
Washington Highway 9; and those points in Kitsap County, Wash., which 
are not within the area described in paragraph (b) of this section lying 
within the area bounded by a line beginning at the intersection of the 
line described in paragraph (b) of this section and Washington Highway 3 
to the boundary of Olympic View Industrial Park/Bremerton-Kitsap County 
Airport, thence westerly, southerly, easterly, and northerly along the 
boundary of Olympic View Industrial Park/ Bremerton-Kitsap County 
Airport to its juncture with Washington Highway 3 to its intersection 
with the line described in paragraph (b) of this section.
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Seattle or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56654, Dec. 29, 1976, as amended at 46 FR 25314, May 6, 1981; 62 
FR 15422, Apr. 1, 1997]



Sec. 372.219  Washington, DC

    The zone adjacent to, and commercially a part of Washington, D.C., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Washington, D.C., itself;
    (b) All points within a line drawn 15 miles beyond the municipal 
limits of Washington, DC
    (c) All points in Fairfax and Loudoun Counties, VA, and all points 
in Prince William County, VA, including the City of Manassas, VA, and 
the City of Manassas Park, VA.
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Washington, D.C., or 
by any other municipality included under the terms of paragraph (d) of 
this section.

[41 FR 56654, Dec. 29, 1976, as amended at 46 FR 56424, Nov. 17, 1981; 
62 FR 15422, Apr. 1, 1997]



Sec. 372.221  Twin Cities.

    For the purpose of determining commercial zones, utilizing the 
general population-mileage formula as set forth in Sec. 372.241, each of 
the following combinations of cities shall be considered as a single 
municipality:
    (a) Having a population equal to the sum of their combined 
populations, and
    (b) Having boundaries comprised of their combined corporate limits, 
with the common portion thereof disregarded:
    (1) Bluefield, Va.-W. Va.
    (2) Bristol, Va.-Tenn.
    (3) Davenport, Iowa, and Rock Island and Moline, Ill.
    (4) Delmar, Del-Md.
    (5) Harrison, Ohio-West Harrison, Ind.
    (6) Junction City, Ark.-La.
    (7) Kansas City, Mo.-Kansas City, Kans.
    (8) Minneapolis-St. Paul, Minn.
    (9) St. Louis, Mo.-East St. Louis, Ill.
    (10) Texarkana, Ark.-Tex.
    (11) Texhoma, Tex.-Okla.
    (12) Union City, Ind.-Ohio.

[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]

[[Page 699]]



Sec. 372.223  Consolidated governments.

    The zone adjacent to, and commercially a part of a consolidated 
government within which transportation by motor vehicle, in interstate 
or foreign commerce, not under common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, is partially exempt from regulation under 49 U.S.C. 
13506(b)(1) includes and is comprised of all points as follows:
    (a) All points within the boundaries of the consolidated government.
    (b) All points beyond the boundaries of the consolidated government 
which were at any time within the commercial zone of the formerly 
independent core municipality.
    (c) When the present population of the formerly independent core 
municipality is identifiable, all points beyond the boundaries of the 
consolidated government which are within the territory determined by the 
most recent population-mileage formula measured from the limits of the 
formerly independent core municipality.
    (d) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the consolidated government or by any 
other municipality included under the terms of paragraphs (a), (b), or 
(c) of this section.

[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.225  Lexington-Fayette Urban County, KY.

    The zone adjacent to and commercially a part of Lexington-Fayette 
Urban County, Ky., within which transportation by motor vehicle, in 
interstate or foreign commerce, not under a common control, management, 
or arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, is partially exempt from regulation under 49 U.S.C. 
13506(b)(1) includes and is comprised of all points as follows:
    (a) Lexington-Fayette Urban County, Ky., itself.
    (b) All other municipalities and unincorporated areas within 5 miles 
of the intersection of U.S. Highway 27 (Nicholasville Road) with the 
corporate boundary line between Jessamine County, Ky., and Lexington-
Fayette Urban County, Ky.

[39 FR 18769, May 30, 1974. Redesignated at 41 FR 56655, Dec. 29, 1976. 
Further redesignated at 55 FR 42198, Oct. 18, 1990, as amended at 62 FR 
15422, Apr. 1, 1997]



Sec. 372.227  Syracuse, NY.

    The zone adjacent to, and commercially a part of Syracuse, N.Y., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for 
shipment to or from points beyond such zone, is partially exempt from 
regulation under 49 U.S.C. 13506(b)(1) includes and is comprised of all 
points as follows:
    (a) The municipality of Syracuse, N.Y., itself;
    (b) All points within a line drawn 10 miles beyond the municipal 
limits of Syracuse;
    (c) Those points in the towns of Van Buren and Lysander, Onondaga 
County, N.Y., which are not within the area described in paragraph (b) 
of this section, but which are within an area bounded by a line 
beginning at the intersection of new New York Highway 48 with the line 
described in (b) of this sectio, thence northwesterly along new New York 
Highway 48 to junction New York Highway 370, thence westerly along New 
York Highway 370 to junction Emerick Road, thence northerly along 
Emerick Road to junction Dunham Road, thence northerly along Dunham road 
to junction New York Highway 192, thence easterly along New York Highway 
192 to junction new New York Highway 48, thence northerly along new New 
York Highway 48 to junction New York Highway 213, thence easterly along 
New York Highway 213 to junction New York Highway 213A, thence easterly 
along New York Highway 213A to junction New York Highway 37, thence 
southerly along New York Highway 37 to its intersection with the line in 
(b) above;
    (d) All of any municipality any part of which is within the limits 
of the combined area defined in (b) and (c) of this section, and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality

[[Page 700]]

of Syracuse or any other municipality included under the terms of (d) of 
this section.

[42 FR 44816, Sept. 7, 1977. Redesignated at 55 FR 42198, Oct. 18, 1990, 
as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.229  Spokane, WA.

    The zone adjacent to, and commercially a part of Spokane, WA, within 
which transportation by motor vehicle, in interstate or foreign 
commerce, not under control, management, or arrangement for shipment to 
or from points beyond such zone, is partially exempt from regulation 
under 49 U.S.C. 13506(b)(1) includes and is comprised of all points as 
follows:
    (a) The municipality of Spokane, WA, itself,
    (b) All points within a line drawn 8 miles beyond the municipal 
limits of Spokane;
    (c) All points within that area more than 8 miles beyond the 
municipal limits of Spokane bounded by a line as follows: From the 
intersection of the line described in (b) of this section and U.S. 
Highway 2, thence westerly along U.S. Highway 2 to junction Brooks Road, 
thence southerly along Brooks Road to junction Hallett Road, thence 
easterly along Hallett Road to its intersection with the line described 
in (b) of this section;
    (d) All of any municipality any part of which is within the limits 
of the combined areas in (b) and (c) of this section; and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Spokane or any other 
municipality included under the terms of (d) of this section.

[45 FR 62085, Sept. 18, 1980. Redesignated and amended at 55 FR 42198, 
Oct. 18, 1990; 62 FR 15422, Apr. 1, 1997]



Sec. 372.231  Tacoma, WA.

    The zone adjacent to, and commercially a part of Tacoma, WA, within 
which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for 
shipment to or from points beyond such zone, is partially exempt from 
regulation under 49 U.S.C. 13506(b)(1) of the Interstate Commerce Act, 
includes and is comprised of all points as follows:
    (a) The municipality of Tacoma, WA, itself;
    (b) All points within a line drawn 8 miles beyond the municipal 
limits of Tacoma;
    (c) Those points in Pierce County, WA, which are not within the area 
described in paragraph (b) of this section, but which are on Washington 
Highway 162 beginning at its intersection with the line described in 
paragraph (b) of this section, extending to and including Orting, WA, 
and all points within the Orting commercial zone.
    (d) All of any municipality any part of which is within the limits 
of the combined area defined in (b) and (c) of this section, and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Tacoma or any other 
municipality included under the terms of (d) of this section.

[45 FR 66460, Oct. 7, 1980. Redesignated at 55 FR 42198, Oct. 18, 1990, 
as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.233  Chicago, IL.

    The zone adjacent to, and commercially a part of Chicago, IL, within 
which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
shipment to or from such zone, is partially exempt from regulation under 
49 U.S.C. 13506(b)(1), includes and is comprised of all points as 
follows:
    (a) The municipality of Chicago, IL, itself;
    (b) All points within a line drawn 20 miles beyond the municipal 
limits of Chicago;
    (c) All points in Lake County, IL.
    (d) All of any municipality any part of which is within the limits 
of the combined area defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality included under the 
terms of paragraph (d) of this section.

[46 FR 11286, Feb. 6, 1981. Redesignated at 55 FR 42198, Oct. 18, 1990, 
as amended at 62 FR 15422, Apr. 1, 1997]

[[Page 701]]



Sec. 372.235  New York, NY.

    The zone adjacent to, and commercially a part of, New York, NY, 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for 
shipment to or from points beyond such zone is partially exempt from 
regulation under 49 U.S.C. 13506(b)(1), includes and is comprised of all 
points as follows:
    (a) The municipality of New York, NY, itself;
    (b) All points within a line drawn 20 miles beyond the municipal 
limits of New York, NY;
    (c) All points in Morris County, NJ;
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c); and
    (e) All of any municipality wholly surrounded, or so surrounded 
except by a water boundary, by the municipality of New York or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[50 FR 34478, Aug. 26, 1985. Redesignated at 55 FR 42198, Oct. 18, 1990, 
as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.237  Cameron, Hidalgo, Starr, and Willacy Counties, TX.

    (a) Transportation within a zone comprised of Cameron, Hidalgo, 
Starr, and Willacy Counties, TX, by motor carriers of property, in 
interstate or foreign commerce, not under common control, management, or 
arrangement for shipment to or from points beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1).
    (b) To the extent that commercial zones of municipalities within the 
four counties (as determined under Sec. 372.241) extend beyond the 
boundaries of this four-county zone, the areas of such commercial zones 
shall be considered to be part of the zone and partially exempt from 
regulation under 49 U.S.C. 13506(b)(1).

[51 FR 1815, Jan. 15, 1986. Redesignated at 55 FR 42198, Oct. 18, 1990, 
as amended at 62 FR 15422, Apr. 1, 1997]



Sec. 372.239  Definitions.

    For the purposes of this part, the following terms are defined:
    (a) Municipality means any city, town, village, or borough which has 
been created by special legislative act or which has been, otherwise, 
individually incorporated or chartered pursuant to general State laws, 
or which is recognized as such, under the Constitution or by the laws of 
the State in which located, and which has a local government. It does 
not include a town of the township or New England type.
    (b) Contiguous municipalities means municipalities, as defined in 
paragraph (a) of this section, which have at some point a common 
municipal or corporate boundary.
    (c) Unincorporated area means any area not within the corporate or 
municipal boundaries of any municipality as defined in paragraph (a) of 
this section.

[32 FR 20048, Dec. 20, 1967]



Sec. 372.241  Commercial zones determined generally, with exceptions.

    The commercial zone of each municipality in the United States, with 
the exceptions indicated in the note at the end of this section, within 
which the transportation of passengers or property, in interstate or 
foreign commerce, when not under a common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
without such zone, is exempt from all provisions of 49 U.S.C. subtitle 
IV, part B shall be deemed to consist of:
    (a) The municipality itself, hereinafter called the base 
municipality;
    (b) All municipalities which are contiguous to the base 
municipality;
    (c) All other municipalities and all unincorporated areas within the 
United States which are adjacent to the base municipality as follows:
    (1) When the base municipality has a population less than 2,500 all 
unincorporated areas within 3 miles of its corporate limits and all of 
any other municipality any part of which is within 3 miles of the 
corporate limits of the base municipality,
    (2) When the base municipality has a population of 2,500 but less 
than 25,000 all unincorporated areas within 4 miles of its corporate 
limits and all of any other municipality any part of which is

[[Page 702]]

within 4 miles of the corporate limits of the base municipality.
    (3) When the base municipality has a population of 25,000 but less 
than 100,000 all unincorporated areas within 6 miles of its corporate 
limits and all of any other municipality any part of which is within 6 
miles of the corporate limits of the base municipality, and
    (4) When the base municipality has a population of 100,000 but less 
than 200,000 all unincorporated areas within 8 miles of its corporate 
limits and all of any other municipality any part of which is within 8 
miles of the corporate limits of the base municipality.
    (5) When the base municipality has a population of 200,000 but less 
than 500,000 all unincorporated areas within 10 miles of its corporate 
limits and all of any other municipality any part of which is within 10 
miles of the corporate limits of the base municipality.
    (6) When the base municipality has a population of 500,000 but less 
than 1 million, all unincorporated areas within 15 miles of its 
corporate limits and all of any other municipality any part of which is 
within 15 miles of the corporate limits of the base municipality.
    (7) When the base municipality has a population of 1 million or 
more, all unincorporated areas within 20 miles of its corporate limits 
and all of any other municipality any part of which is within 20 miles 
of the corporate limits of the base municipality, and
    (d) All municipalities wholly surrounded, or so surrounded except 
for a water boundary, by the base municipality, by any municipality 
contiguous thereto, or by any municipality adjacent thereto which is 
included in the commercial zone of such base municipality under the 
provisions of paragraph (c) of this section.

    Note: Except: Municipalities the commercial zones of which have been 
or are hereafter individually or specially determined.


[32 FR 20048, Dec. 20, 1967, as amended at 34 FR 9870, June 26, 1969; 34 
FR 15482, Oct. 4, 1969; 41 FR 56655, Dec. 29, 1976; 62 FR 15422, Apr. 1, 
1997]



Sec. 372.243  Controlling distances and population data.

    In the application of Sec. 372.241:
    (a) Air-line distances or mileages about corporate limits of 
municipalities shall be used.
    (b) The population of any municipality shall be deemed to be the 
highest figure shown for that municipality in any decennial census since 
(and including) the 1940 decennial census.
    (c) Contraction of municipal boundaries will not alter the size of 
commercial zones.

[32 FR 20040, Dec. 20, 1967, as amended at 37 FR 15701, Aug. 4, 1972; 50 
FR 10233, Mar. 14, 1985; 62 FR 15422, Apr. 1, 1997]



                        Subpart C--Terminal Areas

    Source: 32 FR 20049, Dec. 20, 1967, unless otherwise noted. 
Redesignated at 61 FR 54708, Oct. 21, 1996.



Sec. 372.300  Distances and population data.

    In the application of this subpart, distances and population data 
shall be determined in the same manner as provided in 49 CFR 372.243. 
See also definitions in 49 CFR 372.239.

[62 FR 15422, Apr. 1, 1997]



Sec. 372.301  Terminal areas of motor carriers and freight forwarders at municipalities served.

    The terminal area within the meaning of 49 U.S.C. 13503 of any motor 
carrier of property or freight forwarder subject to 49 U.S.C. subtitle 
IV, part B at any municipality authorized to be served by such motor 
carrier of property or motor carrier of passengers in the transportation 
of express or freight forwarder, within which transportation by motor 
carrier in the performance of transfer, collection, or delivery services 
may be performed by, or for, such motor carrier of property or freight 
forwarder without compliance with the provisions of 49 U.S.C. subtitle 
IV, part B consists of and includes all points or places which are:
    (a) Within the commercial zone, as defined by the Secretary, of that 
municipality, and
    (b) Not beyond the limits of the operating authority of such motor 
carrier of property or freight forwarder.

[62 FR 15422, Apr. 1, 1997]

[[Page 703]]



Sec. 372.303  Terminal areas of motor carriers and household goods freight forwarders at unincorporated communities served.

    The terminal areas within the meaning of 49 U.S.C. 13503 of any 
motor carrier of property or freight forwarder subject to 49 U.S.C. 
subtitle IV, part B, at any unincorporated community having a post 
office of the same name which is authorized to be served by such motor 
carrier of property or motor carrier of passengers in the transportation 
of express or freight forwarder, within which transportation by motor 
vehicle in the performance of transfer, collection, or delivery services 
may be performed by, or for, such motor carrier of property or freight 
forwarder without compliance with the provisions of 49 U.S.C. subtitle 
IV, part B, consists of:
    (a) All points in the United States which are located within the 
limits of the operating authority of the motor carrier of property or 
freight forwarder involved, and within 3 miles of the post office at 
such authorized unincorporated point if it has a population less than 
2,500, within 4 miles if it has a population of 2,500 but less than 
25,000, or within 6 miles if it has a population of 25,000 or more;
    (b) All of any municipality any part of which is included under 
paragraph (a) of this section; and
    (c) Any municipality wholly surrounded by any municipality included 
under paragaph (b) of this section, or so wholly surrounded except for a 
water boundary.

[32 FR 20049, Dec. 20, 1967, as amended at 41 FR 56655, Dec. 29, 1976; 
51 FR 44297, Dec. 9, 1986; 62 FR 15423, Apr. 1, 1997]



PART 373--RECEIPTS AND BILLS--Table of Contents




               Subpart A--Motor Carrier Receipts and Bills

Sec.
373.101  Motor Carrier bills of lading.
373.103  Expense bills.
373.105  Low value packages.

             Subpart B--Freight Forwarders; Bills of Lading

373.201  Bills of lading for freight forwarders.

    Authority: 49 U.S.C. 13301 and 14706; 49 CFR 1.48.



               Subpart A--Motor Carrier Receipts and Bills

    Source: 55 FR 11198, Mar. 27, 1990, unless otherwise noted. 
Redesignated at 61 FR 54708, Oct. 21, 1996.



Sec. 373.101  Motor Carrier bills of lading.

    Every motor common carrier shall issue a receipt or bill of lading 
for property tendered for transportation in interstate or foreign 
commerce containing the following information:
    (a) Names of consignor and consignee.
    (b) Origin and destination points.
    (c) Number of packages.
    (d) Description of freight.
    (e) Weight, volume, or measurement of freight (if applicable to the 
rating of the freight).

The carrier shall keep a record of this information as prescribed in 49 
CFR part 379.

[55 FR 11198, Mar. 27, 1990, as amended at 56 FR 30874, July 8, 1991; 62 
FR 15423, Apr. 1, 1997]



Sec. 373.103  Expense bills.

    (a) Property. Every motor common carrier shall issue a freight or 
expense bill for each shipment transported containing the following 
information:
    (1) Names of consignor and consignee (except on a reconsigned 
shipment, not the name of the original consignor).
    (2) Date of shipment.
    (3) Origin and destination points (except on a reconsigned shipment, 
not the original shipping point unless the final consignee pays the 
charges from that point).
    (4) Number of packages.
    (5) Description of freight.
    (6) Weight, volume, or measurement of freight (if applicable to the 
rating of the freight).
    (7) Exact rate(s) assessed.
    (8) Total charges due, including the nature and amount of any 
charges for special service and the points at which such service was 
rendered.
    (9) Route of movement and name of each carrier participating in the 
transportation.
    (10) Transfer point(s) through which shipment moved.

[[Page 704]]

    (11) Address where remittance must be made or address of bill 
issuer's principal place of business.

The shipper or receiver owing the charges shall be given the original 
freight or expense bill and the carrier shall keep a copy as prescribed 
at 49 CFR part 379. If the bill is electronically transmitted (when 
agreed to by the carrier and payor), a receipted copy shall be given to 
the payor upon payment.
    (b) Charter service. Every motor passenger common carrier providing 
charter service shall issue an expense bill containing the following 
information:
    (1) Serial number, consisting of one of a series of consecutive 
numbers assigned in advance and imprinted on the bill.
    (2) Name of carrier.
    (3) Names of payor and organization, if any, for which 
transportation is performed.
    (4) Date(s) transportation was performed.
    (5) Origin, destination, and general routing of trip.
    (6) Identification and seating capacity of each vehicle used.
    (7) Number of persons transported.
    (8) Mileage upon which charges are based, including any deadhead 
mileage, separately noted.
    (9) Applicable rates per mile, hour, day, or other unit.
    (10) Itemized charges for transportation, including special services 
and fees.
    (11) Total charges assessed and collected.

The carrier shall keep a copy of all expense bills issued for the period 
prescribed at 49 CFR part 379. If any expense bill is spoiled, voided, 
or unused for any reason, a copy or written record of its disposition 
shall be retained for a like period.

[55 FR 11198, Mar. 27, 1990, as amended at 59 FR 2303, Jan. 14, 1994; 61 
FR 19860, May 3, 1996; 62 FR 15423, Apr. 1, 1997]



Sec. 373.105  Low value packages.

    The carrier and shipper may elect to waive the above provisions and 
use a more streamlined recordkeeping or documentation system for 
distribution of ``low value'' packages. This includes the option of 
shipping such packages under the provisions of 49 U.S.C. 14706(c). The 
shipper is responsible ultimately for determining which packages should 
be designated as low value. A useful guideline for this determination is 
an invoice value less than or equal to the costs of preparing a loss or 
damage claim.

[55 FR 11198, Mar. 27, 1990. Redesignated at 61 FR 54708, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



             Subpart B--Freight Forwarders; Bills of Lading



Sec. 373.201  Bills of lading for freight forwarders.

    Every household goods freight forwarder (HHGFF) shall issue the 
shipper through bills of lading, covering transportation from origin to 
ultimate destination, on each shipment for which it arranges 
transportation in interstate commerce. Where a motor common carrier 
receives freight at the origin and issues a receipt therefor on its form 
with a notation showing the HHGFF's name, the HHGFF, upon receiving the 
shipment at the ``on line'' or consolidating station, shall issue a 
through bill of lading on its form as of the date the carrier receives 
the shipment.

[55 FR 11201, Mar. 27, 1990. Redesignated at 61 FR 54708, Oct. 21, 
1996.]



PART 374--PASSENGER CARRIER REGULATIONS--Table of Contents




   Subpart A--Discrimination in Operations of Interstate Motor Common 
                         Carriers of Passengers

Sec.
374.101  Discrimination prohibited.
374.103  Notice to be printed on tickets.
374.105  Discrimination in terminal facilities.
374.107  Notice to be posted at terminal facilities.
374.109  Carriers not relieved of existing obligations.
374.111  Reports of interference with regulations.
374.113  Definitions.

[[Page 705]]

    Subpart B--Limitation of Smoking on Interstate Passenger Carrier 
                                Vehicles

374.201  Prohibition against smoking on interstate passenger-carrying 
          motor vehicles.

 Subpart C--Adequacy of Intercity Motor Common Carrier Passenger Service

374.301  Applicability.
374.303  Definitions.
374.305  Ticketing and information.
374.307  Baggage service.
374.309  Terminal facilities.
374.311  Service responsibility.
374.313  Equipment.
374.315  Transportation of passengers with disabilities.
374.317  Identification--bus and driver.
374.319  Relief from provisions.

Subpart D--Notice of and Procedures for Baggage Excess Value Declaration

374.401  Minimum permissible limitations for baggage liability.
374.403  Notice of passenger's ability to declare excess value on 
          baggage.
374.405  Baggage excess value declaration procedures.

                  Subpart E--Incidental Charter Rights

374.501  Applicability.
374.503  Authority.
374.505  Exceptions.

    Authority: 49 U.S.C. 13301 and 14101; 49 CFR 1.48.



   Subpart A--Discrimination in Operations of Interstate Motor Common 
                         Carriers of Passengers

    Source: 36 FR 1338, Jan. 28, 1971, unless otherwise noted. 
Redesignated at 61 FR 54709, Oct. 21, 1996.



Sec. 374.101  Discrimination prohibited.

    No motor common carrier of passengers subject to 49 U.S.C. subtitle 
IV, part B shall operate a motor vehicle in interstate or foreign 
commerce on which the seating of passengers is based upon race, color, 
creed, or national origin.

[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec. 374.103  Notice to be printed on tickets.

    Every motor common carrier of passengers subject to 49 U.S.C. 
subtitle IV, part B shall cause to be printed on every ticket sold by it 
for transportation on any vehicle operated in interstate or foreign 
commerce a plainly legible notice as follows: ``Seating aboard vehicles 
operated in interstate or foreign commerce is without regard to race, 
color, creed, or national origin.''

    Note: The following interpretation of the provisions of Sec. 374.103 
(formerly Sec. 1055.2) appears at 27 FR 230, Jan. 9, 1962:
    The words, ``Seating aboard vehicles operated in interstate or 
foreign commerce is without regard to race, color, creed, or national 
origin'', should appear on the face of every ticket coming within the 
purview of the section. If the ticket is in parts or consists of 
additional elements, such as coupons, identification stubs, or checks, 
it shall be sufficient for the purposes of Sec. 374.103 that the notice 
appear only once on the ticket and be placed on the face of that portion 
of the ticket which is held by the passenger.


[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec. 374.105  Discrimination in terminal facilities.

    No motor common carrier of passengers subject to 49 U.S.C. subtitle 
IV, part B shall in the operation of vehicles in interstate or foreign 
commerce provide, maintain arrangements for, utilize, make available, 
adhere to any understanding for the availability of, or follow any 
practice which includes the availability of, any terminal facilities 
which are so operated, arranged, or maintained as to involve any 
separation of any portion thereof, or in the use thereof on the basis of 
race, color, creed, or national origin.

[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec. 374.107  Notice to be posted at terminal facilities.

    No motor common carrier of passengers subject to 49 U.S.C. subtitle 
IV, part B shall in the operation of vehicles in interstate or foreign 
commerce utilize any terminal facility in which

[[Page 706]]

there is not conspicuously displayed and maintained so as to be readily 
visible to the public a plainly legible sign or placard containing the 
full text of these regulations. Such sign or placard shall be captioned: 
``Public Notice: Regulations Applicable to Vehicles and Terminal 
Facilities of Interstate Motor Common Carriers of Passengers, by order 
of the Secretary, U.S. Department of Transportation.''

[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec. 374.109  Carriers not relieved of existing obligations.

    Nothing in this regulation shall be construed to relieve any 
interstate motor common carrier of passengers subject to 49 U.S.C. 
subtitle IV, part B of any of its obligations under 49 U.S.C. subtitle 
IV, part B or its certificate(s) of public convenience and necessity.

[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec. 374.111  Reports of interference with regulations.

    Every motor common carrier of passengers subject to 49 U.S.C. 
subtitle IV, part B operating vehicles in interstate or foreign commerce 
shall report to the Secretary, within fifteen (15) days of its 
occurrence, any interference by any person, municipality, county, 
parish, State, or body politic with its observance of the requirements 
of these regulations in this part. Such report shall include a statement 
of the action that such carrier may have taken to eliminate any such 
interference.

[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec. 374.113  Definitions.

    For the purpose of these regulations the following terms and phrases 
are defined:
    (a) Terminal facilities. As used in these regulations the term 
``terminal facilities'' means all facilities, including waiting room, 
rest room, eating, drinking, and ticket sales facilities which a motor 
common carrier makes available to passengers of a motor vehicle operated 
in interstate or foreign commerce as a regular part of their 
transportation.
    (b) Separation. As used in Sec. 374.105, the term ``separation'' 
includes, among other things, the display of any sign indicating that 
any portion of the terminal facilities are separated, allocated, 
restricted, provided, available, used, or otherwise distinguished on the 
basis of race, color, creed, or national origin.

[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



    Subpart B--Limitation of Smoking on Interstate Passenger Carrier 
                                Vehicles



Sec. 374.201  Prohibition against smoking on interstate passenger-carrying motor vehicles.

    (a) All motor common carriers of passengers subject to 49 U.S.C. 
subtitle IV, part B, shall prohibit smoking (including the carrying of 
lit cigars, cigarettes, and pipes) on vehicles transporting passengers 
in scheduled or special service in interstate commerce.
    (b) Each carrier shall take such action as is necessary to ensure 
that smoking by passengers, drivers, and other employees is not 
permitted in violation of this section. This shall include making 
appropriate announcements to passengers, the posting of the 
international no-smoking symbol, and the posting of signs in all 
vehicles transporting passengers in letters in sharp color contrast to 
the background, and of such size, shape, and color as to be readily 
legible. Such signs and symbols shall be kept and maintained in such a 
manner as to remain legible and shall indicate that smoking is 
prohibited by Federal regulation.
    (c) The provisions of paragraph (a) of this section shall not apply 
to charter operations as defined in Sec. 374.503 of this part.

[56 FR 1745, Jan. 17, 1991. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]

[[Page 707]]



 Subpart C--Adequacy of Intercity Motor Common Carrier Passenger Service

    Source: 55 FR 11199, Mar. 27, 1990, unless otherwise noted. 
Redesignated at 61 FR 54709, Oct. 21, 1996.



Sec. 374.301  Applicability.

    These rules govern only motor passenger common carriers conducting 
regular-route operations.



Sec. 374.303  Definitions.

    (a) Carrier means a motor passenger common carriers.
    (b) Bus means a passenger-carrying vehicle, regardless of design or 
seating capacity, used in a carrier's authorized operations.
    (c) Facility means any structure provided by or for a carrier at or 
near which buses pick up or discharge passengers.
    (d) Terminal means a facility operated or used by a carrier chiefly 
to furnish passengers transportation services and accommodations.
    (e) Station means a facility, other than a terminal, operated by or 
for a carrier to accommodate passengers.
    (f) Service means passenger transportation by bus between authorized 
points or over authorized routes.
    (g) Commuter service, notwithstanding 49 CFR 1312.1(b)(33), means 
passenger transportation wholly between points not more than 100 airline 
miles apart and not involving through-bus, connecting, or interline 
services to or from points beyond 100 airline miles. The usual 
characteristics of commuter service include reduced fare, multiple-ride, 
and commutation tickets, and peak morning and evening operations.
    (h) Baggage means property a passenger takes with him for his 
personal use or convenience.
    (i) Restroom means a room in a bus or terminal equipped with a 
toilet, washbowl, soap or a reasonable alternative, mirror, wastebasket, 
and toilet paper.



Sec. 374.305  Ticketing and information.

    (a) Information service. (1) During business hours at each terminal 
or station, information shall be provided as to schedules, tickets, 
fares, baggage, and other carrier services.
    (2) Carrier agents and personnel who sell or offer to sell tickets, 
or who provide information concerning tickets and carrier services, 
shall be competent and adequately informed.
    (b) Telephone information service. Every facility where tickets are 
sold shall provide telephonic information to the traveling public, 
including current bus schedules and fare information, when open for 
ticket sales.
    (c) Schedules. Printed, regular-route schedules shall be provided to 
the traveling public at all facilities where tickets for such services 
are sold. Each schedule shall show the points along the carrier's 
route(s) where facilities are located or where the bus trips originate 
or terminate, and each schedule shall indicate the arrival or departure 
time for each such point.
    (d) Ticket refunds. Each carrier shall refund unused tickets upon 
request, consistent with its governing tariff, at each place where 
tickets are sold, within 30 days after the request.
    (e) Announcements. No scheduled bus (except in commuter service) 
shall depart from a terminal or station until a public announcement of 
the departure and boarding point has been given. The announcement shall 
be given at least 5 minutes before the initial departure and before 
departures from points where the bus is scheduled to stop for more than 
5 minutes.



Sec. 374.307  Baggage service.

    (a) Checking procedures. (1) Carriers shall issue receipts, which 
may be in the form of preprinted tickets, for all checked services 
baggage.
    (2)(i) If baggage checking service is not provided at the side of 
the bus, all baggage checked at a baggage checking counter at least 30 
minutes but not more than 1 hour before departure shall be transported 
on the same schedule as the ticketed passenger.
    (ii) If baggage checking service is provided at the side of the bus, 
passengers checking baggage at the baggage checking counter less than 30 
minutes before the scheduled departure shall be notified that their 
baggage may not travel on the same schedule. Such baggage must then be 
placed on

[[Page 708]]

the next available bus to its destination. All baggage checked at the 
side of the bus during boarding, or at alternative locations provided 
for such purpose, shall be transported on the same schedule as the 
ticketed passenger.
    (b) Baggage security. All checked baggage shall be placed in a 
secure or attended area prohibited to the public. Baggage being readied 
for loading shall not be left unattended.
    (c) Baggage liability. (1) No carrier may totally exempt its 
liability for articles offered as checked baggage, unless those articles 
have been exempted by the Secretary. (Other liability is subject to 
subpart D of this part). A notice listing exempted articles shall be 
prominently posted at every location where baggage is accepted for 
checking.
    (2) Carriers may refuse to accept as checked baggage and, if 
unknowingly accepted, may disclaim liability for loss or damage to the 
following articles:
    (i) Articles whose transportation as checked baggage is prohibited 
by law or regulation;
    (ii) Fragile or perishable articles, articles whose dimensions 
exceed the size limitations in the carrier's tariff, receptacles with 
articles attached or protruding, guns, and materials that have a 
disagreeable odor;
    (iii) Money; and
    (iv) Those other articles that the Secretary exempts upon petition 
by the carrier.
    (3) Carriers need not offer excess value coverage on articles of 
extraordinary value (including, but not limited to, negotiable 
instruments, papers, manuscripts, irreplaceable publications, documents, 
jewelry, and watches).
    (d) Express shipments. Passengers and their baggage always take 
precedence over express shipments.
    (e) Baggage at destination. All checked baggage shall be made 
available to the passenger within a reasonable time, not to exceed 30 
minutes, after arrival at the passenger's destination. If not, the 
carrier shall deliver the baggage to the passenger's local address at 
the carrier's expense.
    (f) Lost or delayed baggage. (1) Checked baggage that cannot be 
located within 1 hour after the arrival of the bus upon which it was 
supposed to be transported shall be designated as lost. The carrier 
shall notify the passenger at that time and furnish him with an 
appropriate tracing form.
    (2) Every carrier shall make available at each ticket window and 
baggage counter a single form suitable both for tracing and for filing 
claims for lost or misplaced baggage. The form shall be prepared in 
duplicate and signed by the passenger and carrier representative. The 
carrier or its agent shall receive the signed original, with any 
necessary documentation and additional information, and the claim check, 
for which a receipt shall be given. The passenger shall retain the 
duplicate copy.
    (3) The carrier shall make immediate and diligent efforts to recover 
lost baggage.
    (4) A passenger may fill out a tracing form for lost unchecked 
baggage. The carrier shall forward recovered unchecked baggage to the 
terminal or station nearest the address shown on the tracing form and 
shall notify the passenger that the baggage will be held on a will-call 
basis.
    (g) Settlement of claims. Notwithstanding 49 CFR 370.9, if lost 
checked baggage cannot be located within 15 days, the carrier shall 
immediately process the matter as a claim. The date on which the carrier 
or its agent received the tracing form shall be considered the first day 
of a 60-day period in which a claim must be resolved by a firm offer of 
settlement or by a written explanation of denial of the claim.

[55 FR 11199, Mar. 27, 1990. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec. 374.309  Terminal facilities.

    (a) Passenger security. All terminals and stations must provide 
adequate security for passengers and their attendants and be regularly 
patrolled.
    (b) Outside facilities. At terminals and stations that are closed 
when buses are scheduled to arrive or depart, there

[[Page 709]]

shall be available, to the extent possible, a public telephone, outside 
lighting, posted schedule information, overhead shelter, information on 
local accommodations, and telephone numbers for local taxi service and 
police.
    (c) Maintenance. Terminals shall be clean.



Sec. 374.311  Service responsibility.

    (a) Schedules. Carriers shall establish schedules that can be 
reasonably met, including connections at junction points, to serve 
adequately all authorized points.
    (b) Continuity of service. No carrier shall change an existing 
regular-route schedule without first filing a written notice with the 
FHWA's Regional Office(s). The carrier shall display conspicuously a 
copy of such notice in each facility and on each bus affected. Such 
notice shall be displayed for a reasonable time before it becomes 
effective and shall contain the carrier's name, a description of the 
proposed schedule change, the effective date thereof, the reasons for 
the change, the availability of alternate service, and the name and 
address of the carrier representative passengers may contact.
    (c) Trip interruptions. A carrier shall mitigate, to the extent 
possible, any passenger inconvenience it causes by disrupting travel 
plans.
    (d) Seating and reservations. A carrier shall provide sufficient 
buses to meet passengers' normal travel demands, including ordinary 
weekend and usual seasonal or holiday demand. Passengers (except 
commuters) shall be guaranteed, to the extent possible, passage and 
seating.
    (e) Inspection of rest stops. Each carrier shall inspect 
periodically all rest stops it uses to ensure that they are clean.

[55 FR 11199, Mar. 27, 1990. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec. 374.313  Equipment.

    (a) Temperature control. A carrier shall maintain a reasonable 
temperature on each bus (except in commuter service).
    (b) Restrooms. Each bus (except in commuter service) seating more 
than 14 passengers (not including the driver) shall have a clean, 
regularly maintained restroom, free of offensive odor. A bus may be 
operated without a restroom if it makes reasonable rest stops.
    (c) Bus servicing. Each bus shall be kept clean, with all required 
items in good working order.



Sec. 374.315  Transportation of passengers with disabilities.

    Service provided by a carrier to passengers with disabilities is 
governed by the provisions of 42 U.S.C. 11201 et seq., and regulations 
promulgated thereunder by the Secretary of Transportation (49 CFR parts 
27, 37, and 38) and the Attorney General (28 CFR part 36), incorporating 
the guidelines established by the Architectural and Transportation 
Barriers Compliance Board (36 CFR part 1191).

[57 FR 35764, Aug. 11, 1992]



Sec. 374.317  Identification--bus and driver.

    Each bus and driver providing service shall be identified in a 
manner visible to passengers. The driver may be identified by name or 
company number.



Sec. 374.319  Relief from provisions.

    (a) Petitions. Where compliance with any rule would impose an undue 
burden on a carrier, it may petition the Federal Highway Administration 
either to treat it as though it were conducting a commuter service or to 
waive the rule. The request for relief must be justified by appropriate 
verified statements.
    (b) Notice to the public. The carrier shall display conspicuously, 
for at least 30 days, in each facility and on each bus affected, a 
notice of the filing of any petition. The notice shall contain the 
carrier's name and address, a concise description of and reasons for the 
relief sought, and a statement that any interested person may file 
written comments with the Federal Highway Administration (with one copy 
mailed to the carrier) on or before a specific date that is at least 30 
days later than the date the notice is posted.

[55 FR 11199, Mar. 27, 1990. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]

[[Page 710]]



Subpart D--Notice of and Procedures for Baggage Excess Value Declaration

    Source: 40 FR 1249, Jan. 7, 1975, unless otherwise noted. 
Redesignated at 61 FR 54709, Oct. 21, 1996.



Sec. 374.401  Minimum permissible limitations for baggage liability.

    (a) Motor common carriers of passengers and baggage subject to 49 
U.S.C. 13501 may not publish tariff provisions limiting their liability 
for loss or damage to baggage checked by a passenger transported in 
regular route or special operations unless:
    (1) The amount for which liability is limited is $250 or greater per 
adult fare, and
    (2) The provisions permit the passenger, for an additional charge, 
to declare a value in excess of the limited amount, and allow the 
passenger to recover the increased amount (but not higher than the 
actual value) in event of loss or damage. The carriers may publish a 
maximum value for which they will be liable, but that maximum value may 
not be less than $1,000. Appropriate identification must be attached 
securely by the passenger to each item of baggage checked, indicating in 
a clear and legible manner the name and address to which the baggage 
should be forwarded if lost and subsequently recovered. Identification 
tags shall be made immediately available by the carriers to passengers 
upon request.
    (3) Carriers need not offer excess value coverage on articles listed 
in Sec. 374.307(c)(3).

(49 U.S.C. 10321, 5 U.S.C. 553)

[46 FR 22899, Apr. 22, 1981, as amended at 47 FR 21840, May 20, 1982; 62 
FR 15423, Apr. 1, 1997]



Sec. 374.403  Notice of passenger's ability to declare excess value on baggage.

    (a) All motor common carriers of passengers and baggage subject to 
49 U.S.C. subtitle IV, part B, which provide in their tariffs for the 
declaration of baggage in excess of a free baggage allowance limitation, 
shall provide clear and adequate notice to the public of the opportunity 
to declare such excess value on baggage.
    (b) The notice referred to in paragraph (a) of this section shall be 
in large and clear print, and shall state as follows:

                        Notice--Baggage Liability

    This motor carrier is not liable for loss or damage to properly 
identified baggage in an amount exceeding $____. If a passenger desires 
additional coverage for the value of his baggage he may, upon checking 
his baggage, declare that his baggage has a value in excess of the above 
limitation and pay a charge as follows:

                          Identify Your Baggage

    Under FHWA regulations, all baggage must be properly identified. 
Luggage tags should indicate clearly the name and address to which lost 
baggage should be forwarded. Free luggage tags are available at all 
ticket windows and baggage counters.


The statement of charges for excess value declaration shall be clear, 
and any other pertinent provisions may be added at the bottom in clear 
and readable print.
    (c) The notice referred to in paragraphs (a) and (b) of this section 
shall be (1) placed in a position near the ticket seller, sufficiently 
conspicuous to apprise the public of its provisions, (2) placed on a 
form to be attached to each ticket issued (and the ticket seller shall, 
where possible, provide oral notice to each ticket purchaser to read the 
form attached to the ticket), (3) placed in a position at or near any 
location where baggage may be checked, sufficiently conspicuous to 
apprise each passenger checking baggage of its provisions, and (4) 
placed in a position at each boarding point or waiting area used by the 
carrier at facilities maintained by the carrier or its agents, 
sufficiently conspicuous to apprise each boarding passenger of the 
provisions of the said notice.

[40 FR 1249, Jan. 7, 1975, as amended at 62 FR 15423, Apr. 1, 1997]



Sec. 374.405  Baggage excess value declaration procedures.

    All motor common carriers of passengers and baggage subject to 49 
U.S.C. subtitle IV, part B, which provide in their tariffs for the 
declaration of baggage value in excess of a free

[[Page 711]]

baggage allowance limitation, shall provide for the declaration of 
excess value on baggage at any time or place where provision is made for 
baggage checking, including (a) at a baggage checking counter until 15 
minutes before scheduled boarding time, and (b) at the side of the bus 
or at a baggage checking counter in reasonable proximity to the boarding 
area during boarding at a terminal or any authorized service point.

[40 FR 1249, Jan. 7, 1975, as amended at 62 FR 15423, Apr. 1, 1997]



                  Subpart E--Incidental Charter Rights

    Authority: 5 U.S.C. 553 and 559 and 49 U.S.C. 10321, 10922, and 
10932.

    Source: 54 FR 46619, Nov. 6, 1989, unless otherwise noted. 
Redesignated at 61 FR 54709, Oct. 21, 1996.



Sec. 374.501  Applicability.

    The regulations in this part apply to incidental charter rights 
authorized under 49 U.S.C. 13506 [49 U.S.C. 10932(c)]. These regulations 
do not apply to interpreting authority contained in a certificate to 
transport passengers in special and/or charter operations.

[54 FR 46619, Nov. 6, 1989. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec. 374.503  Authority.

    Motor carriers transporting passengers, in interstate or foreign 
commerce, over regular routes authorized in a certificate issued as a 
result of an application filed before January 2, 1967, may transport 
special or chartered parties, in interstate or foreign commerce, between 
any points and places in the United States (including Alaska and 
Hawaii). The term ``special or chartered party'' means a group of 
passengers who, with a common purpose and under a single contract, and 
at a fixed charge for the vehicle in accordance with the carrier's 
tariff, have acquired the exclusive use of a passenger-carrying motor 
vehicle to travel together as a group to a specified destination or for 
a particular itinerary.



Sec. 374.505  Exceptions.

    (a) Incidental charter rights do not authorize the transportation of 
passengers to whom the carrier has sold individual tickets or with whom 
the carrier has made separate and individual transportation 
arrangements.
    (b) Service provided under incidental charter rights may not be 
operated between the same points or over the same route so frequently as 
to constitute a regular-route service.
    (c) Passenger transportation within the Washington Metropolitan Area 
Transit District (as defined in the Washington Metropolitan Area 
Transportation Regulation Compact, Pub. L. No. 86-794, 74 Stat. 1031 
(1960), as amended by Pub. L. No. 87-767, 76 Stat. (1962) is not 
authorized by these regulations, but is subject to the jurisdiction and 
regulations of the Washington Metropolitan Area Transportation 
Commission.
    (d) A private or public recipient of governmental assistance (within 
the meaning of 49 U.S.C. 13902(b)(8)) may provide service under 
incidental charter rights only for special or chartered parties 
originating in the area in which the private or public recipient 
provides regularly scheduled mass transportation services under the 
specific qualifying certificate that confers its incidental charter 
rights.

[54 FR 46619, Nov. 6, 1989. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



PART 375--TRANSPORTATION OF HOUSEHOLD GOODS IN INTERSTATE OR FOREIGN COMMERCE--Table of Contents




Sec.
375.1  Applicability and definitions.
375.2  Information for shippers.
375.3  Estimates of charges.
375.4  Final charges on shipments subject to minimum weight or volume 
          provisions.
375.5  Order for service.
375.6  Receipt or bill of lading.
375.7  Determination of weights.
375.8  Reasonable dispatch.
375.9  Notification of charges.
375.10  Signed receipt for shipment-release prohibited.
375.11  Selling of insurance to shippers.
375.12  Liability of carriers.
375.13  Complaint and inquiry handling.
375.14  Agency agreements.

[[Page 712]]

375.15  Collection of freight charges on household goods shipments 
          involving loss or destruction in transit.
375.16  Collection of freight charges on shipments transported on more 
          than one vehicle.
375.17  Advertising by motor common carriers of household goods.
375.18  Preparation and filing of annual performance report.
375.19  Use of charge card plans.

    Authority: 5 U.S.C. 553; 49 U.S.C. 13301 and 14104; 49 CFR 1.48.

    Source: 46 FR 16218, Mar. 11, 1981, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.



Sec. 375.1  Applicability and definitions.

    (a) The regulations in this part are applicable to the operations of 
motor carriers engaged in the transportation of household goods as 
defined in paragraph (b)(1) of this section in interstate or foreign 
commerce.
    (b) Definitions. As used in this part:
    (1) Household Goods. The term ``household goods'' means personal 
effects and property used or to be used in a dwelling when a part of the 
equipment or supply of such dwelling and such other similar property as 
the Commission may provide by regulation; except that this definition 
shall not be construed to include property moving from a factory or 
store except such property as a householder has purchased with intent to 
use in his dwelling and which is transported at the request of, and the 
transportation charges paid to the carrier by the householder. The 
regulations under this part do not apply to the transportation of 
property transportable under 49 U.S.C. 10102(10) (B) and (C).
    (2) Reasonable dispatch. The term ``reasonable dispatch'' means the 
performance of transportation, excluding transportation provided under 
tariff provisions requiring guaranteed service dates, on the dates or 
during the period of time agreed upon by the carrier and the shipper and 
shown on the Order For Service/Bill of Lading, Provided, That the 
defenses of force majeure as construed by the courts shall not be denied 
the carrier.
    (3) Advertisement. The term ``advertisement'' means any 
communication to the public in connection with an offer or sale of any 
interstate or foreign transportation service, but shall not be construed 
to include a listing of a carrier name, address, and telephone number in 
a telephone directory or similar publication.
    (4) Certified Scales. As used in this part, a certified scale is any 
scale designed for weighing motor vehicles, including trailers or semi-
trailers not attached to a tractor, and certified by an authorized scale 
inspection and licensing authority. A certified scale may also be a 
platform or warehouse type scale properly inspected and certified.
    (5) Individual Shipper. As used in this part, ``individual shipper'' 
refers to any person who is the consignor or consignee of a household 
goods shipment and is identified as such in the bill of lading contract 
and owns the goods being transported.
    (6) Commercial Shipper. As used in this part, ``commercial shipper'' 
refers to (a) any person, excluding the federal government, who is named 
as the consignor and/or consignee in a bill of lading contract who is 
not the owner of the goods being transported but who assumes the 
responsibility for payment of the transportation and other tariff 
charges for the account of the beneficial owner of the goods, normally 
an employee of the consignor and/or consignee; or, (b) a freight 
forwarder which tenders a shipment to a carrier in furtherance of 
authorized or exempt freight forwarder operations.
    (7) Government Bill of Lading Shipper. As used in this part, 
``government bill of lading shipper'' refers to any person whose 
property is transported under the terms and conditions of a government 
bill of lading issued by any department or agency of the federal 
government to the carrier responsible for the transportation of the 
shipment.
    (8) Other terms. Where any other terms used in the regulations in 
this part are defined in 49 U.S.C. 10102, such definitions shall be 
controlling. Where terms are used in this part which are neither defined 
herein nor in 49 U.S.C. 10102, they shall have the ordinary practical 
meaning of such terms.

[46 FR 16218, Mar. 11, 1981; 46 FR 22594, Apr. 20, 1981]

[[Page 713]]



Sec. 375.2  Information for shippers.

    (a) Prior to the execution of an order for service of a shipment of 
household goods, as defined in Sec. 375.1(b)(1), every motor common 
carrier holding out to perform the service shall cause to be furnished 
to the prospective individual shipper the following publications.
    (1) Publication OCE-100, Your Rights and Responsibilities When You 
Move.
    (2) A concise, easy-to-read, accurate summary of any dispute 
settlement program in which the carrier participates, as provided in 49 
U.S.C. 14708 and approved by the Commission.
    (3) A copy of Form OCE-101, Annual Performance Report, most recently 
filed with the Commission, as prescribed in Sec. 375.18, if the carrier 
is required to complete part B of that form.
    (4) A written description of the customer complaint and inquiry 
handling procedures established and maintained by the carrier. Included 
in this description shall be a telephone number which the shipper may 
use to communicate with the carrier, accompanied by a clear and concise 
statement concerning who shall pay for such calls.
    (b) General Requirements: (1) The text and format of the publication 
shall not be changed without the written approval of the Director, 
Office of Compliance and Enforcement, Interstate Commerce Commission.
    (2) The Director, Office of Compliance and Enforcement, Interstate 
Commerce Commission, shall, within 30 days following the effective date 
of a decision of the Interstate Commerce Commission changing any rule or 
regulation published at 49 CFR part 375, cause to be published in the 
Federal Register a notice of amendment to Publication OCE-100 reflecting 
such change or changes.
    (3) The dimensions of the publication shall be optional, Provided, 
however, The product of multiplying the length by the width shall be not 
less than 36 square inches.
    (4) The color and design of the front and back cover of the 
publication shall be optional. Provided, the only words printed or 
appearing on the front cover shall be ``Your Rights and Responsibilities 
When You Move.''

[46 FR 16218, Mar. 11, 1981; 46 FR 22594, Apr. 20, 1981, as amended at 
59 FR 2305, Jan. 14, 1994; 59 FR 34392, July 5, 1994; 62 FR 49940, 
49941, Sept. 24, 1997]



Sec. 375.3  Estimates of charges.

    (a) Binding estimates. Motor common carriers engaged in the 
transportation of household goods as defined in Sec. 375.1(b)(1) may 
provide in their tariffs for the preparation and furnishing to shippers 
of binding estimates of the costs which the shippers will be required to 
pay for the services included in the estimates. Binding estimates must 
be furnished in writing to the shipper or other person responsible for 
payment of the freight charges and a copy of each such estimate must be 
retained by the carrier as an addendum to the bill of lading. All such 
estimates shall have clearly indicated on its face that the estimate is 
binding on the carrier and that the charges shown are the charges which 
will be assessed for the services identified in the estimate. Binding 
estimates must clearly describe the shipment and all services to be 
provided.
    (b) Non-binding estimates. Motor common carriers engaged in the 
transportation of household goods as defined in Sec. 375.1(b)(1) may 
provide estimates of the approximate costs which will be assessed for 
the transportation of such shipments. Non-binding estimates shall be 
reasonably accurate. Estimates of approximate costs shall not be binding 
on the carriers providing such estimates. The final charges on shipments 
moved on non-binding estimates shall be those appearing in the carriers' 
tariffs applicable to the transportation. Non-binding estimates must be 
furnished without charge and in writing to the shipper or other person 
responsible for payment of the freight charges and a copy of each such 
estimate must be retained by the carrier as an addendum to the bill of 
lading. All such estimates shall have clearly indicated on the face 
thereof that the estimate is not binding on the carrier and that the 
charges shown are the approximate charges which will be assessed for the 
services identified in the estimate.

[[Page 714]]

Non-binding estimates must clearly describe the shipment and all 
services to be provided.
    (c) Estimated charges required to be entered on the order for 
service and bill of lading. Motor common carriers furnishing non-binding 
estimates shall enter the estimated charges on the order for service, if 
an order for service is required, and on the bill of lading.
    (d) Maximum charges required to be paid at time of delivery on 
collect on delivery shipments subject to non-binding estimates of 
approximate costs. At time of delivery of a collect on delivery 
shipment, except when such shipment is delivered to a warehouse for 
storage at the request of the shipper, on which a non-binding estimate 
of the approximate costs has been furnished by the carrier under the 
provisions of paragraph (b), the shipper may request delivery of the 
shipment upon payment, in a form acceptable to the carrier, of an amount 
not exceeding 110 percent of the estimated charges. The carrier shall, 
upon request of the shipper, relinquish possession of the shipment upon 
payment of not more than 110 percent of the estimated charges and shall 
defer demand for the payment of the balance of any remaining charges for 
a period of 30 days following the date of delivery.

[46 FR 16218, Mar. 11, 1981. Redesignated at 61 FR 54707, Oct. 21, 1996; 
62 FR 49941, Sept. 24, 1997]



Sec. 375.4  Final charges on shipments subject to minimum weight or volume provisions.

    (a) Motor common carriers engaged in the transportation of household 
goods, as defined in Sec. 375.1(b)(1), providing service for individual 
shippers on rates based on the transportation of a minimum weight or 
volume, must indicate on the order for service the minimum weight or 
volume-based rates, and the the minimum charges applicable to the 
shipment.
    (b) Failure to comply with the requirements of paragraph (a) shall 
require, and the governing tariff shall contain, a rule providing that 
the final charges relating to such a shipment be computed based on the 
actual weight or volume of the shipment.

[46 FR 16218, Mar. 11, 1981. Redesignated at 61 FR 54707, Oct. 21, 1996; 
62 FR 49941, Sept. 24, 1997]



Sec. 375.5  Order for service.

    (a) Order for service required. Every motor common carrier shall, 
prior to the receipt of a shipment of household goods as defined in 
Sec. 375.1(b)(1) to be moved for an individual shipper, prepare an order 
for service which contains the following mimunum information:
    (1) Name and address and ICC docket number of carrier who is 
responsible for performing the service.
    (2) Shipper's name, address and, if available, telephone number.
    (3) Name, address and telephone number of the delivering carrier's 
office or agent located at or nearest to the destination of the 
shipment.
    (4) A telephone number at which the shipper/consignee may contact 
the carrier or its designated agent.
    (5) Agreed pickup date and agreed delivery date, or the agreed 
period or periods of time within which pickup, delivery, or the entire 
move, will be accomplished. If the shipment is to be transported on a 
guaranteed service basis, the guaranteed dates or periods of time for 
pickup, transportation and delivery and any penalty or per diem 
requirements of the agreement shall be entered under this item.
    (6) Complete description of any special or accessorial services 
ordered; and minimum weight or volume charges applicable to the 
shipment.
    (7) Any identification or registration number assigned the shipment 
by the carrier.
    (8) Amount of estimated non-binding charges; method of payment of 
total charges; and, maximum amount required to be paid at time of 
delivery to obtain possession of the shipment or, the amount of charges 
required to be paid based on a binding estimate and the terms of payment 
under that estimate.
    (9) Whether the shipper requests notification of the charges prior 
to delivery and the telephone number or address at which such 
communications will be received.

[[Page 715]]

    (10) Signatures required. The order for service shall be signed by 
the shipper who is ordering the service, and by the carrier or its 
agent. A copy of the order for service shall be dated and furnished the 
shipper at the time it is executed.
    (b) Amendments to an order for service. Prior to loading an order 
for service may be amended by agreement of both parties.

[46 FR 16219, Mar. 11, 1981; 46 FR 22594, Apr. 20, 1981, as amended at 
62 FR 49941, Sept. 24, 1997]



Sec. 375.6  Receipt or bill of lading.

    (a) Issuance of a receipt or bill of lading. Every motor common 
carrier engaged in the transportation of household goods as defined in 
Sec. 375.1(b)(1) shall issue a receipt or bill of lading. The bill of 
lading shall contain the minimum information required by Sec. 375.6(b) 
and the terms and conditions of the contract. The carrier shall furnish 
a complete copy of the bill of lading to the shipper prior to the 
commencement of the loading of a shipment.
    (b) Minimum information required on a receipt or bill of lading. 
Whenever a receipt or bill of lading is issued in compliance with 
paragraph (a), the carrier shall cause to be included therein the 
following minimum information:
    (1) The name and address of the motor carrier issuing the receipt or 
bill of lading.
    (2) The names and addresses of any other motor carriers, when known, 
which will participate, through interline, in the transportation of the 
shipment.
    (3) The name, address and telephone number of the office of the 
carrier that should be contacted in relation to the transportation of 
shipments.
    (4) When the transportation is to be performed on a collect on 
delivery basis, the name, address and, if furnished, the telephone 
number of a person to whom notification provided for in Sec. 375.9(b) 
shall be given.
    (5) When the transportation is to be performed for an individual 
shipper, and except when the transportation is to be performed subject 
to tariff provisions providing for guaranteed service dates, the agreed 
date or period of time for pickup of the shipment and the agreed date or 
period of time for the delivery of the shipment. The agreed dates or 
periods of time for pickup and delivery entered on the receipt or bill 
of lading shall conform to the agreed dates or periods of time for 
pickup and delivery entered on the order for service or a proper 
amendment to the order for service.
    (6) When the transportation is to be performed subject to tariff 
provisions providing for guaranteed pickup, transportation and delivery 
service, the dates for pickup and delivery and any penalty or per diem 
entitlements due the shipper under the agreement.
    (7) The actual date of pickup.
    (8) The company or carrier identification number of the vehicle on 
which the shipment is loaded.
    (9) The terms and conditions for payment of the total charges 
including notice of any minimum charges.
    (10) When the transportation is to be performed on a collect on 
delivery basis and if a pre-move estimate of the charges is provided to 
the shipper, the maximum amount required to be paid at the time of 
delivery to obtain delivery of the shipment.
    (11) The required released rates valuation statement.
    (12) Evidence of any insurance coverage sold to or procured for the 
shipper, including the amount of the premium for such insurance.
    (c) Copy of receipt or bill of lading to accompany shipment. A copy 
of the receipt or bill of lading shall accompany a shipment at all times 
while in the possession of a carrier. When the shipment is loaded on a 
vehicle for transportation the receipt or bill of lading shall be in 
possession of the driver responsible for the shipment.

[46 FR 16219, Mar. 11, 1981; 46 FR 22594, Apr. 20, 1981, as amended at 
50 FR 37534, Sept. 16, 1985; 62 FR 49941, Sept. 24, 1997]



Sec. 375.7  Determination of weights.

    (a) Every motor common carrier transporting household goods on a 
non-binding estimate shall determine the weight of each shipment 
transported prior to the assessment of any charges dependent on the 
shipment weight. Except as otherwise provided herein the weight shall be 
obtained on a scale

[[Page 716]]

meeting the definition of a certified scale as provided in 
Sec. 375.1(b)(4).
    (1) Weighing procedure. Except as otherwise provided herein the 
weight of each shipment shall be obtained by determining the difference 
between the tare weight of the vehicle on which the shipment is to be 
loaded prior to the loading and the gross weight of the same vehicle 
after the shipment is loaded; or, the gross weight of the vehicle with 
the shipment loaded and the tare weight of the same vehicle after the 
shipment is unloaded.
    (2) At the time of both weighings the vehicle shall have installed 
or loaded all pads, dollies, handtrucks, ramps and other equipment 
required in the transportation of such shipments. Neither the driver nor 
any other persons shall be on the vehicle at the time of either 
weighing.
    (3) The fuel tanks on the vehicle shall be full at the time of each 
weighing or, in the alternative, no fuel may be added between the two 
weighings when the tare weighing is the first weighing performed.
    (4) The trailer of a tractor-trailer vehicle combination may be 
detached from the tractor and the trailer weighed separately at each 
weighing providing the length of the scale platform is adequate to 
accommodate and support the entire trailer at one time.
    (5) Shipments weighing 1,000 pounds or less may be weighed on a 
certified platform or warehouse scale prior to loading for 
transportation or subsequent to unloading.
    (6) The net weight of shipments transported in containers shall be 
the difference between the tare weight of the container, including all 
pads, blocking and bracing used or to be used in the transportation of 
the shipment and the gross weight of the container with the shipment 
loaded therein.
    (7) The shipper or any other person responsible for the payment of 
the freight charges shall have the right to observe all weighings of the 
shipment. The carrier must advise the shipper or any other person 
entitled to observe the weighings of the time and specific location 
where each weighing will be performed and must give that person a 
reasonable opportunity to be present to observe the weighings. Waiver by 
a shipper of the right to observe any weighing or reweighing is 
permitted and does not affect any rights of the shipper under these 
regulations or otherwise.
    (b) Weight tickets. The carrier shall obtain a separate weight 
ticket for each weighing required under this section except when both 
weighings are performed on the same scale, one weight ticket may be used 
to record both weighings. Every weight ticket must be signed by the 
person performing the weighing and must contain the following minimum 
information:
    (1) The complete name and location of the scale.
    (2) The date of each weighing.
    (3) Identification of the weight entries thereon as being the tare, 
gross and/or net weights.
    (4) The company or carrier identification of the vehicle.
    (5) The last name of the shipper as it appears on the Bill of 
Lading.
    (6) The carrier's shipment registration or Bill of Lading number.
    (7) The original weight ticket or tickets relating to the 
determination of the weight of a shipment must be retained by the 
carrier as part of the file on the shipment. All freight bills presented 
to collect any shipment charges dependent on the weight transported must 
be accompanied by true copies of all weight tickets obtained in the 
determination of the shipment weight.
    (c) Reweighing of shipments. Before the actual commencement of the 
unloading of a shipment weighed at origin and after the shipper is 
informed of the billing weight and total charges, the shipper may 
request a reweigh. The charges shall be based on the reweigh weight.

[46 FR 16218, Mar. 11, 1981. Redesignated at 61 FR 54707, Oct. 21, 1996; 
62 FR 49941, Sept. 24, 1997]



Sec. 375.8  Reasonable dispatch.

    (a) Unless accepted for transportation on the basis of guaranteed 
pickup and delivery dates:
    (1) Reasonable dispatch required. Each motor common carrier 
accepting shipments of household goods as defined in Sec. 375.1(b)(1) 
for transportation for the account of individual shippers shall cause 
such shipments to be transported

[[Page 717]]

with reasonable dispatch as defined in Sec. 375.1(b)(2).
    (2) Notification of delay in providing service with reasonable 
dispatch. Whenever a carrier is unable to perform either or both the 
pickup and delivery of a shipment on the dates or during the periods of 
time specified in the order for service, the carrier shall notify the 
shipper by telephone, telegram or in person, at the carrier's expense, 
of the delay. Such notification shall be given as soon as it becomes 
apparent to the carrier that it will be unable to provide the service in 
compliance with the terms of the order for service.
    (3) Carrier notification of delay. At the time of notification of 
delay the carrier shall advise the shipper of the dates or periods of 
time that pickup and/or delivery can be made, which considers the needs 
of the shipper. If the notification of delay occurs prior to the pickup 
of the shipment, the amendment shall be in writing as required by 
Sec. 375.5(b). If the notification of delay occurs subsequent to the 
pickup of the shipment, the carrier representative notifying the shipper 
of the delay shall prepare a written record of the date, time and manner 
of notification and the amended date or period of time for delivery by 
the carrier which record shall be retained by the carrier as part of its 
file on the shipment and a true copy thereof shall be furnished, by 
first class mail or in person, to the shipper.
    (b) Tendering for delivery. Except upon the request or concurrence 
of the shipper, a shipment being transported for an individual shipper 
shall not be tendered for delivery prior to the agreed delivery date or 
period of time specified on the bill of lading: Provided, That whenever 
a carrier is able to tender such a shipment for final delivery more than 
24 hours prior to such specified date or the first day of such specified 
period of time, and the shipper has not requested or concurred in such 
early delivery, the carrier may, at its option, place the shipment in 
storage for its own account and at its own expense in a warehouse 
located in proximity to the destination of the shipment. Whenever a 
carrier shall exercise such option it shall immediately notify the 
shipper of the name and address of the warehouse in which the shipment 
has been placed, and shall make and keep a record of such notification 
as a part of its record of shipment. The carrier's responsibility for 
the shipment under the terms and conditions of the bill of lading and 
its responsibility for the charges for redelivery, handling and storage 
thereof shall continue until final delivery: Provided, that the 
carrier's responsibility under the bill of lading shall not extend 
beyond the agreed delivery date or the first day of the period within 
which delivery was to have been accomplished as specified in the bill of 
lading.

[46 FR 16220, Mar. 11, 1981; 46 FR 22594, Apr. 20, 1981, as amended at 
62 FR 49941, Sept. 24, 1997]



Sec. 375.9  Notification of charges.

    (a) Whenever an individual shipper of a shipment being transported 
on a collect on delivery basis specifically requests notification of the 
actual weight or volume and charges on a shipment, and supplies the 
carrier with an address or telephone number at which the communication 
will be received, the carrier shall comply with such request upon 
determining the actual weight and charges. Such notification shall be 
made by telephone, telegram, or in person.
    (b) Whenever a shipper requests notification of the weight or volume 
and charges on a shipment as provided in paragraph (a), the notification 
must be received by the shipper, at least one full 24-hour day, 
excluding Saturdays, Sundays and legal holidays, prior to any tender of 
the shipment for delivery. The 24-hour notification requirement shall 
not apply on a shipment to be backweighed or on a shipment which, with 
the agreement of the shipper, is to be picked up and delivered within a 
time period encompassing two consecutive week days, or on a shipment on 
which the charges have been estimated and the maximum amount required to 
be paid at time of delivery is 110 percent of the estimated charges.



Sec. 375.10  Signed receipt for shipment-release prohibited.

    A shipping document to be signed by the consignee at time of 
delivery shall

[[Page 718]]

not contain any language which purports to release or discharge the 
carrier or its agents from liability, but may contain a statement that 
the property has been received in apparent good condition except as 
noted on the shipping documents.



Sec. 375.11  Selling of insurance to shippers.

    (a) When a shipment is released for transportation at a value not 
exceeding 60 cents per pound per article, and the shipper does not 
declare a valuation of $1.25 or more per pound and pay or agree to pay 
the carrier for assuming liability for the shipment equal to the 
declared value, any common carrier of household goods as defined in 
Sec. 375.1(b)(1), or any employee, agent, or representative thereof, may 
sell, or offer to sell or procure for any shipper, any kind of 
insurance, under any type of policy, covering loss or damage in excess 
of the specified carrier liability to a shipment or shipments of 
household goods to be transported in interstate or foreign commerce by 
such carrier; Provided, that the shipper is issued a policy or other 
appropriate evidence of the insurance purchased, and a copy thereof be 
furnished to the shipper at the time the insurance is sold or procured. 
Carrier issued policies shall be written in plain English and shall 
clearly specify the nature and extent of coverage. Failure to issue a 
policy or other appropriate evidence of insurance purchased shall 
subject the carrier to full liability for any claims to recover for loss 
or damage attributed to the carrier.
    (b) Any carrier offering or selling or procuring insurance as 
provided in paragraph (a) of this section shall provide in its tariff 
for the provision of such service. The tariff shall also provide for the 
base transportation charge to include assumption by the carrier for full 
liability for the value of the shipment in the event a policy or other 
appropriate evidence of the insurance purchased by the shipper is not 
issued to the shipper at the time of purchase.

[46 FR 16218, Mar. 11, 1981. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 49941, Sept. 24, 1997]



Sec. 375.12  Liability of carriers.

    (a) Liability restricted. Except as provided in Sec. 375.11(a), 
common carriers by motor vehicle of household goods as defined in 
Sec. 375.1(b)(1) shall not assume any liability in excess of that for 
which they are legally liable under their lawful bills of lading and 
published tariffs.
    (b) Limitations of liability. A common carrier by motor vehicle of 
household goods shall be liable for loss of or damage to any articles 
caused by it while being transported or while being held for storage-in-
transit, including incidental pickup or delivery, and including 
liability for loss or damage to any article or appliance resulting from 
the servicing of such article or appliance by a third person engaged by 
the carrier to perform such service, to the extent provided in the 
outstanding released rates order; except that the carrier may exempt its 
liability in the following instances:
    (1) No liability need be assumed for perishable articles included in 
the shipment without the knowledge of the carrier; and a carrier 
accepting for shipment perishable articles may impose reasonable 
conditions necessary to insure the safe transportation of such 
commodities.
    (2) When a shipment is released to a value greater than sixty cents 
(60 cents) per pound, per article, liability for loss or damage may be 
limited to $100 per pound, per article (based upon the actual article 
weight), for any article included in the shipment that exceeds $100 per 
pound, per article in value, unless the shipper specifically notifies 
the carrier in writing that an identified article or articles with a 
value greater than $100 per pound will be included in the shipment. In 
such case, the shipper will be entitled to full recovery up to the 
declared value of the article or articles, not to exceed the declared 
value of the entire shipment.
    (c) Storage-in-transit. A common carrier by motor vehicle of 
household goods holding goods for storage-in-transit (S.I.T.) shall, no 
less than 10 days prior to the expiration of either the specified period 
of time during which the goods are to be held in such storage or the 
maximum period of time provided in the carrier's tariff for storage-in-
transit, notify the shipper in

[[Page 719]]

writing (1) of the date of conversion to permanent storage, (2) of the 
existence of a nine-month period subsequent to the date of conversion to 
permanent storage during which shipper may file claims against the 
carrier for loss and/or damage which occurred to the goods in transit or 
during the S.I.T. period, and, (3) of the fact that on the date of 
conversion, the liability of the carrier shall terminate and the 
property shall be subject to the rules, regulations, and charges of the 
warehouseman. Notification shall be by certified mail, return receipt 
requested. A common carrier by motor vehicle of household goods holding 
goods for storage-in-transit for a period of time less than 10 days 
shall, no less than one day prior to the expiration of the specified 
time during which the goods are to be held in such storage, give 
notification to the shipper of the information specified in paragraph 
(d) (1), (2), and (3) and maintain a record thereof as part of its 
record of the shipment. Failure or refusal of a carrier to notify the 
shipper in accordance with the foregoing shall automatically effect a 
continuance of carrier liability pursuant to the applicable tariff 
provisions with respect to S.I.T., until the end of the day following 
the date upon which notice is given.

[46 FR 16218, Mar. 11, 1981, as amended at 55 FR 18729, May 9, 1990; 55 
FR 30235, July 25, 1990; 62 FR 49941, Sept. 24, 1997]



Sec. 375.13  Complaint and inquiry handling.

    (a) Motor common carriers engaged in the transportation of household 
goods as defined in Sec. 375.1(a) shall establish and maintain a 
procedure for responding to complaints and inquiries from shippers for 
which such transportation is provided. The procedure shall include a 
means whereby shippers may communicate with the principal office of the 
carrier by telephone.
    (b) The carrier shall retain and make part of the file relating to a 
shipment a written record of all complaints and inquiries received from 
a shipper by any means of communication.

[46 FR 16218, Mar. 11, 1981. Redesignated at 61 FR 54707, Oct. 21, 1996; 
62 FR 49941, Sept. 24, 1997]



Sec. 375.14  Agency agreements.

    (a) Household Goods Agents are defined as follows:
    (1) Prime agents are defined as all agents who are permitted or 
required under the terms of any agreement or arrangement with a 
principal carrier to provide any transportation service for or on behalf 
of the principal carrier, including the selling of or arranging for any 
transportation service, and who perform such services on other than an 
emergency or temporary basis.
    (2) Military agents are defined as all agents who are permitted or 
required under the terms of any agreement or arrangement with a 
principal carrier to provide origin and/or destination services only on 
shipments transported on Government bills of lading issued by the 
Department of Defense, and who perform such services on other than an 
emergency or temporary basis.
    (3) Temporary agents are defined as all agents who are permitted or 
required under the terms of any agreement or arrangement with a 
principal carrier to provide origin and/or destination services on 
behalf of the principal carrier, excluding the selling of or arranging 
for any transportation service, and who perform such services on an 
emergency or temporary basis.
    (b) Agreements between principal carriers and their prime or 
military agents must be reduced to writing and signed by the principal 
and the retained agent, and copies of any such agreements must be in the 
files of the principal carrier for a period of not less than 24 months 
following the date of termination of each agreement.

[46 FR 16222, Mar. 11, 1981; 46 FR 22594, Apr. 20, 1981]



Sec. 375.15  Collection of freight charges on household goods shipments involving loss or destruction in transit.

    (a) No motor common carrier of household goods in interstate or 
foreign commerce shall collect, or shall require a shipper thereof to 
pay, any published freight charges (including any charges for 
accessorial or terminal services) when that shipment is totally lost or 
destroyed in transit. The provisions of this subsection shall apply only 
to the transportation of household

[[Page 720]]

goods as defined in Sec. 375.1(b)(1) of these rules. Notwithstanding any 
other provisions of this subsection, a carrier shall collect, and the 
shipper shall be required to pay, any specific valuation charge that may 
be due. This subsection shall not be applicable to the extent that any 
such loss or destruction is due to the act or omission of the shipper.
    (b) In the event that any portion, but less than all, of a shipment 
of household goods is lost or destroyed in transit, a motor common 
carrier of household goods in interstate or foreign commerce shall, at 
the time it disposes of claims for loss, damage, or injury to the 
articles in the shipment as provided in part 370 of this chapter, refund 
that portion of its published freight charges (including any charges for 
accessorial or terminal services) corresponding to that portion of the 
shipment which is lost or destroyed in transit. To calculate the charges 
applicable to the shipment as delivered, the carrier shall multiply the 
percentage corresponding to the portion of the shipment delivered by the 
total charges (including accessorial and terminal charges) applicable to 
the shipment tendered by the shipper. If the charges computed in the 
manner set forth above exceed the charges otherwise applicable to the 
shipment as delivered, the lesser of those charges shall apply. The 
provisions of this paragraph shall apply only to the transportation of 
household goods as defined in Sec. 375.1(b)(1) of these rules. 
Notwithstanding any other provisions of this paragraph, a carrier shall 
collect, and the shipper shall be required to pay, that proportion of 
any charges for accessorial or terminal services rendered which 
corresponds to the proportion of the shipment not lost or destroyed in 
transit and any specific valuation charge that may be due. The 
provisions of this paragraph shall not be applicable to the extent that 
any such loss or destruction is due to the act or omission of the 
shipper. Carriers shall determine, at their own expense, the proportion 
of the shipment not lost or destroyed in transit.
    (c) The rights provided by this section are in addition to, and not 
in lieu of, any other rights which the shipper may have with respect to 
a shipment of household goods which is lost or destroyed, or partially 
lost or destroyed, in transit, whether or not that shipper has exercised 
the rights provided in paragraphs (a) and (b) of this section.

[46 FR 16218, Mar. 11, 1981, as amended at 54 FR 36981, Sept. 6, 1989; 
62 FR 49941, Sept. 24, 1997]



Sec. 375.16  Collection of freight charges on shipments transported on more than one vehicle.

    (a) Whenever a collect on delivery shipment of household goods, as 
defined in Sec. 375.1(b)(1), is transported on more than one vehicle the 
carrier delivering such split or divided shipment shall observe the 
requirements of paragraphs (a)(1), (2) or (3) of this section in the 
collection of the charges.
    (1) At the option of the carrier, the collection of the charges 
attributable to the transportation of the portion of the shipment 
transported on each vehicle may be deferred until all portions of the 
shipment are delivered; or,
    (2) Providing that the charges for the entire shipment have been 
determined, the carrier may collect at the time of delivery of any 
portion of the shipment that percentage of the charges represented by 
the portion of the shipment tendered for delivery; or,
    (3) In the event that the charges due the carrier for the 
transportation of the entire shipment cannot reasonably be determined at 
the time any portion of the shipment is tendered for delivery, the 
carrier shall determine and collect the charges for the portion of the 
shipment being delivered. The total charges assessed by the carrier for 
the transportation of the separate portions of the shipment shall not 
exceed the charges due for the entire shipment.
    (b) In the event of the loss or destruction of any part of a 
shipment being transported on more than one vehicle, the collection of 
charges as provided in paragraph (a) of this section shall also be in 
conformity with the requirements of Sec. 375.15.

[46 FR 16218, Mar. 11, 1981. Redesignated at 61 FR 54707, Oct. 21, 1996; 
62 FR 49941, Sept. 24, 1997]

[[Page 721]]



Sec. 375.17  Advertising by motor common carriers of household goods.

    (a) Every motor common carrier engaged in the transportation of 
household goods in interstate or foreign commerce, including any 
carriers providing any accessorial service incidental to or part of such 
interstate or foreign transportation, shall include, and shall require 
each of its agents to include, in every advertisement as defined in 
Sec. 375.1(b)(3), the name or trade name of the motor carrier under 
whose operating authority the advertised service will originate, and the 
certificate or docket number assigned to such operating authority by the 
Interstate Commerce Commission.
    (b) Such certificate or docket number shall be in the following form 
in every advertisement: ``I.C.C. No.______'' but shall not include any 
sub numbers which may have been assigned.
    (c) No motor common carrier engaged in the transportation of 
household goods, as defined in Sec. 375.1(b)(1), or any agent or other 
representative of such a carrier, shall publish or cause to be published 
or use any advertisement as defined in Sec. 375.1(b)(3), which is false, 
misleading or deceptive.

[46 FR 16218, Mar. 11, 1981. Redesignated at 61 FR 54707, Oct. 21, 1996; 
62 FR 49941, Sept. 24, 1997]



Sec. 375.18  Preparation and filing of annual performance report.

    (a) Filing requirement. Each motor common carrier for household 
goods as defined in Sec. 375.1(b) that delivers interstate shipments to 
individual C.O.D. shippers, during any calendar year shall, on or before 
March 31 of the following year, file with the Office of Compliance and 
Enforcement, Interstate Commerce Commission, Washington, DC 20423-0001, 
a report of the service performed during the report year. The report 
shall be submitted on Form OCE-101, and its accuracy must be verified by 
an official of the carrier. All carriers must complete part A of Form 
OCE-101, and those carriers transporting 100 or more shipments also must 
complete part B.
    (b) Prescribed Annual Performance Report Form OCE-101.

                     Interstate Commerce Commission

                  Office of Compliance and Enforcement

       Annual Performance Report for Year Ended December 31, 19__

Carrier's Name__________________________________________________________
Carrier's Address_______________________________________________________
ICC Number______________________________________________________________

                                 Part A

    During the year, the total number of household goods shipments (1st 
proviso) delivered for each type of shipper was:

1. C.O.D. shipments delivered under your common carrier       __________
 authority (excluding all Government, Freight Forwarder,
 and Interline shipments)..................................
2. All other 1st proviso shipments (including all             __________
 Government, Freight Forwarder, and Interline shipments)...
3. Total of Lines 1 and 2 (NOTE: Total must agree with        __________
 total 1st proviso shipments reported in your ICC Annual
 Report, Schedule 600, Line 7, Column d, if you are
 required to file that report).............................
 

                                 Part B

    Complete part B only if the C.O.D. delivered shipments reported in 
part A, Line 1, equals or exceeds 100 shipments. The questions and 
answers below deal only with the shipments reported in part A, Line 1.

4. Number of C.O.D. shipments where the order for service     __________
 was based upon a written binding estimate (included are so-
 called hybrid estimates such as Guaranteed Price and Price
 Protection)...............................................
5. Number of C.O.D. shipments where the charges were based    __________
 on a written non-binding estimate.........................
6. Number of C.O.D. shipments where the charges were based    __________
 on other than a written binding or non-binding estimate...
7. Total of Lines 4, 5, and 6 (NOTE: Total should equal the   __________
 shipment count reported in part A, Line 1)................
8. Percentage of shipments delivered where the final          __________
 charges exceeded the initial written binding estimate.....
9. Percentage of shipments delivered where the final          __________
 charges exceeded the initial written non-binding estimate
 by 10% or more............................................

[[Page 722]]

 
10. Percentage of shipments that were picked up after the     __________
 last date for pickup listed on the order for service or
 bill of lading............................................
11. Percentage of shipments that were delivered after the     __________
 last date of delivery specified on the order for service
 or bill of lading.........................................
12. Percentage of shipments delivered where there was a       __________
 claim filed (in excess of $200) for property damage or
 loss......................................................
13. Percentage of shipments delivered where there was a       __________
 claim filed (in excess of $200) for damages resulting from
 late pickup or delivery...................................
14. Average number of days required to settle a claim (in     __________
 excess of $200)...........................................
15. Percentage of claims (in excess of $200) that were        __________
 resolved through the use of an arbitration program........
16. Percentage of claims (in excess of $200) that were        __________
 resolved after the carrier received a legal notice of a
 lawsuit filed by the shipper..............................
 

        Carrier's Oath (Must be Completed by a Carrier Official)

    I, (name and title of company official), verify under penalty of 
perjury, under the laws of the United States of America, that all 
information supplied on this form or relative to the data contained in 
the form is, to the best of my knowledge and belief, true, correct and 
complete, based on all the information required to be included therein, 
of which I have any knowledge, and these representations are made in 
good faith. Further, I certify that I am qualified and authorized to 
certify the accuracy of the data. I know that willful misstatements or 
omission of material facts constitutes Federal crime violations 
punishable under 18 U.S.C. 1001 by imprisonment up to 5 years and fines 
up to $10,000 for each offense.

_______________________________________________________________________

Signature

_______________________________________________________________________

Title

_______________________________________________________________________

Date

    (c) Instructions for Preparation of Annual Performance Report, Form 
OCE-101.

                      Instructions for Preparation

                          General Instructions

    1. Data for completion of Form OCE-101 may be obtained by random 
sampling providing that in every instance, the universe sampled is all 
shipments delivered under your common carrier authority (excluding 
Government, Freight forwarder, and Interline traffic) during the report 
year or all claims arising out of the transportation of those shipments 
that were received or settled, as appropriate, during the report year.
    2. When random sampling is used, the minimum sample size in every 
instance shall be 400 shipments or claims, as appropriate, in replicates 
of 100 shipments or claims each. All samples must conform to standard 
deviation with a 95% confidence level.
    3. Carriers submitting Form OCE-101 shall retain and make available 
for review by an authorized Commission employee all working papers, 
notes, and other files relating to the preparation of each report for a 
period of not less than 24 months following the date of filing such a 
report.
    4. The data in Form OCE-101 must be verified by a sworn statement 
signed by an official of the company.

                          Specific Instructions

                                 Part A

Line 1: Only report those 1st proviso C.O.D. shipments moved under your 
common carrier authority after excluding all Government, Freight 
forwarder and Interline traffic.
Line 2: Report all other 1st proviso shipments, including those moving 
under contract carriage provisions and all Government, Freight forwarder 
and Interline traffic.
Line 3: Sum lines 1 and 2. The total should agree with total 1st proviso 
shipments reported in your ICC Annual Report, Schedule 600, Line 7, 
Column d, if you are required to file that report.

                                 Part B

    It is not necessary to complete Part B if the total of C.O.D. 
shipments reported on Part A, Line 1, did not equal or exceed 100 
shipments. If completion of Part B is not required, sign the 
Certification and return the form to the Interstate Commerce Commission.

Line 4: Report only those C.O.D. shipments where the order for service 
was signed after the receipt of a written binding estimate. Include in 
this computation all so-called hybrid estimates (e.g., Guaranteed Price 
and Price Protection options).
Line 5: Report the total number of C.O.D. shipments where the order for 
service was signed after the receipt of a written non-

[[Page 723]]

binding estimate. In the case of non-binding estimates, the actual 
charges are determined after the shipment has been picked up and 
weighed.
Line 6: Report only those C.O.D. shipments where there was no 
requirement for the preparation of a binding or non-binding written 
estimate by the carrier. As with non-binding estimates, the charges here 
are determined after the shipment has been picked up and weighed.
Line 7: Sum of Lines 4, 5, and 6. The number of shipments reported on 
Line 7 should be the same as those reported in Part A, Line 1.

                 Computation of Percentages or Averages

    You must determine the number of shipments falling into each of the 
categories described in Lines 8 and 9, respectively, and divide these 
shipments by the number of shipments reported on Lines 4 and 5, 
respectively.
    You must determine the number of shipments falling into each of the 
categories described in Lines 10 through 16 and divide these shipments 
by the number of shipments reported on Line 7. (Exception: Line 13 is an 
average, not a percentage.)

Line 8: Compute the percentage of those shipments delivered where the 
final charges exceeded the written estimate initially provided to the 
shipper because of changes agreed to by the carrier and shipper in 
commodities transported and services provided.
Line 9: Compute the percentage of those shipments delivered under a non-
binding written estimate where the final charges exceeded the written 
estimate provided to the shipper by 10% or more. The 10% figure is used 
because every C.O.D. shipper is required to have available 110% of the 
estimate at the time of delivery.
Line 10: Compute the percentage of those shipments where the actual 
pickup date occurred after the last date for pickup promised on the 
order for service or bill of lading.
Line 11: Compute the percentage of those shipments where the actual 
delivery date occurred after the last date for delivery promised on the 
order for service or bill of lading.
Line 12: Compute the percentage of those shipments where there was a 
claim filed within 60 days of the actual date of delivery to the 
residence. Only count those claims where the dollar value of the amount 
claimed by the shipper exceeded $200 and resulted from property damaged 
or lost. This excludes claims for late pickups and deliveries which are 
reported on line 13.
Line 13: Compute the percentage of those shipments where there was a 
claim filed within 60 days of the actual date of delivery to the 
residence. Only count those claims where the dollar value of the amount 
claimed by the shipper exceeded $200 and resulted from a late pickup or 
delivery. Late pickups and deliveries are defined in Instructions 10 and 
11.
Line 14: Enter the average number of days required to pay, decline, or 
make a firm compromise offer of settlement of all claims exceeding $200 
during the report year. For the purpose of this report, a claim shall be 
considered to be a ``claim filed'' if it meets the criteria set forth in 
Lines 11 and 12, and shall be considered as paid, declined, or 
compromised on the date on which a written offer is mailed or delivered 
in person to a claimant.
Line 15: Compute the percentage of the claims exceeding $200 arising out 
of the transportation of shipments which were resolved during the report 
year through the use of a dispute resolution or arbitration procedure 
maintained or participated in by the carrier.
Line 16: Compute the percentage of the claims exceeding $200 arising out 
of the transportation of shipments which were resolved during the report 
year as a result of legal notice of suit to recover being filed by the 
shipper.

[59 FR 2305, Jan. 14, 1994, as amended at 59 FR 34392, July 5, 1994; 62 
FR 49941, Sept. 24, 1997]



Sec. 375.19  Use of charge card plans.

    Motor common carriers of household goods, as defined in 49 CFR 
375.1(b)(1), may provide in their tariffs for the acceptance of charge 
cards for the payment of freight charges whenever shipments are 
transported under agreements and tariffs requiring payment by cash, 
certified check or money order. Payment by charge card shall be 
considered the same as payment by cash, certified check or money order. 
Any tariff rule or item permitting the acceptance of charge cards shall 
identify the charge card plans participated in by the carrier.

[46 FR 16218, Mar. 11, 1981. Redesignated at 61 FR 54707, Oct. 21, 1996; 
62 FR 49941, Sept. 24, 1997]

[[Page 724]]



PART 376--LEASE AND INTERCHANGE OF VEHICLES--Table of Contents




            Subpart A--General Applicability and Definitions

Sec.
376.1  Applicability.
376.2  Definitions.

                     Subpart B--Leasing Regulations

376.11  General leasing requirements.
376.12  Written lease requirements.

            Subpart C--Exemptions for the Leasing Regulations

376.21  General exemptions.
376.22  Exemption for private carrier leasing and leasing between 
          authorized carriers.
376.26  Exemption for leases between authorized carriers and their 
          agents.

                   Subpart D--Interchange Regulations

376.31  Interchange of equipment.

                Subpart E--Private Carriers and Shippers

376.42  Lease of equipment by regulated carriers.

    Authority: 49 U.S.C. 13301 and 14102; 49 CFR 1.48.

    Source: 44 FR 4681, Jan. 23, 1979, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.



            Subpart A--General Applicability and Definitions



Sec. 376.1  Applicability.

    The regulations in this part apply to the following actions by motor 
carriers registered with the Secretary to transport property:
    (a) The leasing of equipment with which to perform transportation 
regulated by the Secretary.
    (b) The leasing of equipment to motor private carrier or shippers.
    (c) The interchange of equipment between motor common carriers in 
the performance of transportation regulated by the Secretary.

[44 FR 4681, Jan. 23, 1979. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



Sec. 376.2  Definitions.

    (a) Authorized carrier. A person or persons authorized to engage in 
the transportation of property as a motor carrier under the provisions 
of 49 U.S.C. 13901 and 13902.
    (b) Equipment. A motor vehicle, straight truck, tractor, 
semitrailer, full trailer, any combination of these and any other type 
of equipment used by authorized carriers in the transportation of 
property for hire.
    (c) Interchange. The receipt of equipment by one motor common 
carrier of property from another such carrier, at a point which both 
carriers are authorized to serve, with which to continue a through 
movement.
    (d) Owner. A person (1) to whom title to equipment has been issued, 
or (2) who, without title, has the right to exclusive use of equipment, 
or (3) who has lawful possession of equipment registered and licensed in 
any State in the name of that person.
    (e) Lease. A contract or arrangement in which the owner grants the 
use of equipment, with or without driver, for a specified period to an 
authorized carrier for use in the regulated transportation of property, 
in exchange for compensation.
    (f) Lessor. In a lease, the party granting the use of equipment, 
with or without driver, to another.
    (g) Lessee. In a lease, the party acquiring the use of equipment 
with or without driver, from another.
    (h) Sublease. A written contract in which the lessee grants the use 
of leased equipment, with or without driver, to another.
    (i) Addendum. A supplement to an existing lease which is not 
effective until signed by the lessor and lessee.
    (j) Private carrier. A person, other than a motor carrier, 
transporting property by motor vehicle in interstate or foreign commerce 
when (1) the person is the owner, lessee, or bailee of the property 
being transported; and (2) the property is being transported for sale, 
lease, rent, or bailment, or to further a commercial enterprise.
    (k) Shipper. A person who sends or receives property which is 
transported in interstate or foreign commerce.
    (l) Escrow fund. Money deposited by the lessor with either a third 
party or the lessee to guarantee performance, to

[[Page 725]]

repay advances, to cover repair expenses, to handle claims, to handle 
license and State permit costs, and for any other purposes mutually 
agreed upon by the lessor and lessee.
    (m) Detention. The holding by a consignor or consignee of a trailer, 
with or without power unit and driver, beyond the free time allocated 
for the shipment, under circumstances not attributable to the 
performance of the carrier.

[44 FR 4681, Jan. 23, 1979, as amended at 49 FR 47850, Dec. 7, 1984; 62 
FR 15424, Apr. 1, 1997]



                     Subpart B--Leasing Regulations



Sec. 376.11  General leasing requirements.

    Other than through the interchange of equipment as set forth in 
Sec. 376.31, and under the exemptions set forth in subpart C of these 
regulations, the authorized carrier may perform authorized 
transportation in equipment it does not own only under the following 
conditions:
    (a) Lease. There shall be a written lease granting the use of the 
equipment and meeting the requirements contained in Sec. 376.12.
    (b) Receipts for equipment. Receipts, specifically identifying the 
equipment to be leased and stating the date and time of day possession 
is transferred, shall be given as follows:
    (1) When possession of the equipment is taken by the authorized 
carrier, it shall give the owner of the equipment a receipt. The receipt 
identified in this section may be transmitted by mail, telegraph, or 
other similar means of communication.
    (2) When possession of the equipment by the authorized carrier ends, 
a receipt shall be given in accordance with the terms of the lease 
agreement if the lease agreement requires a receipt.
    (3) Authorized representatives of the carrier and the owner may take 
possession of leased equipment and give and receive the receipts 
required under this subsection.
    (c) Identification of equipment. The authorized carrier acquiring 
the use of equipment under this section shall identify the equipment as 
being in its service as follows:
    (1) During the period of the lease, the carrier shall identify the 
equipment in accordance with the FHWA's requirements in 49 CFR part 390 
of this chapter (Identification of Vehicles).
    (2) Unless a copy of the lease is carried on the equipment, the 
authorized carrier shall keep a statement with the equipment during the 
period of the lease certifying that the equipment is being operated by 
it. The statement shall also specify the name of the owner, the date and 
length of the lease, any restrictions in the lease relative to the 
commodities to be transported, and the address at which the original 
lease is kept by the authorized carrier. This statement shall be 
prepared by the authorized carrier or its authorized representative.
    (d) Records of equipment. The authorized carrier using equipment 
leased under this section shall keep records of the equipment as 
follows:
    (1) The authorized carrier shall prepare and keep documents covering 
each trip for which the equipment is used in its service. These 
documents shall contain the name and address of the owner of the 
equipment, the point of origin, the time and date of departure, and the 
point of final destination. Also, the authorized carrier shall carry 
papers with the leased equipment during its operation containing this 
information and identifying the lading and clearly indicating that the 
transportation is under its responsibility. These papers shall be 
preserved by the authorized carrier as part of its transportation 
records. Leases which contain the information required by the provisions 
in this paragraph may be used and retained instead of such documents or 
papers. As to lease agreements negotiated under a master lease, this 
provision is complied with by having a copy of a master lease in the 
unit of equipment in question and where the balance f documentation 
called for by this paragraph is included in the freight documents 
prepared for the specific movement.
    (2) [Reserved]

[44 FR 4681, Jan. 23, 1979, as amended at 49 FR 47269, Dec. 3, 1984; 49 
FR 47850, Dec. 7, 1984; 50 FR 24649, June 12, 1985; 51 FR 37406, Oct. 
22, 1986; 62 FR 15424, Apr. 1, 1997]

[[Page 726]]



Sec. 376.12  Written lease requirements.

    Except as provided in the exemptions set forth in subpart C of this 
part, the written lease required under Sec. 376.11(a) shall contain the 
following provisions. The required lease provisions shall be adhered to 
and performed by the authorized carrier.
    (a) Parties. The lease shall be made between the authorized carrier 
and the owner of the equipment. The lease shall be signed by these 
parties or by their authorized representatives.
    (b) Duration to be specific. The lease shall specify the time and 
date or the circumstances on which the lease begins and ends. These 
times or circumstances shall coincide with the times for the giving of 
receipts required by Sec. 376.11(b).
    (c) Exclusive possession and responsibilities. (1) The lease shall 
provide that the authorized carrier lessee shall have exclusive 
possession, control, and use of the equipment for the duration of the 
lease. The lease shall further provide that the authorized carrier 
lessee shall assume complete responsibility for the operation of the 
equipment for the duration of the lease.
    (2) Provision may be made in the lease for considering the 
authorized carrier lessee as the owner of the equipment for the purpose 
of subleasing it under these regulations to other authorized carriers 
during the lease.
    (3) When an authorized carrier of household goods leases equipment 
for the transportation of household goods, as defined by the Secretary, 
the parties may provide in the lease that the provisions required by 
paragraph (c)(1) of this section apply only during the time the 
equipment is operated by or for the authorized carrier lessee.
    (4) Nothing in the provisions required by paragraph (c)(1) of this 
section is intended to affect whether the lessor or driver provided by 
the lessor is an independent contractor or an employee of the authorized 
carrier lessee. An independent contractor relationship may exist when a 
carrier lessee complies with 49 U.S.C. 14102 and attendant 
administrative requirements.
    (d) Compensation to be specified. The amount to be paid by the 
authorized carrier for equipment and driver's services shall be clearly 
stated on the face of the lease or in an addendum which is attached to 
the lease. Such lease or addendum shall be delivered to the lessor prior 
to the commencement of any trip in the service of the authorized 
carrier. An authorized representative of the lessor may accept these 
documents. The amount to be paid may be expressed as a percentage of 
gross revenue, a flat rate per mile, a variable rate depending on the 
direction traveled or the type of commodity transported, or by any other 
method of compensation mutually agreed upon by the parties to the lease. 
The compensation stated on the lease or in the attached addendum may 
apply to equipment and driver's services either separately or as a 
combined amount.
    (e) Items specified in lease. The lease shall clearly specify which 
party is responsible for removing identification devices from the 
equipment upon the termination of the lease and when and how these 
devices, other than those painted directly on the equipment, will be 
returned to the carrier. The lease shall clearly specify the manner in 
which a receipt will be given to the authorized carrier by the equipment 
owner when the latter retakes possession of the equipment upon 
termination of the lease agreement, if a receipt is required at all by 
the lease. The lease shall clearly specify the responsibility of each 
party with respect to the cost of fuel, fuel taxes, empty mileage, 
permits of all types, tolls, ferries, detention and accessorial 
services, base plates and licenses, and any unused portions of such 
items. The lease shall clearly specify who is responsible for loading 
and unloading the property onto and from the motor vehicle, and the 
compensation, if any, to be paid for this service. Except when the 
violation results from the acts or omissions of the lessor, the 
authorized carrier lessee shall assume the risks and costs of fines for 
overweight and oversize trailers when the trailers are pre-loaded, 
sealed, or the load is containerized, or when the trailer or lading is 
otherwise outside of the lessor's control, and for improperly permitted 
overdimension and overweight loads and shall reimburse the lessor for 
any fines paid by the lessor. If the authorized carrier is

[[Page 727]]

authorized to receive a refund or a credit for base plates purchased by 
the lessor from, and issued in the name of, the authorized carrier, or 
if the base plates are authorized to be sold by the authorized carrier 
to another lessor the authorized carrier shall refund to the initial 
lessor on whose behalf the base plate was first obtained a prorated 
share of the amount received.
    (f) Payment period. The lease shall specify that payment to the 
lessor shall be made within 15 days after submission of the necessary 
delivery documents and other paperwork concerning a trip in the service 
of the authorized carrier. The paperwork required before the lessor can 
receive payment is limited to log books required by the Department of 
Transportation and those documents necessary for the authorized carrier 
to secure payment from the shipper. In addition, the lease may provide 
that, upon termination of the lease agreement, as a condition precedent 
to payment, the lessor shall remove all identification devices of the 
authorized carrier and, except in the case of identification painted 
directly on equipment, return them to the carrier. If the identification 
device has been lost or stolen, a letter certifying its removal will 
satisfy this requirement. Until this requirement is complied with, the 
carrier may withhold final payment. The authorized carrier may require 
the submission of additional documents by the lessor but not as a 
prerequisite to payment. Payment to the lessor shall not be made 
contingent upon submission of a bill of lading to which no exceptions 
have been taken. The authorized carrier shall not set time limits for 
the submission by the lessor of required delivery documents and other 
paperwork.
    (g) Copies of freight bill or other form of freight documentation. 
When a lessor's revenue is based on a percentage of the gross revenue 
for a shipment, the lease must specify that the authorized carrier will 
give the lessor, before or at the time of settlement, a copy of the 
rated freight bill or a computer-generated document containing the same 
information, or, in the case of contract carriers, any other form of 
documentation actually used for a shipment containing the same 
information that would appear on a rated freight bill. When a computer-
generated document is provided, the lease will permit lessor to view, 
during normal business hours, a copy of any actual document underlying 
the computer-generated document. Regardless of the method of 
compensation, the lease must permit lessor to examine copies of the 
carrier's tariff or, in the case of contract carriers, other documents 
from which rates and charges are computed, provided that where rates and 
charges are computed from a contract of a contract carrier, only those 
portions of the contract containing the same information that would 
appear on a rated freight bill need be disclosed. The authorized carrier 
may delete the names of shippers and consignees shown on the freight 
bill or other form of documentation.
    (h) Charge-back items. The lease shall clearly specify all items 
that may be initially paid for by the authorized carrier, but ultimately 
deducted from the lessor's compensation at the time of payment or 
settlement, together with a recitation as to how the amount of each item 
is to be computed. The lessor shall be afforded copies of those 
documents which are necessary to determine the validity of the charge.
    (i) Products, equipment, or services from authorized carrier. The 
lease shall specify that the lessor is not required to purchase or rent 
any products, equipment, or services from the authorized carrier as a 
condition of entering into the lease arrangement. The lease shall 
specify the terms of any agreement in which the lessor is a party to an 
equipment purchase or rental contract which gives the authorized carrier 
the right to make deductions from the lessor's compensation for purchase 
or rental payments.
    (j) Insurance. (1) The lease shall clearly specify the legal 
obligation of the authorized carrier to maintain insurance coverage for 
the protection of the public pursuant to FHWA regulations under 49 
U.S.C. 13906. The lease shall further specify who is responsible for 
providing any other insurance coverage for the operation of the leased 
equipment, such as bobtail insurance. If the authorized carrier will 
make a charge

[[Page 728]]

back to the lessor for any of this insurance, the lease shall specify 
the amount which will be charged-back to the lessor.
    (2) If the lessor purchases any insurance coverage for the operation 
of the leased equipment from or through the authorized carrier, the 
lease shall specify that the authorized carrier will provide the lessor 
with a copy of each policy upon the request of the lessor. Also, where 
the lessor purchases such insurance in this manner, the lease shall 
specify that the authorized carrier will provide the lessor with a 
certificate of insurance for each such policy. Each certificate of 
insurance shall include the name of the insurer, the policy number, the 
effective dates of the policy, the amounts and types of coverage, the 
cost to the lessor for each type of coverage, and the deductible amount 
for each type of coverage for which the lessor may be liable.
    (3) The lease shall clearly specify the conditions under which 
deductions for cargo or property damage may be made from the lessor's 
settlements. The lease shall further specify that the authorized carrier 
must provide the lessor with a written explanation and itemization of 
any deductions for cargo or property damage made from any compensation 
of money owed to the lessor. The written explanation and itemization 
must be delivered to the lessor before any deductions are made.
    (k) Escrow funds. If escrow funds are required, the lease shall 
specify:
    (1) The amount of any escrow fund or performance bond required to be 
paid by the lessor to the authorized carrier or to a third party.
    (2) The specific items to which the escrow fund can be applied.
    (3) That while the escrow fund is under the control of the 
authorized carrier, the authorized carrier shall provide an accounting 
to the lessor of any transactions involving such fund. The carrier shall 
perform this accounting in one of the following ways:
    (i) By clearly indicating in individual settlement sheets the amount 
and description of any deduction or addition made to the escrow fund; or
    (ii) By providing a separate accounting to the lessor of any 
transactions involving the escrow fund. This separate accounting shall 
be done on a monthly basis.
    (4) The right of the lessor to demand to have an accounting for 
transactions involving the escrow fund at any time.
    (5) That while the escrow fund is under the control of the carrier, 
the carrier shall pay interest on the escrow fund on at least a 
quarterly basis. For purposes of calculating the balance of the escrow 
fund on which interest must be paid, the carrier may deduct a sum equal 
to the average advance made to the individual lessor during the period 
of time for which interest is paid. The interest rate shall be 
established on the date the interest period begins and shall be at least 
equal to the average yield or equivalent coupon issue yield on 91-day, 
13-week Treasury bills as established in the weekly auction by the 
Department of Treasury.
    (6) The conditions the lessor must fulfill in order to have the 
escrow fund returned. At the time of the return of the escrow fund, the 
authorized carrier may deduct monies for those obligations incurred by 
the lessor which have been previously specified in the lease, and shall 
provide a final accounting to the lessor of all such final deductions 
made to the escrow fund. The lease shall further specify that in no 
event shall the escrow fund be returned later than 45 days from the date 
of termination.
    (l) Copies of the lease. An original and two copies of each lease 
shall be signed by the parties. The authorized carrier shall keep the 
original and shall place a copy of the lease on the equipment during the 
period of the lease unless a statement as provided for in 
Sec. 376.11(c)(2) is carried on the equipment instead. The owner of the 
equipment shall keep the other copy of the lease.
    (m) This paragraph applies to owners who are not agents but whose 
equipment is used by an agent of an authorized carrier in providing 
transportation on behalf of that authorized carrier. In this situation, 
the authorized carrier is obligated to ensure that these owners receive 
all the rights and benefits due an owner under the leasing regulations, 
especially those set forth in paragraphs (d)-(k) of this section. This 
is true regardless of whether the lease for the

[[Page 729]]

equipment is directly between the authorized carrier and its agent 
rather than directly between the authorized carrier and each of these 
owners. The lease between an authorized carrier and its agent shall 
specify this obligation.

[44 FR 4681, Jan. 23, 1979, as amended at 45 FR 13092, Feb. 28, 1980; 47 
FR 28398, June 30, 1982; 47 FR 51140, Nov. 12, 1982; 47 FR 54083, Dec. 
1, 1982; 49 FR 47851, Dec. 7, 1984; 51 FR 37406, 37407, Oct. 22, 1986; 
52 FR 2412, Jan. 22, 1987; 57 FR 32905, July 24, 1992; 62 FR 15424, Apr. 
1, 1997]



            Subpart C--Exemptions for the Leasing Regulations



Sec. 376.21  General exemptions.

    Except for Sec. 376.11(c) which requires the identification of 
equipment, the leasing regulations in this part shall not apply to:
    (a) Equipment used in substituted motor-for-rail transportation of 
railroad freight moving between points that are railroad stations and on 
railroad billing.
    (b) Equipment used in transportation performed exclusively within 
any commercial zone as defined by the Secretary.
    (c) Equipment leased without drivers from a person who is 
principally engaged in such a business.
    (d) Any type of trailer not drawn by a power unit leased from the 
same lessor.

[44 FR 4681, Jan. 23, 1979. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997]



Sec. 376.22  Exemption for private carrier leasing and leasing between authorized carriers.

    Regardless of the leasing regulations set forth in this part, an 
authorized carrier may lease equipment to or from another authorized 
carrier, or a private carrier may lease equipment to an authorized 
carrier under the following conditions:
    (a) The identification of equipment requirements in Sec. 376.11(c) 
must be complied with;
    (b) The lessor must own the equipment or hold it under a lease;
    (c) There must be a written agreement between the authorized 
carriers or between the private carrier and authorized carrier, as the 
case may be, concerning the equipment as follows:
    (1) It must be signed by the parties or their authorized 
representatives.
    (2) It must provide that control and responsibility for the 
operation of the equipment shall be that of the lessee from the time 
possession is taken by the lessee and the receipt required under 
Sec. 376.11(b) is given to the lessor until: (i) Possession of the 
equipment is returned to the lessor and the receipt required under 
Sec. 376.11(b) is received by the authorized carrier; or (ii) in the 
event that the agreement is between authorized carriers, possession of 
the equipment is returned to the lessor or given to another authorized 
carrier in an interchange of equipment.
    (3) A copy of the agreement must be carried in the equipment while 
it is in the possession of the lessee.
    (4) Nothing in this section shall prohibit the use, by authorized 
carriers, private carriers, and all other entities conducting lease 
operations pursuant to this section, of a master lease if a copy of that 
master lease is carried in the equipment while it is in the possession 
of the lessee, and if the master lease complies with the provisions of 
this section and receipts are exchanged in accordance with 
Sec. 376.11(b), and if records of the equipment are prepared and 
maintained in accordance with Sec. 376.11(d).
    (d) Authorized and private carriers under common ownership and 
control may lease equipment to each other under this section without 
complying with the requirements of paragraph (a) of this section 
pertaining to identification of equipment, and the requirements of 
paragraphs (c)(2) and (c)(4) of this section pertaining to equipment 
receipts. The leasing of equipment between such carriers will be subject 
to all other requirements of this section.

[49 FR 9570, Mar. 14, 1984, as amended at 49 FR 47269, Dec. 3, 1984; 49 
FR 47851, Dec. 7, 1984; 62 FR 15424, Apr. 1, 1997; 63 FR 40838, July 31, 
1998]



Sec. 376.26  Exemption for leases between authorized carriers and their agents.

    The leasing regulations set forth in Sec. 376.12(e) through (l) do 
not apply to

[[Page 730]]

leases between authorized carriers and their agents.

[47 FR 28398, June 30, 1982, as amended at 62 FR 15424, Apr. 1, 1997]



                   Subpart D--Interchange Regulations



Sec. 376.31  Interchange of equipment.

    Authorized common carriers may interchange equipment under the 
following conditions:
    (a) Interchange agreement. There shall be a written contract, lease, 
or other arrangement providing for the interchange and specifically 
describing the equipment to be interchanged. This written agreement 
shall set forth the specific points of interchange, how the equipment is 
to be used, and the compensation for such use. The interchange agreement 
shall be signed by the parties or by their authorized representatives.
    (b) Operating authority. The carriers participating in the 
interchange shall be registered with the Secretary to provide the 
transportaiton of the commodities at the point where the physical 
exchange occurs.
    (c) Through bills of lading. The traffic transported in interchange 
service must move on through bills of lading issued by the originating 
carrier. The rates charged and the revenues collected must be accounted 
for in the same manner as if there had been no interchange. Charges for 
the use of the interchanged equipment shall be kept separate from 
divisions of the joint rates or the proportions of such rates accruing 
to the carriers by the application of local or proportional rates.
    (d) Identification of equipment. The authorized common carrier 
receiving the equipment shall identify equipment operated by it in 
interchange service as follows:
    (1) The authorized common carrier shall identify power units in 
accordance with the FHWA's requirements in 49 CFR part 390 of this 
chapter (Identification of Vehicles). Before giving up possession of the 
equipment, the carrier shall remove all identification showing it as the 
operating carrier.
    (2) Unless a copy of the interchange agreement is carried on the 
equipment, the authorized common carrier shall carry a statement with 
each vehicle during interchange service certifying that it is operating 
the equipment. The statement shall also identify the equipment by 
company or State registration number and shall show the specific point 
of interchange, the date and time it assumes responsibility for the 
equipment, and the use to be made of the equipment. This statement shall 
be signed by the parties to the interchange agreement or their 
authorized representatives. The requirements of this paragraph shall not 
apply where the equipment to be operated in interchange service consists 
only of trailers or semitrailers.
    (3) Authorized carriers under common ownership and control may 
interchange equipment with each other without complying with the 
requirements of paragraph (d)(1) of this section pertaining to removal 
of identification from equipment.
    (e) Connecting carriers considered as owner--An authorized carrier 
receiving equipment in connection with a through movement shall be 
considered to the owner of the equipment for the purpose of leasing the 
equipment to other authorized carriers in furtherance of the movement to 
destination or the return of the equipment after the movement is 
completed.

[44 FR 4681, Jan. 23, 1979. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997; 63 FR 40838, July 31, 1998]



                Subpart E--Private Carriers and Shippers



Sec. 376.42  Lease of equipment by regulated carriers.

    Authorized carriers may lease equipment and drivers from private 
carriers, for periods of less than 30 days, in the manner set forth in 
Sec. 376.22.

[49 FR 9570, Mar. 14, 1984, as amended at 51 FR 37034, Oct. 17, 1986; 62 
FR 15424, Apr. 1, 1997]



PART 377--PAYMENT OF TRANSPORTATION CHARGES--Table of Contents




                 Subpart A--Handling of C.O.D. Shipments

Sec.
377.101  Applicability.

[[Page 731]]

377.103  Tariff requirements.
377.105  Collection and remittance.

  Subpart B--Extension of Credit to Shippers by Motor Common Carriers, 
      Water Common Carriers, and Household Goods Freight Forwarders

377.201  Scope.
377.203  Extension of credit to shippers.
377.205  Presentation of freight bills.
377.207  Effect of mailing freight bills or payments.
377.209  Additional charges.
377.211  Computation of time.
377.213  [Reserved]
377.215  Household goods shipments by motor common carriers.
377.217  Interline settlement of revenues.

    Authority: 49 U.S.C. 13101, 13301, 13701-13702, 13706, 13707, and 
14101; 49 CFR 1.48.



                 Subpart A--Handling of C.O.D. Shipments

    Source: 32 FR 20050, Dec. 20, 1967, unless otherwise noted. 
Redesignated at 61 FR 54708, Oct. 21, 1996.



Sec. 377.101  Applicability.

    The rules and regulations in this part apply to the transportation 
by motor vehicle of c.o.d. shipments by all common carriers of property 
subject to 49 U.S.C. 13702, except such transportation which is 
auxiliary to or supplemental of transportation by railroad and performed 
on railroad bills of lading, and except such transportation which is 
performed for freight forwarders and on freight forwarder bills of 
lading.

[32 FR 20050, Dec. 20, 1967. Redesignated at 61 FR 54708, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997]



Sec. 377.103  Tariff requirements.

    No common carrier of property subject to the provisions of 49 U.S.C. 
13702, except as otherwise provided in Sec. 377.101, shall render any 
c.o.d. service unless such carrier has published, posted and filed 
tariffs which contain the rates, charges and rules governing such 
service, which rules shall conform to the regulations in this part.

[32 FR 20050, Dec. 20, 1967. Redesignated at 61 FR 54708, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997]



Sec. 377.105  Collection and remittance.

    Every common carrier of property subject to 49 U.S.C. 13702, except 
as otherwise provided in Sec. 377.101, which chooses to provide c.o.d. 
service may publish and maintain, or cause to be published and 
maintained for its account, a tariff or tariffs which set forth 
nondiscriminatory rules governing c.o.d. service and the collection and 
remittance of c.o.d. funds. Alternatively, any carrier that provides 
c.o.d. service, but does not wish to publish and maintain, or cause to 
be published and maintained, its own nondiscriminatory tariff, may adopt 
a rule requiring remittance of each c.o.d. collection directly to the 
consignor or other person designated by the consignor as payee within 
fifteen (15) days after delivery of the c.o.d. shipment to the 
consignee.

[52 FR 45966, Dec. 3, 1987, as amended at 62 FR 15424, Apr. 1, 1997]



  Subpart B--Extension of Credit to Shippers by Motor Common Carriers, 
      Water Common Carriers, and Household Goods Freight Forwarders

    Source: 50 FR 2290, Jan 16, 1985, unless otherwise noted. 
Redesignated at 61 FR 54709, Oct. 21, 1996.



Sec. 377.201  Scope.

    (a) General. These regulations apply to the extension of credit in 
the transportation of property under Federal Highway Administration 
regulation by motor carriers and household goods freight forwarders, 
except as otherwise provided.
    (b) Exceptions. These regulations do not apply to--
    (1) Contract carriage operations.
    (2) Transportation for--
    (i) The United States or any department, bureau, or agency thereof,
    (ii) Any State, or political subdivision thereof,
    (iii) The District of Columbia.
    (3) Property transportation incidental to passenger operations.

[50 FR 2290, Jan. 16, 1985, as amended at 51 FR 44297, Dec. 9, 1986; 62 
FR 15424, Apr. 1, 1997]

[[Page 732]]



Sec. 377.203  Extension of credit to shippers.

    (a) Authorization to extend credit. (1) A carrier that meets the 
requirements in paragraph (a)(2) of this section may--
    (i) Relinquish possession of freight in advance of the payment of 
the tariff charges, and
    (ii) Extend credit in the amount of such charges to those who 
undertake to pay them (such persons are called shippers in this part).
    (2) For such authorization, the carrier shall take reasonable 
actions to assure payment of the tariff charges within the credit 
periods specified--
    (i) In this part, or
    (ii) In tariff provisions published pursuant to the regulations in 
paragraph (d) of this section.
    (b) When the credit period begins. The credit period shall begin on 
the day following presentation of the freight bill.
    (c) Length of credit period. Unless a different credit period has 
been established by tariff publication pursuant to paragraph (d) of this 
section, the credit period is 15 days. It includes Saturdays, Sundays, 
and legal holidays.
    (d) Carriers may establish different credit periods in tariff rules. 
Carriers may publish tariff rules establishing credit periods different 
from those in paragraph (c) of this section. Such credit periods shall 
not be longer than 30 calendar days.
    (e) Service charges. (1) Service charges shall not apply when credit 
is extended and payments are made within the standard credit period. The 
term standard credit period, as used in the preceding sentence, means--
    (i) The credit period prescribed in paragraph (c) of this section, 
or
    (ii) A substitute credit period published in a tariff rule pursuant 
to the authorization in paragraph (d) of this section.
    (2) Carriers may, by tariff rule, extend credit for an additional 
time period, subject if they wish to a service charge for that 
additional time. The combined length of the carrier's standard credit 
period (as defined in paragraph (e)(1) of this section) and its 
additional credit period shall not exceed the 30-day maximum credit 
period prescribed in paragraph (d) of this section. When such a tariff 
rule is in effect, shippers may elect to postpone payment until the end 
of the extended credit period if, in consideration therefor, they 
include any published service charges when making their payment.
    (3) Carriers may, by tariff rule, establish service charges for 
payments made after the expiration of an authorized credit period. Such 
a rule shall--
    (i) Institute such charges on the day following the last day of an 
authorized credit period, and
    (ii) Notify shippers--
    (A) That its only purpose is to prevent a shipper who does not pay 
on time from having free use of funds due to the carrier,
    (B) That it does not sanction payment delays, and
    (C) That failure to pay within the authorized credit period will, 
despite this provision for such charges, continue to require the 
carrier, before again extending credit, to determine in good faith 
whether the shipper will comply with the credit regulations in the 
future.
    (4) Tariff rules that establish charges pursuant to paragraph (e) 
(2) or (3) of this section may establish minimum charges.
    (f) Discounts. Carriers may, by tariff rule, authorize discounts for 
early freight bill payments when credit is extended.
    (g)(1) Collection expense charges. Carriers may, by tariff rule, 
assess reasonable and certain liquidated damages for all costs incurred 
in the collection of overdue freight charges. Carriers may use one of 
two methods in their tariffs:
    (i) The first method is to assess liquidated damages as a separate 
additional charge to the unpaid freight bill. In doing so, the tariff 
rule shall disclose the exact amount of the charges by stating either a 
dollar or specified percentage amount (or a combination of both) of the 
unpaid freight bill. The tariff shall further specify the time period 
(which shall at least allow for the authorized credit period) within 
which the shipper must pay to avoid such liquidated damages.
    (ii) The second method is to require payment of the full, 
nondiscounted rate instead of the discounted rate otherwise applicable. 
The difference between the discount and the full rate

[[Page 733]]

constitutes a carrier's liquidated damages for its collection effort. 
Under this method the tariff shall identify the discount rates that are 
subject to the condition precedent and which require the shipper to make 
payment by a date certain. The date certain may not be set to occur by 
the carrier until at least after the expiration of the carrier's 
authorized credit period.
    (2) The damages, the timing of their applicability, and the 
conditions, if any, as provided by the tariff-rule methods allowed under 
paragraphs (g)(1) (i) and (ii) of this section also:
    (i) Shall be clearly described in the tariff rule;
    (ii) Shall be applied without unlawful prejudice and/or unjust 
discrimination between similarly situated shippers and/or consignees;
    (iii) Shall be applied only to the nonpayment of original, separate 
and independent freight bills and shall not apply to aggregate balance-
due claims sought for collection on past shipments by a bankruptcy 
trustee, or any other person or agent;
    (iv) Shall not apply to instances of clear clerical or ministerial 
error such as non-receipt of a carrier's freight bill, or shipper's 
payment check lost in the mail, or carrier mailing of the freight bill 
to the wrong address;
    (v) Shall not apply in any way to a charge for a transportation 
service if the carrier's bill of lading independently provides that the 
shipper is liable for fees incurred by the carrier in the collection of 
freight charges on that same transportation service;
    (vi) shall be applied only after the authorized credit period, and 
when the carrier has issued a revised freight bill or notice of 
imposition of collection expense charges for late payment within 90 days 
after expiration of the authorized credit period.
    (3) As an alternative to the tariff-rule methods allowed under 
paragraphs (g)(1) (i) and (ii) of this section, a carrier may, wholly 
outside of its tariff, assess collection charges though contract terms 
in a bill of lading. By using the carrier and its bill of lading, the 
shipper accepts the bill of lading terms.
    (h) Discrimination prohibited. Tariff rules published pursuant to 
paragraphs (d), (e), and (f) of this section shall not result in 
unreasonable discrimination among shippers.

[50 FR 2290, Jan 16, 1985, as amended at 53 FR 6991, Mar. 4, 1988; 54 FR 
30748, July 24, 1989]



Sec. 377.205  Presentation of freight bills.

    (a) ``To be prepaid'' shipments. (1) On ``to be prepaid'' shipments, 
the carrier shall present its freight bill for all transportation 
charges within the time period prescribed in paragraph (a)(2) of this 
section, except--
    (i) As noted in paragraph (d) of this section, or
    (ii) As otherwise excepted in this part.
    (2) The time period for a carrier to present its freight bill for 
all transportation charges shall be 7 days, measured from the date the 
carrier received the shipment. This time period does not include 
Saturdays, Sundays, or legal holidays.
    (b) ``Collect'' shipments. (1) On ``collect'' shipments, the carrier 
shall present its freight bill for all transportation charges within the 
time period prescribed in paragraph (b)(2) and of this section, except--
    (i) As noted in paragraph (d) of this section, or
    (ii) As otherwise excepted in this part.
    (2) The time period for a carrier to present its freight bill for 
all transportation charges shall be 7 days, measured from the date the 
shipment was delivered at its destination. This time period does not 
include Saturdays, Sundays, or legal holidays.
    (c) Bills or accompanying written notices shall state penalties for 
late payment, credit time limits and service charge and/or collection 
expense charge and discount terms. When credit is extended, freight 
bills or a separate written notice accompanying a freight bill or a 
group of freight bills presented at one time shall state that ``failure 
timely to pay freight charges may be subject to tariff penalties'' (or a 
statement of similar import). The bills or other notice shall also state 
the time by which payment must be made and any applicable service charge 
and/or collection expense charge and discount terms.
    (d) When the carrier lacks sufficient information to compute tariff 
charges. (1)

[[Page 734]]

When information sufficient to enable the carrier to compute the tariff 
charges is not then available to the carrier at its billing point, the 
carrier shall present its freight bill for payment within 7 days 
following the day upon which sufficient information becomes available at 
the billing point. This time period does not include Saturdays, Sundays, 
or legal holidays.
    (2) A carrier shall not extend further credit to any shipper which 
fails to furnish sufficient information to allow the carrier to render a 
freight bill within a reasonable time after the shipment is tendered to 
the origin carrier.
    (3) As used in this paragraph, the term ``shipper'' includes, but is 
not limited to, freight forwarders, and shippers' associations and 
shippers' agents.

[50 FR 2290, Jan 16, 1985, as amended at 54 FR 30748, July 24, 1989; 62 
FR 15424, Apr. 1, 1997]



Sec. 377.207  Effect of mailing freight bills or payments.

    (a) Presentation of freight bills by mail. When carriers present 
freight bills by mail, the time of mailing shall be deemed to be the 
time of presentation of the bills. The term freight bills, as used in 
this paragraph, includes both paper documents and billing by use of 
electronic media such as computer tapes or disks, when the mails are 
used to transmit them.
    (b) Payment by mail. Wnen shippers mail acceptable checks, drafts, 
or money orders in payment of freight charges, the act of mailing them 
within the credit period shall be deemed to be the collection of the 
tariff charges within the credit period for the purposes of the 
regulations in this part.
    (c) Disputes as to date of mailing. In case of dispute as to the 
date of mailing, the postmark shall be accepted as such date.



Sec. 377.209  Additional charges.

    When a carrier--
    (a) Has collected the amount of tariff charges represented in a 
freight bill presented by it as the total amount of such charges, and
    (b) Thereafter presents to the shipper another freight bill for 
additional charges--

the carrier may extend credit in the amount of such additional charges 
for a period of 30 calendar days from the date of the presentation of 
the freight bill for the additional charges.



Sec. 377.211  Computation of time.

    Time periods involving calendar days shall be calculated pursuant to 
49 CFR 386.32(a).

[50 FR 2290, Jan 16, 1985. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997]



Sec. 377.213  [Reserved]



Sec. 377.215  Household goods shipments by motor common carriers.

    (a) Exceptions--Household goods ``collect on delivery'' shipments. 
The regulations in the other sections of this part and in paragraph (c) 
of this section do not apply when the carrier is required by 49 CFR 
375.3(d) to relinquish possession of an otherwise ``collect on 
delivery'' household goods shipment in advance of payment of all of the 
charges.
    (b) Charge card reversed transactions. The regulations of this part 
apply when--
    (1) Charges for household goods movements are paid by use of charge 
cards pursuant to 49 CFR 375.19, and
    (2) The shipper forces an involuntary extension of credit by the 
carrier by causing the charge card issuer to reverse the charge 
transaction and charge payments back to the carrier's account.
    (c) Exceptions--House goods credit shipments. The provisions in 
paragraphs (c) (1) through (3) of this section are exceptions to the 
other regulations in this part. They apply to credit extensions for 
household goods transportation by motor common carriers (except as 
provided in paragraph (a) of this section)--
    (1) A freight bill shall be presented within 15 days (excluding 
Saturdays, Sundays, and legal holidays) of the date of delivery of a 
shipment at its destination.
    (2) The credit of period is 7 days (excluding Saturdays, Sundays, 
and legal holidays).
    (3) Motor Common carriers of household goods must provide in their 
tariffs that--

[[Page 735]]

    (i) The credit period shall automatically be extended to a total of 
30 calendar days for any shipper who has not paid the carrier's freight 
bill within the 7-day period.
    (ii) Such shipper will be assessed a service charge by the carrier 
equal to 1 percent of the amount of the freight bill, subject to a $10 
minimum charge, for such extension of the credit period, and
    (iii) No such carrier shall grant credit to any shipper who fails to 
pay a duly presented freight bill within the 30-day period, unless and 
until such shipper affirmatively satisfies the carrier that all future 
freight bills duly presented will be paid strictly in accordance with 
the rules and regulations prescribed by the Commission for the 
settlement of carrier rates and charges.

[50 FR 2290, Jan 16, 1985. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997]



Sec. 377.217  Interline settlement of revenues.

    Nothing in this part shall be interpreted as affecting the interline 
settlement of revenues from traffic which is transported over through 
routes composed of lines of common carriers subject to the Secretary's 
jurisdiction under 49 U.S.C. subtitle IV, part B.

[50 FR 2290, Jan 16, 1985. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997]



PART 378--PROCEDURES GOVERNING THE PROCESSING, INVESTIGATION, AND DISPOSITION OF OVERCHARGE, DUPLICATE PAYMENT, OR OVERCOLLECTION CLAIMS--Table of Contents




Sec.
378.1  Applicability.
378.2  Definitions.
378.3  Filing and processing claims.
378.4  Documentation of claims.
378.5  Investigation of claims.
378.6  Claim records.
378.7  Acknowledgment of claims.
378.8  Disposition of claims.
378.9  Disposition of unidentified payments, overcharges, duplicate 
          payments, and overcollections not supported by claims.

    Authority: 49 U.S.C. 13321, 14101, 14704, and 14705; 49 CFR 1.48.

    Source: 43 FR 41040, Sept. 14, 1978, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.



Sec. 378.1  Applicability.

    The regulations set forth in this part govern the processing of 
claims for overcharge, duplicate payment, or overcollection for the 
transportation of property in interstate or foreign commerce by motor 
common carriers and household goods freight forwarders subject to 49 
U.S.C. subtitle IV, part B.

[43 FR 41040, Sept. 14, 1978, as amended at 51 FR 44297, Dec. 9, 1986; 
62 FR 15424, Apr. 1, 1997]



Sec. 378.2  Definitions.

    (a) Carrier means a motor common carrier or household goods freight 
forwarder subject to 49 U.S.C. subtitle IV, part B.
    (b) Overcharge means an overcharge as defined in 49 U.S.C. 14704(b). 
It also includes duplicate payments as defined in paragraph (c) of this 
section and overcollections as defined in paragraph (d) of this section 
when a dispute exists between the parties concerning such charges.
    (c) Duplicate payment means two or more payments for transporting 
the same shipment. Where one or more payment is not in the exact amount 
of the applicable tariff rates and charges, refunds shall be made on the 
basis of the excess amount over the applicable tariff rates and charges.
    (d) Overcollection means the receipt by a household goods carrier of 
a payment in excess of the transportation and/or accessorial charges 
applicable to a particular shipment of household goods, as defined in 
part 375 of this chapter, under tariffs lawfully on file with the United 
States Department of Transportation's Surface Transportation Board.
    (e) Unidentified payment means a payment which a carrier has 
received but which the carrier is unable to match with its open accounts 
receivable or otherwise identify as being due for the performance of 
transportation services.
    (f) Claimant means any shipper or receiver, or its authorized agent, 
filing a request with a carrier for the refund of

[[Page 736]]

an overcharge, duplicate payment, or overcollection.

[43 FR 41040, Sept. 14, 1978, as amended at 44 FR 66832, Nov. 21, 1979; 
51 FR 34989, Oct. 1, 1986; 51 FR 44297, Dec. 9, 1986; 62 FR 15424, Apr. 
1, 1997]



Sec. 378.3  Filing and processing claims.

    (a) A claim for overcharge, duplicate payment, or overcollection 
shall not be paid unless filed in writing or electronically communicated 
(when agreed to by the carrier and shipper or receiver involved) with 
the carrier that collected the transportation charges. The collecting 
carrier shall be the carrier to process all such claims. When a claim is 
filed with another carrier that participated in the transportation, that 
carrier shall transmit the claim to the collecting carrier within 15 
days after receipt of the claim. If the collecting carrier is unable to 
dispose of the claim for any reason, the claim may be filed with or 
transferred to any participating carrier for final disposition.
    (b) A single claim may include more than one shipment provided the 
claim on each shipment involves:
    (1) The same tariff issue or authority or circumstances,
    (2) Single line service by the same carrier, or
    (3) Service by the same interline carriers.

[43 FR 41040, Sept 14, 1978, as amended at 47 FR 12804, Mar. 25, 1982]



Sec. 378.4  Documentation of claims.

    (a) Claims for overcharge, duplicate payment, or overcollection 
shall be accompanied by sufficient information to allow the carriers to 
conduct an investigation and pay or decline the claim within the time 
limitations set forth in Sec. 378.8. Claims shall include the name of 
the claimant, its file number, if any, and the amount of the refund 
sought to be recovered, if known.
    (b) Except when the original freight bill is not a paper document 
but is electronically transmitted, claims for overcharge shall be 
accompanied by the original freight bill. Additional information may 
include, but is not limited to, the following:
    (1) The rate, classification, or commodity description or weight 
claimed to have been applicable.
    (2) Complete tariff authority for the rate, classification, or 
commodity description claimed.
    (3) Freight bill payment information.
    (4) Other documents or data which is believed by claimant to 
substantiate the basis for its claim.
    (c) Claims for duplicate payment and overcollection shall be 
accompanied by the original freight bill(s) for which charges were paid 
(except when the original freight bill is not a paper document but is 
electronically transmitted) and by freight bill payment information.
    (d) Regardless of the provisions of paragraphs (a), (b), and (c) of 
this section, the failure to provide sufficient information and 
documentation to allow a carrier to conduct an investigation and pay or 
decline the claim within the allowable time limitation shall not 
constitute grounds for disallowance of the claim. Rather, the carrier 
shall comply with Sec. 378.5(c) to obtain the additional information 
required.
    (e) A carrier shall accept copies instead of the orginal documents 
required to be submitted in this section where the carrier is furnished 
with an agreement entered into by the claimant which indemnifies the 
carrier for subsequent duplicate claims which might be filed and 
supported by the original documents.

[43 FR 41040, Sept. 14, 1978, as amended at 44 FR 4679, Jan. 23, 1979; 
47 FR 12804, Mar. 25, 1982; 62 FR 15424, Apr. 1, 1997]



Sec. 378.5  Investigation of claims.

    (a) Upon receipt of a claim, whether written or otherwise, the 
processing carrier shall promptly initiate an investigation and 
establish a file, as required by Sec. 378.6.
    (b) If a carrier discovers an overcharge, duplicate payment, or 
overcollection which has not been the subject of a claim, it shall 
promptly initiate an investigation and comply with the provisions in 
Sec. 378.9.
    (c) In the event the carrier processing the claim requires 
information or documents in addition to that submitted with the claim, 
the carrier shall

[[Page 737]]

promptly notify the claimant and request the information required. This 
includes notifying the claimant that a written or electronically 
transmitted claim must be filed before the carrier becomes subject to 
the time limits for settling such a claim under Sec. 378.8.

[43 FR 41040, Sept. 14, 1978, as amended at 47 FR 12804, Mar. 25, 1982; 
62 FR 15424, 15425, Apr. 1, 1997]



Sec. 378.6  Claim records.

    At the time a claim is received the carrier shall create a separate 
file and assign it a successive claim file number and note that number 
on all documents filed in support of the claim and all records and 
correspondence with respect to the claim, including the written or 
electronic acknowledgment of receipt required under Sec. 378.7. If 
pertinent to the disposition of the claim, the carrier shall also note 
that number on the shipping order and delivery receipt, if any, covering 
the shipment involved.

[47 FR 12804, Mar. 25, 1982, as amended at 62 FR 15425, Apr. 1, 1997]



Sec. 378.7  Acknowledgment of claims.

    Upon receipt of a written or electronically transmitted claim, the 
carrier shall acknowledge its receipt in writing or electronically to 
the claimant within 30 days after the date of receipt except when the 
carrier shall have paid or declined in writing or electronically within 
that period. The carrier shall include the date of receipt in its 
written or electronic claim which shall be placed in the file for that 
claim.

[47 FR 12804, Mar. 25, 1982]



Sec. 378.8  Disposition of claims.

    The processing carrier shall pay, decline to pay, or settle each 
written or electronically communicated claim within 60 days after its 
receipt by that carrier, except where the claimant and the carrier agree 
in writing or electronically to a specific extension based upon 
extenuating circumstances. If the carrier declines to pay a claim or 
makes settlement in an amount different from that sought, the carrier 
shall notify the claimant in writing or electronically, of the reason(s) 
for its action, citing tariff authority or other pertinent information 
developed as a result of its investigation.

[47 FR 12804, Mar. 25, 1982]



Sec. 378.9  Disposition of unidentified payments, overcharges, duplicate payments, and overcollections not supported by claims.

    (a)(1) Carriers shall establish procedures for identifying and 
properly applying all unidentified payments. If a carrier does not have 
sufficient information with which properly to apply such a payment, the 
carrier shall notify the payor of the unidentified payment within 60 
days of receipt of the payment and request information which will enable 
it to identify the payment. If the carrier does not receive the 
information requested within 90 days from the date of the notice, the 
carrier may treat the unidentified payment as a payment in fact of 
freight charges owing to it. Following the 90-day period, the regular 
claims procedure under this part shall be applicable.
    (2) Notice shall be in writing and clearly indicate that it is a 
final notice and not a bill. Notice shall include: The check number, 
amount, and date; the payor's name; and any additional basic information 
the carrier is able to provide. The final notice also must inform payor 
that: (i) Applicable regulations allow the carrier to conditionally 
retain the payment as revenue in the absence of a timely response by the 
payor; and (ii) following the 90-day period the regular claims procedure 
shall be applicable.
    (3) Upon a carrier's receipt of information from the payor, the 
carrier shall, within 14 days: (i) Make a complete refund of such funds 
to the payor; or (ii) notify the payor that the information supplied is 
not sufficient to identify the unapplied payment and request additional 
information; or (iii) notify the payor of the carrier's determination 
that such payment was applicable to particular freight charges lawfully 
due the carrier. Where no refund is made by the carrier, the carrier 
shall advise the payor of its right to file a formal claim for refund 
with the carrier in accordance with the regular claims procedure under 
this part.

[[Page 738]]

    (b) When a carrier which participates in a transportation movement, 
but did not collect the transporation charges, finds that an overpayment 
has been made, that carrier shall immediately notify the collecting 
carrier. When the collecting carrier (when single or joint line haul) 
discovers or is notified by such a participating carrier that an 
overcharge, duplicate payment, or overcollection exists for any 
tranportation charge which has not been the subject of a claim, the 
carrier shall create a file as if a claim had been submitted and shall 
record in the file the date it discovered or was notified of the 
overpayment. The carrier that collected the charges shall then refund 
the amount of the overpayment to the person who paid the transportation 
charges or to the person that made duplicate payment within 30 days from 
the date of such discovery or notification.

[43 FR 41040, Sept. 14, 1978, as amended at 44 FR 66832, Nov. 21, 1979]



PART 379--PRESERVATION OF RECORDS--Table of Contents




Sec.
379.1  Applicability.
379.3  Records required to be retained.
379.5  Protection and storage of records.
379.7  Preservation of records.
379.9  Companies going out of business.
379.11  Waiver of requirements of the regulations in this part.
379.13  Disposition and retention of records.

Appendix A to Part 379--Schedule of Records and Periods of Retention

    Authority: 49 U.S.C. 13301, 14122 and 14123; 49 CFR 1.48.

    Source: 62 FR 32044, June 12, 1997, unless otherwise noted.



Sec. 379.1  Applicability.

    (a) The preservation of record rules contained in this part shall 
apply to the following:
    (1) Motor carriers and brokers;
    (2) Water carriers; and
    (3) Household goods freight forwarders.
    (b) This part applies also to the preservation of accounts, records 
and memoranda of traffic associations, weighing and inspection bureaus, 
and other joint activities maintained by or on behalf of companies 
listed in paragraph (a) of this section.



Sec. 379.3  Records required to be retained.

    Companies subject to this part shall retain records for the minimum 
retention periods provided in appendix A to this part. After the 
required retention periods, the records may be destroyed at the 
discretion of each company's management. It shall be the obligation of 
the subject company to maintain records that adequately support 
financial and operational data required by the Secretary. The company 
may request a ruling from the Secretary on the retention of any record. 
The provisions of this part shall not be construed as excusing 
compliance with the lawful requirements of any other governmental body 
prescribing longer retention periods for any category of records.



Sec. 379.5  Protection and storage of records.

    (a) The company shall protect records subject to this part from 
fires, floods, and other hazards, and safeguard the records from 
unnecessary exposure to deterioration from excessive humidity, dryness, 
or lack of ventilation.
    (b) The company shall notify the Secretary if prescribed records are 
substantially destroyed or damaged before the term of the prescribed 
retention periods.



Sec. 379.7  Preservation of records.

    (a) All records may be preserved by any technology that is immune to 
alteration, modification, or erasure of the underlying data and will 
enable production of an accurate and unaltered paper copy.
    (b) Records not originally preserved on hard copy shall be 
accompanied by a statement executed by a person having personal 
knowledge of the facts indicating the type of data included within the 
records. One comprehensive statement may be executed in lieu of 
individual statements for multiple records if the type of data included 
in the multiple records is common to all such records. The records shall 
be indexed and retained in such a manner as will

[[Page 739]]

render them readily accessible. The company shall have facilities 
available to locate, identify and produce legible paper copies of the 
records.
    (c) Any significant characteristic, feature or other attribute that 
a particular medium will not preserve shall be clearly indicated at the 
beginning of the applicable records as appropriate.
    (d) The printed side of forms, such as instructions, need not be 
preserved for each record as long as the printed matter is common to all 
such forms and an identified specimen of the form is maintained on the 
medium for reference.



Sec. 379.9  Companies going out of business.

    The records referred to in the regulations in this part may be 
destroyed after business is discontinued and the company is completely 
liquidated. The records may not be destroyed until dissolution is final 
and all pending transactions and claims are completed. When a company is 
merged with another company under jurisdiction of the Secretary, the 
successor company shall preserve records of the merged company in 
accordance with the regulations in this part.



Sec. 379.11  Waiver of requirements of the regulations in this part.

    A waiver from any provision of the regulations in this part may be 
made by the Secretary upon his/her own initiative or upon submission of 
a written request by the company. Each request for waiver shall 
demonstrate that unusual circumstances warrant a departure from 
prescribed retention periods, procedures, or techniques, or that 
compliance with such prescribed requirements would impose an 
unreasonable burden on the company.



Sec. 379.13  Disposition and retention of records.

    The schedule in appendix A to this part shows periods that 
designated records shall be preserved. The descriptions specified under 
the various general headings are for convenient reference and 
identification, and are intended to apply to the items named regardless 
of what the records are called in individual companies and regardless of 
the record media. The retention periods represent the prescribed number 
of years from the date of the document and not calendar years. Records 
not listed in appendix A to this part shall be retained as determined by 
the management of each company.
       Appendix A to Part 379--Schedule of Records and Periods of 
                               Retention

------------------------------------------------------------------------
 Item and category of records               Retention period
------------------------------------------------------------------------
   A. Corporate and General
 
1. Incorporation and
 reorganization:
    (a) Charter or             Note A.
     certificate of
     incorporation and
     amendments.
    (b) Legal documents        Note A.
     related to mergers,
     consolidations,
     reorganization,
     receiverships and
     similar actions which
     affect the identity or
     organization of the
     company.
2. Minutes of Directors,       Note A.
 Executive Committees,
 Stockholders and other
 corporate meetings.
3. Titles, franchises and
 authorities:
    (a) Certificates of        Until expiration or cancellation.
     public convenience and
     necessity issued by
     regulating bodies.
    (b) Operating              Until expiration or cancellation.
     authorizations and
     exemptions to operate.
    (c) Copies of formal       Note A.
     orders of regulatory
     bodies served upon the
     company.
    (d) Deeds, charters, and   Until disposition of property.
     other title papers.
    (e) Patents and patent     Note A.
     records.
4. Annual reports or           3 years.
 statements to stockholders.
5. Contracts and agreements:
    (a) Service contracts,     Until expiration or termination plus 3
     such as for operational    years.
     management, accounting,
     financial or legal
     services, and agreements
     with agents.
    (b) Contracts and other    Until expiration or termination plus 3
     agreements relating to     years.
     the construction,
     acquisition or sale of
     real property and
     equipment except as
     otherwise provided in
     (a) above.
    (c) Contracts for the      Until expiration.
     purchase or sale of
     material and supplies
     except as provided in
     (a) above.
    (d) Shipping contracts     Until expiration.
     for transportation or
     caretakers of freight.
    (e) Contracts with         Until expiration.
     employees and employee
     bargaining groups.
    (f) Contracts, leases and  Until expiration or termination plus 1
     agreements, not            year.
     specifically provided
     for in this section.

[[Page 740]]

 
6. Accountant's auditor's,
 and inspector's reports:
    (a) Certifications and     3 years.
     reports of examinations
     and audits conducted by
     public accountants.
    (b) Reports of             3 years.
     examinations and audits
     conducted by internal
     auditors, time
     inspectors, and others.
7. Other.....................  Note A.
 
         B. Treasury
 
1. Capital stock records:
    (a) Capital stock ledger.  Note A.
    (b) Capital stock          Note A.
     certificates, records of
     or stubs of.
    (c) Stock transfer         Note A.
     register.
2. Long-term debt records:
    (a) Bond indentures,       Until redemption plus 3 years.
     underwritings,
     mortgages, and other
     long-term credit
     agreements.
    (b) Registered bonds and   Until redemption plus 3 years.
     debenture ledgers.
    (c) Stubs or similar       Note A.
     records of bonds or
     other long-term debt
     issued.
3. Authorizations from         Note A.
 regulatory bodies for
 issuance of securities
 including applications,
 reports, and supporting
 papers.
4. Records of securities       Until the securities are sold, redeemed
 owned, in treasury, or held    or otherwise disposed of.
 by custodians, detailed
 ledgers and journals, or
 their equivalent.
5. Other.....................  Note A.
 
 C. Financial and Accounting
 
1. Ledgers:
    (a) General and            Until discontinuance of use plus 3 years.
     subsidiary ledgers with
     indexes.
    (b) Balance sheets and     3 years.
     trial balance sheets of
     general and subsidiary
     ledgers.
2. Journals:
    (a) General journals.....  Until discontinuance of use plus 3 years.
    (b) Subsidiary journals    3 years.
     and any supporting data,
     except as otherwise
     provided for, necessary
     to explain journal
     entries.
3. Cash books:
    (a) General cash books...  Until discontinuance of use plus 3 years.
    (b) Subsidiary cash books  3 years.
4. Vouchers:
    (a) Voucher registers,     3 years.
     indexes, or equivalent.
    (b) Paid and canceled      3 years.
     vouchers, expenditure
     authorizations, detailed
     distribution sheets and
     other supporting data
     including original bills
     and invoices, if not
     provided for elsewhere.
    (c) Paid drafts, paid      3 years.
     checks, and receipts for
     cash paid out.
5. Accounts receivable:
    (a) Record or register of  3 years after settlement.
     accounts receivable,
     indexes thereto, and
     summaries of
     distribution.
    (b) Bills issued for       3 years after settlement.
     collection and
     supporting data.
    (c) Authorization for      1 year.
     writing off receivables.
    (d) Reports and            1 year.
     statements showing age
     and status of
     receivables.
6. Records of accounting       3 years after discontinuance.
 codes and instructions.
7. Other.....................  Note A.
 
  D. Property and Equipment
 
  Note.--All accounts, records, and memoranda necessary for making a
complete analysis of the cost or value of property shall be retained for
the periods shown. If any of the records elsewhere provided for in this
schedule are of this character, they shall be retained for the periods
shown below, regardless of any lesser retention period assigned.
 
1. Property records:
    (a) Records which          3 years after disposition of property.
     maintain complete
     information on cost or
     other value of all real
     and personal property or
     equipment.
    (b) Records of additions   3 years after disposition of property.
     and betterments made to
     property and equipment.
    (c) Records pertaining to  3 years after disposition of property.
     retirements and
     replacements of property
     and equipment.
    (d) Records pertaining to  3 years after disposition of property.
     depreciation.
    (e) Records of equipment   3 years after disposition of property.
     number changes.
    (f) Records of motor and   3 years after disposition of property.
     engine changes.
    (g) Records of equipment   Only current or latest records.
     lightweighed and
     stenciled.
2. Engineering records of      3 years after disposition of property.
 property changes actually
 made.
3. Other.....................  Note A.
 
   E. Personnel and Payroll
 
1. Personnel and payroll       1 year.
 records.
 
   F. Insurance and Claims
 
1. Insurance records:
    (a) Schedules of           Until expiration plus 1 year.
     insurance against fire,
     storms, and other
     hazards and records of
     premium payments.
    (b) Records of losses and  1 year after settlement.
     recoveries from
     insurance companies and
     supporting papers.
    (c) Insurance policies...  Until expiration of coverage plus 1 year.

[[Page 741]]

 
2. Claims records:
    (a) Claim registers, card  1 year after settlement.
     or book indexes, and
     other records which
     record personal injury,
     fire and other claims
     against the company,
     together with all
     supporting data.
    (b) Claims registers,      1 year after settlement.
     card or book indexes,
     and other records which
     record overcharges,
     damages, and other
     claims filed by the
     company against others,
     together with all
     supporting data.
    (c) Records giving the     3 years.
     details of authorities
     issued to agents,
     carriers, and others for
     participation in freight
     claims.
    (d) Reports, statements    3 years.
     and other data
     pertaining to personal
     injuries or damage to
     property when not
     necessary to support
     claims or vouchers.
    (e) Reports, statements,   1 year.
     tracers, and other data
     pertaining to unclaimed,
     over, short, damaged,
     and refused freight,
     when not necessary to
     support claims or
     vouchers.
    (f) Authorities for        3 years.
     disposal of unclaimed,
     damaged, and refused
     freight.
3. Other.....................  Note A.
 
           G. Taxes
 
1. Taxes.....................  Note A.
 
   H. Purchases and Stores
 
1. Purchases and stores......  Note A.
 
    I. Shipping and Agency
          Documents
 
1. Bills of lading and
 releases:
    (a) Consignors' shipping   1 year.
     orders, consignors'
     shipping tickets, and
     copies of bills of
     lading, freight bills
     from other carriers and
     other similar documents
     furnished the carrier
     for movement of freight.
    (b) Shippers' order-to-    1 year.
     notify bills of lading
     taken up and canceled.
2. Freight waybills:
    (a) Local waybills.......  1 year.
    (b) Interline waybills     1 year.
     received from and made
     to other carriers.
    (c) Company freight        1 year.
     waybills.
    (d) Express waybills.....  1 year.
3. Freight bills and
 settlements:
    (a) Paid copy of freight
     bill retained to support
     receipt of freight
     charges:
        (1) Bus express        1 year.
         freight bills
         provided no claim
         has been filed.
        (2) All other freight  1 year.
         bills.
    (b) Paid copy of freight
     bill retained to support
     payment of freight
     charges to other
     carriers:
        (1) Bus express        1 year.
         freight bills
         provided no claim
         has been filed.
        (2) All other freight  1 year.
         bills.
    (c) Records of unsettled   1 year after disposition.
     freight bills and
     supporting papers.
    (d) Records and reports    1 year.
     of correction notices.
4. Other freight records:
    (a) Records of freight     1 year.
     received, forwarded, and
     delivered.
    (b) Notice to consignees   1 year.
     of arrival of freight;
     tender of delivery.
5. Agency records (to include
 conductors, pursers,
 stewards, and others):
    (a) Cash books...........  1 year.
    (b) Remittance records,    1 year.
     bank deposit slips and
     supporting papers.
    (c) Balance sheets and     1 year.
     supporting papers.
    (d) Statements of          1 year.
     corrections in agents'
     accounts.
    (e) Other records and      1 year.
     reports pertaining to
     ticket sales, baggage
     handled, miscellaneous
     collections, refunds,
     adjustments, etc..
 
      J. Transportation
 
1. Records pertaining to
 transportation of household
 goods:
    (a) Estimate of charges..  1 year.
    (b) Order for service....  1 year.
    (c) Vehicle-load manifest  1 year.
    (d) Descriptive inventory  1 year.
2. Records and reports
 pertaining to operation of
 marine and floating
 equipment:
    (a) Ship log.............  3 years.
    (b) Ship articles........  3 years.
    (c) Passenger and room     3 years.
     list.
    (d) Floatmen's barge,      2 years.
     lighter, and escrow
     captain's reports,
     demurrage records,
     towing reports and
     checks sheets.
3. Dispatchers' sheets,        3 years.
 registers, and other records
 pertaining to movement of
 transportation equipment.
4. Import and export records   2 years.
 including bonded freight and
 steamship engagements.
5. Records, reports, orders    3 years.
 and tickets pertaining to
 weighting of freight.
6. Records of loading and      2 years.
 unloading of transportation
 equipment.
7. Records pertaining to the   2 years.
 diversion or reconsignment
 of freight, including
 requests, tracers, and
 correspondence.
8. Other.....................  Note A.
 

[[Page 742]]

 
    K. Supporting Data for
    Reports and Statistics
 
1. Supporting data for
 reports filed with the
 Federal Highway
 Administration, the Surface
 Transportation Board, the
 Department of
 Transportation's Bureau of
 Transportation Statistics
 and regulatory bodies:
    (a) Supporting data for    3 years.
     annual financial,
     operating and
     statistical reports.
    (b) Supporting data for    3 years.
     periodical reports of
     operating revenues,
     expenses, and income.
    (c) Supporting data for    3 years.
     reports detailing use of
     proceeds from issuance
     or sale of company
     securities.
    (d) Supporting data for    3 years after disposition of the
     valuation inventory        property.
     reports and records.
     This includes related
     notes, maps and
     sketches, underlying
     engineering, land, and
     accounting reports,
     pricing schedules,
     summary or collection
     sheets, yearly reports
     of changes and other
     miscellaneous data, all
     relating to the
     valuation of the
     company's property by
     the Federal Highway
     Administration, the
     Surface Transportation
     Board, the Department of
     Transportation's Bureau
     of Transportation
     Statistics or other
     regulatory body.
2. Supporting data for         3 years.
 periodical reports of
 accidents, inspections,
 tests, hours of service,
 repairs, etc..
3. Supporting data for         3 years.
 periodical statistical of
 operating results or
 performance by tonnage,
 mileage, passengers carried,
 piggyback traffic,
 commodities, costs, analyses
 of increases and decreases,
 or otherwise.
 
       M. Miscellaneous
 
1. Index of records..........  Until revised as record structure
                                changes.
2. Statement listing records   For the remainder of the period as
 prematurely destroyed or       prescribed for records destroyed.
 lost.
------------------------------------------------------------------------
Note A.--Records referenced to this note shall be maintained as
  determined by the designated records supervisory official. Companies
  should be mindful of the record retention requirements of the Internal
  Revenue Service, Securities and Exchange Commission, State and local
  jurisdictions, and other regulatory agencies. Companies shall exercise
  reasonable care in choosing retention periods, and the choice of
  retention periods shall reflect past experiences, company needs,
  pending litigation, and regulatory requirements.



PART 381--WAIVERS, EXEMPTIONS, AND PILOT PROGRAMS--Table of Contents




                           Subpart A--General

Sec.
381.100  What is the purpose of this part?
381.105  Who is required to comply with the rules in this part?
381.110  What definitions are applicable to this part?

              Subpart B--Procedures for Requesting Waivers

381.200  What is a waiver?
381.205  How do I determine when I may request a waiver?
381.210  How do I request a waiver?
381.215  What will the FHWA do after the agency receives my request for 
          a waiver?
381.220  How long will it take the agency to respond to my request for a 
          waiver?
381.225  Who should I contact if I have questions about the information 
          I am required to submit to the FHWA or about the status of my 
          request for a waiver?

            Subpart C--Procedures for Applying for Exemptions

381.300  What is an exemption?
381.305  How do I determine when I may apply for an exemption?
381.310  How do I apply for an exemption?
381.315  What will the FHWA do after the agency receives my application 
          for an exemption?
381.320  How long will it take the agency to respond to my application 
          for an exemption?
381.325  Who should I contact if I have questions about the information 
          I am required to submit to the FHWA or about the status of my 
          application for an exemption?
381.330  What am I required to do if the FHWA grants my application for 
          an exemption?

                 Subpart D--Initiation of Pilot Programs

381.400  What is a pilot program?
381.405  Who determines whether a pilot program should be initiated?
381.410  What may I do if I have an idea or suggestion for a pilot 
          program?
381.415  Who should I contact if I have questions about the information 
          to be included in my suggestion?
381.420  What will the FHWA do after the agency receives my suggestion 
          for a pilot program?

         Subpart E--Administrative Procedures for Pilot Programs

381.500  What are the general requirements the agency must satisfy in 
          conducting a pilot program?

[[Page 743]]

381.505  What are the minimum elements required for a pilot program?
381.510  May the FHWA end a pilot program before its scheduled 
          completion date?
381.515  May the FHWA remove approved participants from a pilot program?
381.520  What will the FHWA do with the results from a pilot program?

                  Subpart F--Preemption of State Rules

381.600  Do waivers, exemptions, and pilot programs preempt State laws 
          and regulations?

    Authority: 49 U.S.C. 31136(e), 31315; 49 CFR 1.48.

    Source: 63 FR 67608, Dec. 8, 1998, unless otherwise noted.



                           Subpart A--General



Sec. 381.100  What is the purpose of this part?

    This part prescribes the rules and procedures for requesting waivers 
and applying for exemptions from those provisions of the Federal Motor 
Carrier Safety Regulations (FMCSRs) which were issued on the authority 
of 49 U.S.C. 31136 or chapter 313, and the initiation and administration 
of pilot programs.



Sec. 381.105  Who is required to comply with the rules in this part?

    (a) You must comply with the rules in this part if you are going to 
request a waiver or apply for an exemption.
    (b) You should follow the instructions in subpart D of this part if 
you would like to recommend the agency initiate a pilot program.



Sec. 381.110  What definitions are applicable to this part?

    Commercial motor vehicle means any motor vehicle that meets the 
definition of ``commercial motor vehicle'' found at 49 CFR 382.107 
concerning controlled substances and alcohol use and testing, 49 CFR 
383.5 concerning commercial driver's license standards, or 49 CFR 390.5 
concerning parts 390 through 399 of the FMCSRs.
    Federal Highway Administrator (the Administrator) means the chief 
executive of the Federal Highway Administration, an agency within the 
Department of Transportation.
    FMCSRs means Federal Motor Carrier Safety Regulations (49 CFR parts 
382 and 383, Secs. 385.21 and 390.21, parts 391 through 393, 395, 396, 
and 399).
    You means an individual or motor carrier or other entity that is, or 
will be, responsible for the operation of a CMV(s). The term includes a 
motor carrier's agents, officers and representatives as well as 
employees responsible for hiring, supervising, training, assigning, or 
dispatching of drivers and employees concerned with the installation, 
inspection, and maintenance of motor vehicle equipment and/or 
accessories. You also includes any interested party who would like to 
suggest or recommend that the FHWA initiate a pilot program.



              Subpart B--Procedures for Requesting Waivers



Sec. 381.200  What is a waiver?

    (a) A waiver is temporary regulatory relief from one or more FMCSR 
given to a person subject to the regulations, or a person who intends to 
engage in an activity that would be subject to the regulations.
    (b) A waiver provides the person with relief from the regulations 
for up to three months.
    (c) A waiver is intended for unique, non-emergency events and is 
subject to conditions imposed by the Administrator.
    (d) Waivers may only be granted from one or more of the requirements 
contained in the following parts and sections of the FMCSRs:
    (1) Part 382--Controlled Substances and Alcohol Use and Testing;
    (2) Part 383--Commercial Driver's License Standards; Requirements 
and Penalties;
    (3) Sec. 385.21 Motor Carrier Identification Report;
    (4) Sec. 390.21 Marking of commercial motor vehicles;
    (5) Part 391--Qualifications of Drivers;
    (6) Part 392--Driving of Commercial Motor Vehicles;
    (7) Part 393--Parts and Accessories Necessary for Safe Operation;
    (8) Part 395--Hours of Service of Drivers;

[[Page 744]]

    (9) Part 396--Inspection, Repair, and Maintenance (except 
Sec. 396.25); and
    (10) Part 399--Step, Handhold and Deck Requirements.



Sec. 381.205  How do I determine when I may request a waiver?

    (a) You may request a waiver if one or more FMCSR would prevent you 
from using or operating CMVs, or make it unreasonably difficult to do 
so, during a unique, non-emergency event that will take no more than 
three months to complete.
    (b) Before you decide to request a waiver, you should carefully 
review the regulation to determine whether there are any practical 
alternatives already available that would allow your use or operation of 
CMVs during the event. You should also determine whether you need a 
waiver from all of the requirements in one or more parts of the 
regulations, or whether a more limited waiver of certain sections within 
one or more of the parts of the regulations would provide an acceptable 
level of regulatory relief. For example, if you need relief from one of 
the recordkeeping requirements concerning driver qualifications, you 
should not request relief from all of the requirements of part 391.



Sec. 381.210  How do I request a waiver?

    (a) You must send a written request (for example, a typed or 
handwritten (printed) letter), which includes all of the information 
required by this section, to the Federal Highway Administrator, U.S. 
Department of Transportation, 400 Seventh Street, SW., Washington, DC 
20590.
    (b) You must identify the person who would be covered by the waiver. 
The application for a waiver must include:
    (1) Your name, job title, mailing address, and daytime telephone 
number;
    (2) The name of the individual, motor carrier, or other entity that 
would be responsible for the use or operation of CMVs during the unique, 
non-emergency event;
    (3) Principal place of business for the motor carrier or other 
entity (street address, city, State, and zip code); and
    (4) The USDOT identification number for the motor carrier, if 
applicable.
    (c) You must provide a written statement that:
    (1) Describes the unique, non-emergency event for which the waiver 
would be used, including the time period during which the waiver is 
needed;
    (2) Identifies the regulation that you believe needs to be waived;
    (3) Provides an estimate of the total number of drivers and CMVs 
that would be operated under the terms and conditions of the waiver; and
    (4) Explains how you would ensure that you could achieve a level a 
safety that is equivalent to, or greater than, the level of safety that 
would be obtained by complying with the regulation.



Sec. 381.215  What will the FHWA do after the agency receives my request for a waiver?

    (a) The Office of Motor Carrier and Highway Safety will review your 
request and make a recommendation to the Administrator. The final 
decision whether to grant or deny the application for a waiver will be 
made by the Administrator.
    (b) After a decision is signed by the Administrator, you will be 
sent a copy of the document, which will include the terms and conditions 
for the waiver or the reason for denying the application for a waiver.



Sec. 381.220  How long will it take the agency to respond to my request for a waiver?

    You should receive a response from the agency within 60 calendar 
days from the date the Administrator receives your request. However, 
depending on the complexity of the issues discussed in your application, 
and the availability of staff to review the material, a final decision 
may take up to 120 days.



Sec. 381.225  Who should I contact if I have questions about the information I am required to submit to the FHWA or about the status of my request for a waiver?

    You should contact the Office of Motor Carrier Research and 
Standards, Federal Highway Administration, 400 Seventh Street, SW., 
Washington, DC 20590. The telephone number is (202) 366-1790.

[[Page 745]]



            Subpart C--Procedures for Applying for Exemptions



Sec. 381.300  What is an exemption?

    (a) An exemption is temporary regulatory relief from one or more 
FMCSR given to a person or class of persons subject to the regulations, 
or who intend to engage in an activity that would make them subject to 
the regulations.
    (b) An exemption provides the person or class of persons with relief 
from the regulations for up to two years, and may be renewed.
    (c) Exemptions may only be granted from one or more of the 
requirements contained in the following parts and sections of the 
FMCSRs:
    (1) Part 382--Controlled Substances and Alcohol Use and Testing;
    (2) Part 383--Commercial Driver's License Standards; Requirements 
and Penalties;
    (3) Part 391--Qualifications of Drivers;
    (4) Part 392--Driving of Commercial Motor Vehicles;
    (5) Part 393--Parts and Accessories Necessary for Safe Operation;
    (6) Part 395--Hours of Service of Drivers;
    (7) Part 396--Inspection, Repair, and Maintenance (except for 
Sec. 396.25); and
    (8) Part 399--Step, Handhold and Deck Requirements.



Sec. 381.305  How do I determine when I may apply for an exemption?

    (a) You may apply for an exemption if one or more FMCSR prevents you 
from implementing more efficient or effective operations that would 
maintain a level of safety equivalent to, or greater than, the level 
achieved without the exemption.
    (b) Before you decide to apply for an exemption you should carefully 
review the regulation to determine whether there are any practical 
alternatives already available that would allow you to conduct your 
motor carrier operations. You should also determine whether you need an 
exemption from all of the requirements in one or more parts of the 
regulations, or whether a more limited exemption from certain sections 
within one or more parts of the regulations would provide an acceptable 
level of regulatory relief. For example, if you need regulatory relief 
from one of the recordkeeping requirements concerning driver 
qualifications, you should not request regulatory relief from all of the 
requirements of part 391.



Sec. 381.310  How do I apply for an exemption?

    (a) You must send a written request (for example, a typed or 
handwritten (printed) letter), which includes all of the information 
required by this section, to the Federal Highway Administrator, U.S. 
Department of Transportation, Federal Highway Administration, 400 
Seventh Street, SW., Washington, DC 20590.
    (b) You must identify the person or class of persons who would be 
covered by the exemption. The application for an exemption must include:
    (1) Your name, job title, mailing address, and daytime telephone 
number;
    (2) The name of the individual or motor carrier that would be 
responsible for the use or operation of CMVs;
    (3) Principal place of business for the motor carrier (street 
address, city, State, and zip code); and
    (4) The USDOT identification number for the motor carrier.
    (c) You must provide a written statement that:
    (1) Describes the reason the exemption is needed, including the time 
period during which it is needed;
    (2) Identifies the regulation from which you would like to be 
exempted;
    (3) Provides an estimate of the total number of drivers and CMVs 
that would be operated under the terms and conditions of the exemption;
    (4) Assesses the safety impacts the exemption may have;
    (5) Explains how you would ensure that you could achieve a level a 
safety that is equivalent to, or greater than, the level of safety that 
would be obtained by complying with the regulation; and
    (6) Describes the impacts (e.g., inability to test innovative safety 
management control systems, etc.) you could experience if the exemption 
is not granted by the FHWA.
    (d) Your application must include a copy of all research reports, 
technical

[[Page 746]]

papers, and other publications and documents you reference.



Sec. 381.315  What will the FHWA do after the agency receives my application for an exemption?

    (a) The Office of Motor Carrier and Highway Safety will review your 
application and prepare, for the Administrator's signature, a Federal 
Register notice requesting public comment on your application for an 
exemption. The notice will give the public an opportunity to review your 
request and your safety assessment or analysis (required by 
Sec. 381.310) and any other relevant information known to the agency.
    (b) After a review of the comments received in response to the 
Federal Register notice described in paragraph (a) of this section, the 
Office of Motor Carrier and Highway Safety will make a recommendation(s) 
to the Administrator to either to grant or deny the exemption. Notice of 
the Administrator's decision will be published in the Federal Register.
    (c)(1) If the exemption is granted, the notice will identify the 
provisions of the FMCSRs from which you will be exempt, the effective 
period, and all terms and conditions of the exemption.
    (2) If the exemption is denied, the notice will explain the reason 
for the denial.
    (d) A copy of your application for an exemption and all comments 
received in response to the Federal Register notice will be included in 
a public docket and be available for review by interested parties.
    (1) Interested parties may view the information contained in the 
docket by visiting the Department of Transportation, U.S. DOT Dockets, 
Room PL-401, 400 Seventh Street, SW., Washington DC. All information in 
the exemption docket will be available for examination at this address 
from 10 a.m. to 5 p.m., e.t., Monday through Friday, except Federal 
holidays.
    (2) Internet users can access all information received by the U.S. 
DOT Dockets, Room PL-401, by using the universal resources locator 
(URL): http://dms.dot.gov. It is available 24 hours each day, 365 days 
each year. Please follow the instructions online for more information 
and help.



Sec. 381.320  How long will it take the agency to respond to my application for an exemption?

    The agency will attempt to issue a final decision within 180 days of 
the date it receives your application. However, if you leave out 
important details or other information necessary for the FHWA to prepare 
a meaningful request for public comments, the agency will attempt to 
issue a final decision within 180 days of the date it receives the 
additional information.



Sec. 381.325  Who should I contact if I have questions about the information I am required to submit to the FHWA or about the status of my application for an 
          exemption?

    You should contact the Office of Motor Carrier Research and 
Standards, Federal Highway Administration, 400 Seventh Street, SW., 
Washington, DC 20590. The telephone number is (202) 366-1790.



Sec. 381.330  What am I required to do if the FHWA grants my application for an exemption?

    (a) You must comply with all the terms and conditions of the 
exemption.
    (b) The FHWA will immediately revoke your exemption if:
    (1) You fail to comply with the terms and conditions of the 
exemption;
    (2) The exemption has resulted in a lower level of safety than was 
maintained before the exemption was granted; or
    (3) Continuation of the exemption is determined by the FHWA to be 
inconsistent with the goals and objectives of the FMCSRs.



                 Subpart D--Initiation of Pilot Programs



Sec. 381.400  What is a pilot program?

    (a) A pilot program is a study in which temporary regulatory relief 
from one or more FMCSR is given to a person or class of persons subject 
to the regulations, or a person or class of persons who intend to engage 
in an activity that would be subject to the regulations.
    (b) During a pilot program, the participants would be given an 
exemption from one or more sections or parts of

[[Page 747]]

the regulations for a period of up to three years.
    (c) A pilot program is intended for use in collecting specific data 
for evaluating alternatives to the regulations or innovative approaches 
to safety while ensuring that the safety performance goals of the 
regulations are satisfied.
    (d) The number of participants in the pilot program must be large 
enough to ensure statistically valid findings.
    (e) Pilot programs must include an oversight plan to ensure that 
participants comply with the terms and conditions of participation, and 
procedures to protect the health and safety of study participants and 
the general public.
    (f) Exemptions for pilot programs may be granted only from one or 
more of the requirements contained in the following parts and sections 
of the FMCSRs:
    (1) Part 382--Controlled Substances and Alcohol Use and Testing;
    (2) Part 383--Commercial Driver's License Standards; Requirements 
and Penalties;
    (3) Part 391--Qualifications of Drivers;
    (4) Part 392--Driving of Commercial Motor Vehicles;
    (5) Part 393--Parts and Accessories Necessary for Safe Operation;
    (6) Part 395--Hours of Service of Drivers;
    (7) Part 396--Inspection, Repair, and Maintenance (except for 
Sec. 396.25); and
    (8) Part 399--Step, Handhold and Deck Requirements.



Sec. 381.405  Who determines whether a pilot program should be initiated?

    (a) Generally, pilot programs are initiated by the FHWA when the 
agency determines that there may be an effective alternative to one or 
more of the requirements in the FMCSRs, but does not have sufficient 
research data to support the development of a notice of proposed 
rulemaking to change the regulation.
    (b) You may request the FHWA to initiate a pilot program. However, 
the decision of whether to propose a pilot program will be made at the 
discretion of the FHWA. The FHWA is not required to publish a notice in 
the Federal Register requesting public comment on your ideas or 
suggestions for pilot programs.



Sec. 381.410  What may I do if I have an idea or suggestion for a pilot program?

    (a) You may send a written statement (for example, a typed or 
handwritten (printed) letter) to the Federal Highway Administrator, U.S. 
Department of Transportation, 400 Seventh Street, SW., Washington, DC 
20590.
    (b) You should identify the persons or class of persons who would be 
covered by the pilot program exemptions. Your letter should include:
    (1) Your name, job title, mailing address, and daytime telephone 
number;
    (2) The name of the individuals or motor carrier that would be 
responsible for the use or operation of CMVs covered by the pilot 
program, if there are motor carriers that have expressed an interest in 
participating in the program;
    (3) Principal place of business for the motor carrier (street 
address, city, State, and zip code); and
    (4) The USDOT identification number for the motor carrier.
    (c) You should provide a written statement that:
    (1) Presents your estimate of the potential benefits to the motor 
carrier industry, the FHWA, and the general public if the pilot program 
is conducted, and describes how you developed your estimate;
    (2) Estimates of the amount of time that would be needed to conduct 
the pilot program (e.g., the time needed to complete the collection and 
analysis of data);
    (3) Identifies the regulation from which the participants would need 
to be exempted;
    (4) Recommends a reasonable number of participants necessary to 
yield statistically valid findings;
    (5) Provides ideas or suggestions for a monitoring plan to ensure 
that participants comply with the terms and conditions of participation;
    (6) Provides ideas or suggestions for a plan to protect the health 
and safety of study participants and the general public.

[[Page 748]]

    (7) Assesses the safety impacts the pilot program exemption may 
have; and
    (8) Provides recommendations on how the safety measures in the pilot 
project would be designed to achieve a level a safety that is equivalent 
to, or greater than, the level of safety that would be obtained by 
complying with the regulation.
    (d) Your recommendation should include a copy of all research 
reports, technical papers, publications and other documents you 
reference.



Sec. 381.415  Who should I contact if I have questions about the information to be included in my suggestion?

    You should contact the Office of Motor Carrier Research and 
Standards, Federal Highway Administration, 400 Seventh Street, SW., 
Washington, DC 20590. The telephone number is (202) 366-1790.



Sec. 381.420  What will the FHWA do after the agency receives my suggestion for a pilot program?

    (a) The Office of Motor Carrier and Highway Safety will review your 
suggestion for a pilot program and make a recommendation to the 
Administrator. The final decision whether to propose the development of 
a pilot program based upon your recommendation will be made by the 
Administrator.
    (b) You will be sent a copy of the Administrator's decision. If the 
pilot program is approved, the agency will follow the administrative 
procedures contained in subpart E of this part.



         Subpart E--Administrative Procedures for Pilot Programs



Sec. 381.500  What are the general requirements the agency must satisfy in conducting a pilot program?

    (a) The FHWA may conduct pilot programs to evaluate alternatives to 
regulations, or innovative approaches, concerning motor carrier, CMV, 
and driver safety.
    (b) Pilot programs may include exemptions from the regulations 
listed in Sec. 381.400(f) of this part.
    (c) Pilot programs must, at a minimum, include all of the program 
elements listed in Sec. 381.505.
    (d) The FHWA will publish in the Federal Register a detailed 
description of each pilot program, including the exemptions to be 
considered, and provide notice and an opportunity for public comment 
before the effective date of the pilot program.



Sec. 381.505  What are the minimum elements required for a pilot program?

    (a) Safety measures. Before granting exemptions for a pilot program, 
the FHWA will ensure that the safety measures in a pilot program are 
designed to achieve a level of safety that is equivalent to, or greater 
than, the level of safety that would be achieved by complying with the 
regulations.
    (b) Pilot program plan. Before initiating a pilot program, the FHWA 
will ensure that there is a pilot program plan which includes the 
following elements:
    (1) A scheduled duration of three years or less;
    (2) A specific data collection and safety analysis plan that 
identifies a method of comparing the safety performance for motor 
carriers, CMVs, and drivers operating under the terms and conditions of 
the pilot program, with the safety performance of motor carriers, CMVs, 
and drivers that comply with the regulation;
    (3) A reasonable number of participants necessary to yield 
statistically valid findings;
    (4) A monitoring plan to ensure that participants comply with the 
terms and conditions of participation in the pilot program;
    (5) Adequate safeguards to protect the health and safety of study 
participants and the general public; and
    (6) A plan to inform the States and the public about the pilot 
program and to identify approved participants to enforcement personnel 
and the general public.



Sec. 381.510  May the FHWA end a pilot program before its scheduled completion date?

    The FHWA will immediately terminate a pilot program if there is 
reason to believe the program is not achieving

[[Page 749]]

a level of safety that is at least equivalent to the level of safety 
that would be achieved by complying with the regulations.



Sec. 381.515  May the FHWA remove approved participants from a pilot program?

    The Administrator will immediately revoke participation in a pilot 
program of a motor carrier, CMV, or driver for failure to comply with 
the terms and conditions of the pilot program, or if continued 
participation is inconsistent with the goals and objectives of the 
safety regulations.



Sec. 381.520  What will the FHWA do with the results from a pilot program?

    At the conclusion of each pilot program, the FHWA will report to 
Congress the findings and conclusions of the program and any 
recommendations it considers appropriate, including suggested amendments 
to laws and regulations that would enhance motor carrier, CMV, and 
driver safety and improve compliance with the FMCSRs.



                  Subpart F--Preemption of State Rules



Sec. 381.600  Do waivers, exemptions, and pilot programs preempt State laws and regulations?

    Yes. During the time period that a waiver, exemption, or pilot 
program authorized by this part is in effect, no State shall enforce any 
law or regulation that conflicts with or is inconsistent with the 
waiver, exemption, or pilot program with respect to a person operating 
under the waiver or exemption or participating in the pilot program.



PART 382--CONTROLLED SUBSTANCES AND ALCOHOL USE AND TESTING--Table of Contents




                           Subpart A--General

Sec.
382.101  Purpose.
382.103  Applicability.
382.105  Testing procedures.
382.107  Definitions.
382.109  Preemption of State and local laws.
382.111  Other requirements imposed by employers.
382.113  Requirement for notice.
382.115  Starting date for testing programs.

                         Subpart B--Prohibitions

382.201  Alcohol concentration.
382.205  On-duty use.
382.207  Pre-duty use.
382.209  Use following an accident.
382.211  Refusal to submit to a required alcohol or controlled 
          substances test.
382.213  Controlled substances use.
382.215  Controlled substances testing.

                        Subpart C--Tests Required

382.301  Pre-employment testing.
382.303  Post-accident testing.
382.305  Random testing.
382.307  Reasonable suspicion testing.
382.309  Return-to-duty testing.
382.311  Follow-up testing.

       Subpart D--Handling of Test Results, Record Retention, and 
                             Confidentiality

382.401  Retention of records.
382.403  Reporting of results in a management information system.
382.405  Access to facilities and records.
382.407  Medical review officer notifications to the employer.
382.409  Medical review officer record retention for controlled 
          substances.
382.411  Employer notifications.
382.413  Inquiries for alcohol and controlled substances information 
          from previous employers.

 Subpart E--Consequences for Drivers Engaging in Substance Use-Related 
                                 Conduct

382.501  Removal from safety-sensitive function.
382.503  Required evaluation and testing.
382.505  Other alcohol-related conduct.
382.507  Penalties.

  Subpart F--Alcohol Misuse and Controlled Substances Use Information, 
                         Training, and Referral

382.601  Employer obligation to promulgate a policy on the misuse of 
          alcohol and use of controlled substances.
382.603  Training for supervisors.
382.605  Referral, evaluation, and treatment.

    Authority: 49 U.S.C. 31133, 31136, 31301 et seq., 31502; and 49 CFR 
1.48.

    Source: 61 FR 9553, Mar. 8, 1996, unless otherwise noted.

[[Page 750]]



                           Subpart A--General



Sec. 382.101  Purpose.

    The purpose of this part is to establish programs designed to help 
prevent accidents and injuries resulting from the misuse of alcohol or 
use of controlled substances by drivers of commercial motor vehicles.



Sec. 382.103  Applicability.

    (a) This part applies to every person and to all employers of such 
persons who operate a commercial motor vehicle in commerce in any State, 
and is subject to:
    (1) The commercial driver's license requirements of part 383 of this 
subchapter;
    (2) The Licencia Federal de Conductor (Mexico) requirements; or
    (3) The commercial driver's license requirements of the Canadian 
National Safety Code.
    (b) An employer who employs himself/herself as a driver must comply 
with both the requirements in this part that apply to employers and the 
requirements in this part that apply to drivers. An employer who employs 
only himself/herself as a driver shall implement a random alcohol and 
controlled substances testing program of two or more covered employees 
in the random testing selection pool.
    (c) The exceptions contained in Sec. 390.3(f) of this subchapter do 
not apply to this part. The employers and drivers identified in 
Sec. 390.3(f) must comply with the requirements of this part, unless 
otherwise specifically provided in paragraph (d) of this section.
    (d) Exceptions. This part shall not apply to employers and their 
drivers:
    (1) Required to comply with the alcohol and/or controlled substances 
testing requirements of parts 653 and 654 of this title (Federal Transit 
Administration alcohol and controlled substances testing regulations); 
or
    (2) Who a State must waive from the requirements of part 383 of this 
subchapter. These individuals include active duty military personnel; 
members of the reserves; and members of the national guard on active 
duty, including personnel on full-time national guard duty, personnel on 
part-time national guard training and national guard military 
technicians (civilians who are required to wear military uniforms), and 
active duty U.S. Coast Guard personnel;
    (3) Who a State has, at its discretion, exempted from the 
requirements of part 383 of this subchapter. These individuals may be:
    (i) Operators of a farm vehicle which is:
    (A) Controlled and operated by a farmer;
    (B) Used to transport either agricultural products, farm machinery, 
farm supplies, or both to or from a farm;
    (C) Not used in the operations of a common or contract motor 
carrier; and
    (D) Used within 241 kilometers (150 miles) of the farmer's farm.
    (ii) Firefighters or other persons who operate commercial motor 
vehicles which are necessary for the preservation of life or property or 
the execution of emergency governmental functions, are equipped with 
audible and visual signals, and are not subject to normal traffic 
regulation.

[61 FR 9553, Mar. 8, 1996, as amended at 62 FR 1296, Jan. 9, 1997]



Sec. 382.105  Testing procedures.

    Each employer shall ensure that all alcohol or controlled substances 
testing conducted under this part complies with the procedures set forth 
in part 40 of this title. The provisions of part 40 of this title that 
address alcohol or controlled substances testing are made applicable to 
employers by this part.



Sec. 382.107  Definitions.

    Words or phrases used in this part are defined in Secs. 386.2 and 
390.5 of this subchapter, and Sec. 40.3 of this title, except as 
provided herein--
    Alcohol means the intoxicating agent in beverage alcohol, ethyl 
alcohol, or other low molecular weight alcohols including methyl and 
isopropyl alcohol.
    Alcohol concentration (or content) means the alcohol in a volume of 
breath expressed in terms of grams of alcohol per 210 liters of breath 
as indicated by an evidential breath test under this part.
    Alcohol use means the consumption of any beverage, mixture, or 
preparation,

[[Page 751]]

including any medication, containing alcohol.
    Commerce means:
    (1) Any trade, traffic or transportation within the jurisdiction of 
the United States between a place in a State and a place outside of such 
State, including a place outside of the United States and
    (2) Trade, traffic, and transportation in the United States which 
affects any trade, traffic, and transportation described in paragraph 
(1) of this definition.
    Commercial motor vehicle means a motor vehicle or combination of 
motor vehicles used in commerce to transport passengers or property if 
the motor vehicle--
    (1) Has a gross combination weight rating of 11,794 or more 
kilograms (26,001 or more pounds) inclusive of a towed unit with a gross 
vehicle weight rating of more than 4,536 kilograms (10,000 pounds); or
    (2) Has a gross vehicle weight rating of 11,794 or more kilograms 
(26,001 or more pounds); or
    (3) Is designed to transport 16 or more passengers, including the 
driver; or
    (4) Is of any size and is used in the transportation of materials 
found to be hazardous for the purposes of the Hazardous Materials 
Transportation Act and which require the motor vehicle to be placarded 
under the Hazardous Materials Regulations (49 CFR part 172, subpart F).
    Confirmation test for alcohol testing means a second test, following 
a screening test with a result of 0.02 or greater, that provides 
quantitative data of alcohol concentration. For controlled substances 
testing means a second analytical procedure to identify the presence of 
a specific drug or metabolite which is independent of the screen test 
and which uses a different technique and chemical principle from that of 
the screen test in order to ensure reliability and accuracy. (Gas 
chromatography/mass spectrometry (GC/MS) is the only authorized 
confirmation method for cocaine, marijuana, opiates, amphetamines, and 
phencyclidine.)
    Consortium means an entity, including a group or association of 
employers or contractors, that provides alcohol or controlled substances 
testing as required by this part, or other DOT alcohol or controlled 
substances testing rules, and that acts on behalf of the employers.
    Controlled substances mean those substances identified in 
Sec. 40.21(a) of this title.
    Disabling damage means damage which precludes departure of a motor 
vehicle from the scene of the accident in its usual manner in daylight 
after simple repairs.
    (1) Inclusions. Damage to motor vehicles that could have been 
driven, but would have been further damaged if so driven.
    (2) Exclusions.
    (i) Damage which can be remedied temporarily at the scene of the 
accident without special tools or parts.
    (ii) Tire disablement without other damage even if no spare tire is 
available.
    (iii) Headlight or taillight damage.
    (iv) Damage to turn signals, horn, or windshield wipers which make 
them inoperative.
    DOT Agency means an agency (or ``operating administration'') of the 
United States Department of Transportation administering regulations 
requiring alcohol and/or drug testing (14 CFR parts 61, 63, 65, 121, and 
135; 49 CFR parts 199, 219, 382, 653 and 654), in accordance with part 
40 of this title.
    Driver means any person who operates a commercial motor vehicle. 
This includes, but is not limited to: Full time, regularly employed 
drivers; casual, intermittent or occasional drivers; leased drivers and 
independent, owner-operator contractors who are either directly employed 
by or under lease to an employer or who operate a commercial motor 
vehicle at the direction of or with the consent of an employer.
    Employer means any person (including the United States, a State, 
District of Columbia, tribal government, or a political subdivision of a 
State) who owns or leases a commercial motor vehicle or assigns persons 
to operate such a vehicle. The term employer includes an employer's 
agents, officers and representatives.
    Licensed medical practitioner means a person who is licensed, 
certified, and/or

[[Page 752]]

registered, in accordance with applicable Federal, State, local, or 
foreign laws and regulations, to prescribe controlled substances and 
other drugs.
    Performing (a safety-sensitive function) means a driver is 
considered to be performing a safety-sensitive function during any 
period in which he or she is actually performing, ready to perform, or 
immediately available to perform any safety-sensitive functions.
    Positive rate means the number of positive results for random 
controlled substances tests conducted under this part plus the number of 
refusals of random controlled substances tests required by this part, 
divided by the total of random controlled substances tests conducted 
under this part plus the number of refusals of random tests required by 
this part.
    Refuse to submit (to an alcohol or controlled substances test) means 
that a driver:
    (1) Fails to provide adequate breath for alcohol testing as required 
by part 40 of this title, without a valid medical explanation, after he 
or she has received notice of the requirement for breath testing in 
accordance with the provisions of this part,
    (2) Fails to provide an adequate urine sample for controlled 
substances testing as required by part 40 of this title, without a 
genuine inability to provide a specimen (as determined by a medical 
evaluation), after he or she has received notice of the requirement for 
urine testing in accordance with the provisions of this part, or
    (3) Engages in conduct that clearly obstructs the testing process.
    Safety-sensitive function means all time from the time a driver 
begins to work or is required to be in readiness to work until the time 
he/she is relieved from work and all responsibility for performing work. 
Safety-sensitive functions shall include:
    (1) All time at an employer or shipper plant, terminal, facility, or 
other property, or on any public property, waiting to be dispatched, 
unless the driver has been relieved from duty by the employer;
    (2) All time inspecting equipment as required by Secs. 392.7 and 
392.8 of this subchapter or otherwise inspecting, servicing, or 
conditioning any commercial motor vehicle at any time;
    (3) All time spent at the driving controls of a commercial motor 
vehicle in operation;
    (4) All time, other than driving time, in or upon any commercial 
motor vehicle except time spent resting in a sleeper berth (a berth 
conforming to the requirements of Sec. 393.76 of this subchapter);
    (5) All time loading or unloading a vehicle, supervising, or 
assisting in the loading or unloading, attending a vehicle being loaded 
or unloaded, remaining in readiness to operate the vehicle, or in giving 
or receiving receipts for shipments loaded or unloaded; and
    (6) All time repairing, obtaining assistance, or remaining in 
attendance upon a disabled vehicle.
    Screening test (also known as initial test) In alcohol testing, it 
means an analytical procedure to determine whether a driver may have a 
prohibited concentration of alcohol in his or her system. In controlled 
substance testing, it means an immunoassay screen to eliminate 
``negative'' urine specimens from further consideration.
    Violation rate means the number of drivers (as reported under 
Sec. 382.305 of this part) found during random tests given under this 
part to have an alcohol concentration of 0.04 or greater, plus the 
number of drivers who refuse a random test required by this part, 
divided by the total reported number of drivers in the industry given 
random alcohol tests under this part plus the total reported number of 
drivers in the industry who refuse a random test required by this part.

[61 FR 9553, Mar. 8, 1996, as amended at 61 FR 37224, July 17, 1996]



Sec. 382.109  Preemption of State and local laws.

    (a) Except as provided in paragraph (b) of this section, this part 
preempts any State or local law, rule, regulation, or order to the 
extent that:
    (1) Compliance with both the State or local requirement and this 
part is not possible; or
    (2) Compliance with the State or local requirement is an obstacle to 
the accomplishment and execution of any requirement in this part.

[[Page 753]]

    (b) This part shall not be construed to preempt provisions of State 
criminal law that impose sanctions for reckless conduct leading to 
actual loss of life, injury, or damage to property, whether the 
provisions apply specifically to transportation employees, employers, or 
the general public.



Sec. 382.111  Other requirements imposed by employers.

    Except as expressly provided in this part, nothing in this part 
shall be construed to affect the authority of employers, or the rights 
of drivers, with respect to the use of alcohol, or the use of controlled 
substances, including authority and rights with respect to testing and 
rehabilitation.



Sec. 382.113  Requirement for notice.

    Before performing an alcohol or controlled substances test under 
this part, each employer shall notify a driver that the alcohol or 
controlled substances test is required by this part. No employer shall 
falsely represent that a test is administered under this part.



Sec. 382.115  Starting date for testing programs.

    (a) All domestic employers. Each domestic-domiciled employer that 
begins commercial motor vehicle operations will implement the 
requirements of this part on the date the employer begins such 
operations.
    (b) Large foreign employers. Each foreign-domiciled employer with 
fifty or more drivers assigned to operate commercial motor vehicles in 
North America on December 17, 1995, must implement the requirements of 
this part beginning on July 1, 1996.
    (c) Small foreign employers. Each foreign-domiciled employer with 
less than fifty drivers assigned to operate commercial motor vehicles in 
North America on December 17, 1995, must implement the requirements of 
this part beginning on July 1, 1997.
    (d) All foreign employers. Each foreign-domiciled employer that 
begins commercial motor vehicle operations in the United States after 
December 17, 1995, but before July 1, 1997, must implement the 
requirements of this part beginning on July 1, 1997. A foreign employer 
that begins commercial motor vehicle operations in the United States on 
or after July 1, 1997, must implement the requirements of this part on 
the date the foreign employer begins such operations.

[62 FR 37151, July 11, 1997]



                         Subpart B--Prohibitions



Sec. 382.201  Alcohol concentration.

    No driver shall report for duty or remain on duty requiring the 
performance of safety-sensitive functions while having an alcohol 
concentration of 0.04 or greater. No employer having actual knowledge 
that a driver has an alcohol concentration of 0.04 or greater shall 
permit the driver to perform or continue to perform safety-sensitive 
functions.



Sec. 382.205  On-duty use.

    No driver shall use alcohol while performing safety-sensitive 
functions. No employer having actual knowledge that a driver is using 
alcohol while performing safety-sensitive functions shall permit the 
driver to perform or continue to perform safety- sensitive functions.



Sec. 382.207  Pre-duty use.

    No driver shall perform safety-sensitive functions within four hours 
after using alcohol. No employer having actual knowledge that a driver 
has used alcohol within four hours shall permit a driver to perform or 
continue to perform safety-sensitive functions.



Sec. 382.209  Use following an accident.

    No driver required to take a post-accident alcohol test under 
Sec. 382.303 of this part shall use alcohol for eight hours following 
the accident, or until he/she undergoes a post- accident alcohol test, 
whichever occurs first.



Sec. 382.211  Refusal to submit to a required alcohol or controlled substances test.

    No driver shall refuse to submit to a post-accident alcohol or 
controlled substances test required under Sec. 382.303, a random alcohol 
or controlled substances test required under Sec. 382.305, a reasonable 
suspicion alcohol or controlled substances test required under

[[Page 754]]

Sec. 382.307, or a follow-up alcohol or controlled substances test 
required under Sec. 382.311. No employer shall permit a driver who 
refuses to submit to such tests to perform or continue to perform 
safety-sensitive functions.



Sec. 382.213  Controlled substances use.

    (a) No driver shall report for duty or remain on duty requiring the 
performance of safety-sensitive functions when the driver uses any 
controlled substance, except when the use is pursuant to the 
instructions of a licensed medical practitioner, as defined in 
Sec. 382.107 of this part, who has advised the driver that the substance 
will not adversely affect the driver's ability to safely operate a 
commercial motor vehicle.
    (b) No employer having actual knowledge that a driver has used a 
controlled substance shall permit the driver to perform or continue to 
perform a safety-sensitive function.
    (c) An employer may require a driver to inform the employer of any 
therapeutic drug use.



Sec. 382.215  Controlled substances testing.

    No driver shall report for duty, remain on duty or perform a safety-
sensitive function, if the driver tests positive for controlled 
substances. No employer having actual knowledge that a driver has tested 
positive for controlled substances shall permit the driver to perform or 
continue to perform safety-sensitive functions.



                        Subpart C--Tests Required



Sec. 382.301  Pre-employment testing.

    (a) Prior to the first time a driver performs safety-sensitive 
functions for an employer, the driver shall undergo testing for alcohol 
and controlled substances as a condition prior to being used, unless the 
employer uses the exception in paragraphs (c) and (d) of this section. 
No employer shall allow a driver, who the employer intends to hire or 
use, to perform safety-sensitive functions unless the driver has been 
administered an alcohol test with a result indicating an alcohol 
concentration less than 0.04, and has received a controlled substances 
test result from the MRO indicating a verified negative test result. If 
a pre-employment alcohol test result under this section indicates an 
alcohol content of 0.02 or greater but less than 0.04, the provision of 
Sec. 382.505 shall apply.
    (b) Exception for pre-employment alcohol testing. An employer is not 
required to administer an alcohol test required by paragraph (a) of this 
section if:
    (1) The driver has undergone an alcohol test required by this 
section or the alcohol misuse rule of another DOT agency under part 40 
of this title within the previous six months, with a result indicating 
an alcohol concentration less than 0.04; and
    (2) The employer ensures that no prior employer of the driver of 
whom the employer has knowledge has records of a violation of this part 
or the alcohol misuse rule of another DOT agency within the previous six 
months.
    (c) Exception for pre-employment controlled substances testing. An 
employer is not required to administer a controlled substances test 
required by paragraph (a) of this section if:
    (1) The driver has participated in a controlled substances testing 
program that meets the requirements of this part within the previous 30 
days; and
    (2) While participating in that program, either
    (i) Was tested for controlled substances within the past 6 months 
(from the date of application with the employer) or
    (ii) Participated in the random controlled substances testing 
program for the previous 12 months (from the date of application with 
the employer); and
    (3) The employer ensures that no prior employer of the driver of 
whom the employer has knowledge has records of a violation of this part 
or the controlled substances use rule of another DOT agency within the 
previous six months.
    (d)(1) An employer who exercises the exception in either paragraph 
(b) or (c) of this section shall contact the alcohol and/or controlled 
substances testing program(s) in which the driver participates or 
participated and shall obtain and retain from the testing program(s) the 
following information:
    (i) Name(s) and address(es) of the program(s).

[[Page 755]]

    (ii) Verification that the driver participates or participated in 
the program(s).
    (iii) Verification that the program(s) conforms to part 40 of this 
title.
    (iv) Verification that the driver is qualified under the rules of 
this part, including that the driver has not refused to be tested for 
controlled substances.
    (v) The date the driver was last tested for alcohol or controlled 
substances.
    (vi) The results of any tests taken within the previous six months 
and any other violations of subpart B of this part.
    (2) An employer who uses, but does not employ, a driver more than 
once a year to operate commercial motor vehicles must obtain the 
information in paragraph (d)(1) of this section at least once every six 
months. The records prepared under this paragraph shall be maintained in 
accordance with Sec. 382.401. If the employer cannot verify that the 
driver is participating in a controlled substances testing program in 
accordance with this part and part 40, the employer shall conduct a pre-
employment alcohol and/or controlled substances test.
    (e) Nothwithstanding any other provisions of this subpart, all 
provisions and requirements in this section pertaining to pre-employment 
testing for alcohol are vacated as of May 1, 1995.



Sec. 382.303  Post-accident testing.

    (a) As soon as practicable following an occurrence involving a 
commercial motor vehicle operating on a public road in commerce, each 
employer shall test for alcohol and controlled substances each surviving 
driver:
    (1) Who was performing safety-sensitive functions with respect to 
the vehicle, if the accident involved the loss of human life; or
    (2) Who receives a citation under State or local law for a moving 
traffic violation arising from the accident, if the accident involved:
    (i) Bodily injury to any person who, as a result of the injury, 
immediately receives medical treatment away from the scene of the 
accident; or
    (ii) One or more motor vehicles incurring disabling damage as a 
result of the accident, requiring the motor vehicle to be transported 
away from the scene by a tow truck or other motor vehicle.
    (3) This table notes when a post-accident test is required to be 
conducted by paragraphs (a)(1) and (a)(2) of this section.

                      Table for Sec.  382.303(a)(3)
------------------------------------------------------------------------
                                                         Test must be
   Type of accident  involved     Citation issued to     performed by
                                    the CMV driver         employer
------------------------------------------------------------------------
Human fatality..................  YES...............  YES.
                                  NO................  YES.
Bodily injury with immediate      YES...............  YES.
 medical treatment away from the
 scene.
                                  NO................  NO.
Disabling damage to any motor     YES...............  YES.
 vehicle requiring tow away.
                                  NO................  NO.
------------------------------------------------------------------------

    (b)(1) Alcohol tests. If a test required by this section is not 
administered within two hours following the accident, the employer shall 
prepare and maintain on file a record stating the reasons the test was 
not promptly administered. If a test required by this section is not 
administered within eight hours following the accident, the employer 
shall cease attempts to administer an alcohol test and shall prepare and 
maintain the same record. Records shall be submitted to the FHWA upon 
request of the Associate Administrator.
    (2) For the years stated in this paragraph, employers who submit MIS 
reports shall submit to the FHWA each record of a test required by this 
section that is not completed within eight hours. The employer's records 
of tests that are not completed within eight hours shall be submitted to 
the FHWA by March 15, 1996; March 15, 1997, and March 15, 1998, for 
calendar years 1995, 1996, and 1997, respectively. Employers shall 
append these records to their MIS submissions. Each record shall include 
the following information:
    (i) Type of test (reasonable suspicion/post-accident);
    (ii) Triggering event (including date, time, and location);
    (iii) Reason(s) test could not be completed within eight hours;
    (iv) If blood alcohol testing could have been completed within eight

[[Page 756]]

hours, the name, address, and telephone number of the testing site where 
blood testing could have occurred; and
    (3) Records of alcohol tests that could not be completed in eight 
hours shall be submitted to the FHWA at the following address: Attn: 
Alcohol Testing Program, Office of Motor Carrier Research and Standards 
(HCS-1), Federal Highway Administration, 400 Seventh Street, SW., 
Washington, DC 20590.
    (4) Controlled substance tests. If a test required by this section 
is not administered within 32 hours following the accident, the employer 
shall cease attempts to administer a controlled substances test, and 
prepare and maintain on file a record stating the reasons the test was 
not promptly administered. Records shall be submitted to the FHWA upon 
request of the Associate Administrator.
    (c) A driver who is subject to post-accident testing shall remain 
readily available for such testing or may be deemed by the employer to 
have refused to submit to testing. Nothing in this section shall be 
construed to require the delay of necessary medical attention for 
injured people following an accident or to prohibit a driver from 
leaving the scene of an accident for the period necessary to obtain 
assistance in responding to the accident, or to obtain necessary 
emergency medical care.
    (d) An employer shall provide drivers with necessary post-accident 
information, procedures and instructions, prior to the driver operating 
a commercial motor vehicle, so that drivers will be able to comply with 
the requirements of this section.
    (e)(1) The results of a breath or blood test for the use of alcohol, 
conducted by Federal, State, or local officials having independent 
authority for the test, shall be considered to meet the requirements of 
this section, provided such tests conform to the applicable Federal, 
State or local alcohol testing requirements, and that the results of the 
tests are obtained by the employer.
    (2) The results of a urine test for the use of controlled 
substances, conducted by Federal, State, or local officials having 
independent authority for the test, shall be considered to meet the 
requirements of this section, provided such tests conform to the 
applicable Federal, State or local controlled substances testing 
requirements, and that the results of the tests are obtained by the 
employer.
    (f) Exception. This section does not apply to:
    (1) An occurrence involving only boarding or alighting from a 
stationary motor vehicle; or
    (2) An occurrence involving only the loading or unloading of cargo; 
or
    (3) An occurrence in the course of the operation of a passenger car 
or a multipurpose passenger vehicle (as defined in Sec. 571.3 of this 
title) by an employer unless the motor vehicle is transporting 
passengers for hire or hazardous materials of a type and quantity that 
require the motor vehicle to be marked or placarded in accordance with 
Sec. 177.823 of this title.



Sec. 382.305  Random testing.

    (a) Every employer shall comply with the requirements of this 
section. Every driver shall submit to random alcohol and controlled 
substance testing as required in this section.
    (b)(1) Except as provided in paragraphs (c) through (e) of this 
section, the minimum annual percentage rate for random alcohol testing 
shall be 25 percent of the average number of driver positions.
    (2) Except as provided in paragraphs (f) through (h) of this 
section, the minimum annual percentage rate for random controlled 
substances testing shall be 50 percent of the average number of driver 
positions.
    (c) The FHWA Administrator's decision to increase or decrease the 
minimum annual percentage rate for alcohol testing is based on the 
reported violation rate for the entire industry. All information used 
for this determination is drawn from the alcohol management information 
system reports required by Sec. 382.403 of this part. In order to ensure 
reliability of the data, the FHWA Administrator considers the quality 
and completeness of the reported data, may obtain additional information 
or reports from employers, and may make appropriate modifications in 
calculating the industry violation rate. Each year, the

[[Page 757]]

FHWA Administrator will publish in the Federal Register the minimum 
annual percentage rate for random alcohol testing of drivers. The new 
minimum annual percentage rate for random alcohol testing will be 
applicable starting January 1 of the calendar year following 
publication.
    (d)(1) When the minimum annual percentage rate for random alcohol 
testing is 25 percent or more, the FHWA Administrator may lower this 
rate to 10 percent of all driver positions if the FHWA Administrator 
determines that the data received under the reporting requirements of 
Sec. 382.403 for two consecutive calendar years indicate that the 
violation rate is less than 0.5 percent.
    (2) When the minimum annual percentage rate for random alcohol 
testing is 50 percent, the FHWA Administrator may lower this rate to 25 
percent of all driver positions if the FHWA Administrator determines 
that the data received under the reporting requirements of Sec. 382.403 
for two consecutive calendar years indicate that the violation rate is 
less than 1.0 percent but equal to or greater than 0.5 percent.
    (e)(1) When the minimum annual percentage rate for random alcohol 
testing is 10 percent, and the data received under the reporting 
requirements of Sec. 382.403 for that calendar year indicate that the 
violation rate is equal to or greater than 0.5 percent, but less than 
1.0 percent, the FHWA Administrator will increase the minimum annual 
percentage rate for random alcohol testing to 25 percent for all driver 
positions.
    (2) When the minimum annual percentage rate for random alcohol 
testing is 25 percent or less, and the data received under the reporting 
requirements of Sec. 382.403 for that calendar year indicate that the 
violation rate is equal to or greater than 1.0 percent, the FHWA 
Administrator will increase the minimum annual percentage rate for 
random alcohol testing to 50 percent for all driver positions.
    (f) The FHWA Administrator's decision to increase or decrease the 
minimum annual percentage rate for controlled substances testing is 
based on the reported positive rate for the entire industry. All 
information used for this determination is drawn from the controlled 
substances management information system reports required by 
Sec. 382.403 of this part. In order to ensure reliability of the data, 
the FHWA Administrator considers the quality and completeness of the 
reported data, may obtain additional information or reports from 
employers, and may make appropriate modifications in calculating the 
industry positive rate. Each year, the FHWA Administrator will publish 
in the Federal Register the minimum annual percentage rate for random 
controlled substances testing of drivers. The new minimum annual 
percentage rate for random controlled substances testing will be 
applicable starting January 1 of the calendar year following 
publication.
    (g) When the minimum annual percentage rate for random controlled 
substances testing is 50 percent, the FHWA Administrator may lower this 
rate to 25 percent of all driver positions if the FHWA Administrator 
determines that the data received under the reporting requirements of 
Sec. 382.403 for two consecutive calendar years indicate that the 
positive rate is less than 1.0 percent. However, after the initial two 
years of random testing by large employers and the initial first year of 
testing by small employers under this section, the FHWA Administrator 
may lower the rate the following calendar year, if the combined positive 
testing rate is less than 1.0 percent, and if it would be in the 
interest of safety.
    (h) When the minimum annual percentage rate for random controlled 
substances testing is 25 percent, and the data received under the 
reporting requirements of Sec. 382.403 for any calendar year indicate 
that the reported positive rate is equal to or greater than 1.0 percent, 
the FHWA Administrator will increase the minimum annual percentage rate 
for random controlled substances testing to 50 percent of all driver 
positions.
    (i) The selection of drivers for random alcohol and controlled 
substances testing shall be made by a scientifically valid method, such 
as a random number table or a computer-based random number generator 
that is matched with drivers' Social Security numbers,

[[Page 758]]

payroll identification numbers, or other comparable identifying numbers. 
Under the selection process used, each driver shall have an equal chance 
of being tested each time selections are made.
    (j) The employer shall randomly select a sufficient number of 
drivers for testing during each calendar year to equal an annual rate 
not less than the minimum annual percentage rate for random alcohol and 
controlled substances testing determined by the FHWA Administrator. If 
the employer conducts random testing for alcohol and/or controlled 
substances through a consortium, the number of drivers to be tested may 
be calculated for each individual employer or may be based on the total 
number of drivers covered by the consortium who are subject to random 
alcohol and/or controlled substances testing at the same minimum annual 
percentage rate under this part or any DOT alcohol or controlled 
substances random testing rule.
    (k) Each employer shall ensure that random alcohol and controlled 
substances tests conducted under this part are unannounced and that the 
dates for administering random alcohol and controlled substances tests 
are spread reasonably throughout the calendar year.
    (l) Each employer shall require that each driver who is notified of 
selection for random alcohol and/or controlled substances testing 
proceeds to the test site immediately; provided, however, that if the 
driver is performing a safety-sensitive function, other than driving a 
commercial motor vehicle, at the time of notification, the employer 
shall instead ensure that the driver ceases to perform the safety-
sensitive function and proceeds to the testing site as soon as possible.
    (m) A driver shall only be tested for alcohol while the driver is 
performing safety-sensitive functions, just before the driver is to 
perform safety-sensitive functions, or just after the driver has ceased 
performing such functions.
    (n) If a given driver is subject to random alcohol or controlled 
substances testing under the random alcohol or controlled substances 
testing rules of more than one DOT agency for the same employer, the 
driver shall be subject to random alcohol and/or controlled substances 
testing at the annual percentage rate established for the calendar year 
by the DOT agency regulating more than 50 percent of the driver's 
function.
    (o) If an employer is required to conduct random alcohol or 
controlled substances testing under the alcohol or controlled substances 
testing rules of more than one DOT agency, the employer may--
    (1) Establish separate pools for random selection, with each pool 
containing the DOT-covered employees who are subject to testing at the 
same required minimum annual percentage rate; or
    (2) Randomly select such employees for testing at the highest 
minimum annual percentage rate established for the calendar year by any 
DOT agency to which the employer is subject.



Sec. 382.307  Reasonable suspicion testing.

    (a) An employer shall require a driver to submit to an alcohol test 
when the employer has reasonable suspicion to believe that the driver 
has violated the prohibitions of subpart B of this part concerning 
alcohol. The employer's determination that reasonable suspicion exists 
to require the driver to undergo an alcohol test must be based on 
specific, contemporaneous, articulable observations concerning the 
appearance, behavior, speech or body odors of the driver.
    (b) An employer shall require a driver to submit to a controlled 
substances test when the employer has reasonable suspicion to believe 
that the driver has violated the prohibitions of subpart B of this part 
concerning controlled substances. The employer's determination that 
reasonable suspicion exists to require the driver to undergo a 
controlled substances test must be based on specific, contemporaneous, 
articulable observations concerning the appearance, behavior, speech or 
body odors of the driver. The observations may include indications of 
the chronic and withdrawal effects of controlled substances.
    (c) The required observations for alcohol and/or controlled 
substances reasonable suspicion testing shall be made by a supervisor or 
company official who is trained in accordance with

[[Page 759]]

Sec. 382.603 of this part. The person who makes the determination that 
reasonable suspicion exists to conduct an alcohol test shall not conduct 
the alcohol test of the driver.
    (d) Alcohol testing is authorized by this section only if the 
observations required by paragraph (a) of this section are made during, 
just preceding, or just after the period of the work day that the driver 
is required to be in compliance with this part. A driver may be directed 
by the employer to only undergo reasonable suspicion testing while the 
driver is performing safety-sensitive functions, just before the driver 
is to perform safety-sensitive functions, or just after the driver has 
ceased performing such functions.
    (e)(1) If an alcohol test required by this section is not 
administered within two hours following the determination under 
paragraph (a) of this section, the employer shall prepare and maintain 
on file a record stating the reasons the alcohol test was not promptly 
administered. If an alcohol test required by this section is not 
administered within eight hours following the determination under 
paragraph (a) of this section, the employer shall cease attempts to 
administer an alcohol test and shall state in the record the reasons for 
not administering the test.
    (2) For the years stated in this paragraph, employers who submit MIS 
reports shall submit to the FHWA each record of a test required by this 
section that is not completed within 8 hours. The employer's records of 
tests that could not be completed within 8 hours shall be submitted to 
the FHWA by March 15, 1996; March 15, 1997; and March 15, 1998; for 
calendar years 1995, 1996, and 1997, respectively. Employers shall 
append these records to their MIS submissions. Each record shall include 
the following information:
    (i) Type of test (reasonable suspicion/post-accident);
    (ii) Triggering event (including date, time, and location);
    (iii) Reason(s) test could not be completed within 8 hours; and
    (iv) If blood alcohol testing could have been completed within eight 
hours, the name, address, and telephone number of the testing site where 
blood testing could have occurred.
    (3) Records of tests that could not be completed in eight hours 
shall be submitted to the FHWA at the following address: Attn.: Alcohol 
Testing program, Office of Motor Carrier Research and Standards (HCS-1), 
Federal Highway Administration, 400 Seventh Street, SW., Washington, DC 
20590.
    (4) Notwithstanding the absence of a reasonable suspicion alcohol 
test under this section, no driver shall report for duty or remain on 
duty requiring the performance of safety-sensitive functions while the 
driver is under the influence of or impaired by alcohol, as shown by the 
behavioral, speech, and performance indicators of alcohol misuse, nor 
shall an employer permit the driver to perform or continue to perform 
safety-sensitive functions, until:
    (i) An alcohol test is administered and the driver's alcohol 
concentration measures less than 0.02; or
    (ii) Twenty four hours have elapsed following the determination 
under paragraph (a) of this section that there is reasonable suspicion 
to believe that the driver has violated the prohibitions in this part 
concerning the use of alcohol.
    (5) Except as provided in paragraph (e)(2) of this section, no 
employer shall take any action under this part against a driver based 
solely on the driver's behavior and appearance, with respect to alcohol 
use, in the absence of an alcohol test. This does not prohibit an 
employer with independent authority of this part from taking any action 
otherwise consistent with law.
    (f) A written record shall be made of the observations leading to a 
controlled substance reasonable suspicion test, and signed by the 
supervisor or company official who made the observations, within 24 
hours of the observed behavior or before the results of the controlled 
substances test are released, whichever is earlier.



Sec. 382.309  Return-to-duty testing.

    (a) Each employer shall ensure that before a driver returns to duty 
requiring the performance of a safety-sensitive function after engaging 
in conduct prohibited by subpart B of this part concerning alcohol, the 
driver shall undergo a return-to-duty alcohol

[[Page 760]]

test with a result indicating an alcohol concentration of less than 
0.02.
    (b) Each employer shall ensure that before a driver returns to duty 
requiring the performance of a safety-sensitive function after engaging 
in conduct prohibited by subpart B of this part concerning controlled 
substances, the driver shall undergo a return-to-duty controlled 
substances test with a result indicating a verified negative result for 
controlled substances use.



Sec. 382.311  Follow-up testing.

    (a) Following a determination under Sec. 382.605(b) that a driver is 
in need of assistance in resolving problems associated with alcohol 
misuse and/or use of controlled substances, each employer shall ensure 
that the driver is subject to unannounced follow-up alcohol and/or 
controlled substances testing as directed by a substance abuse 
professional in accordance with the provisions of 
Sec. 382.605(c)(2)(ii).
    (b) Follow-up alcohol testing shall be conducted only when the 
driver is performing safety-sensitive functions, just before the driver 
is to perform safety-sensitive functions, or just after the driver has 
ceased performing safety-sensitive functions.



       Subpart D--Handling Of Test Results, Record Retention, and 
                             Confidentiality



Sec. 382.401  Retention of records.

    (a) General requirement. Each employer shall maintain records of its 
alcohol misuse and controlled substances use prevention programs as 
provided in this section. The records shall be maintained in a secure 
location with controlled access.
    (b) Period of retention. Each employer shall maintain the records in 
accordance with the following schedule:
    (1) Five years. The following records shall be maintained for a 
minimum of five years:
    (i) Records of driver alcohol test results indicating an alcohol 
concentration of 0.02 or greater,
    (ii) Records of driver verified positive controlled substances test 
results,
    (iii) Documentation of refusals to take required alcohol and/or 
controlled substances tests,
    (iv) Driver evaluation and referrals,
    (v) Calibration documentation,
    (vi) Records related to the administration of the alcohol and 
controlled substances testing programs, and
    (vii) A copy of each annual calendar year summary required by 
Sec. 382.403.
    (2) Two years. Records related to the alcohol and controlled 
substances collection process (except calibration of evidential breath 
testing devices).
    (3) One year. Records of negative and canceled controlled substances 
test results (as defined in part 40 of this title) and alcohol test 
results with a concentration of less than 0.02 shall be maintained for a 
minimum of one year.
    (4) Indefinite period. Records related to the education and training 
of breath alcohol technicians, screening test technicians, supervisors, 
and drivers shall be maintained by the employer while the individual 
performs the functions which require the training and for two years 
after ceasing to perform those functions.
    (c) Types of records. The following specific types of records shall 
be maintained. ``Documents generated'' are documents that may have to be 
prepared under a requirement of this part. If the record is required to 
be prepared, it must be maintained.
    (1) Records related to the collection process:
    (i) Collection logbooks, if used;
    (ii) Documents relating to the random selection process;
    (iii) Calibration documentation for evidential breath testing 
devices;
    (iv) Documentation of breath alcohol technician training;
    (v) Documents generated in connection with decisions to administer 
reasonable suspicion alcohol or controlled substances tests;
    (vi) Documents generated in connection with decisions on post-
accident tests;
    (vii) Documents verifying existence of a medical explanation of the 
inability of a driver to provide adequate breath or to provide a urine 
specimen for testing; and
    (viii) Consolidated annual calendar year summaries as required by 
Sec. 382.403.
    (2) Records related to a driver's test results:

[[Page 761]]

    (i) The employer's copy of the alcohol test form, including the 
results of the test;
    (ii) The employer's copy of the controlled substances test chain of 
custody and control form;
    (iii) Documents sent by the MRO to the employer, including those 
required by Sec. 382.407(a).
    (iv) Documents related to the refusal of any driver to submit to an 
alcohol or controlled substances test required by this part; and
    (v) Documents presented by a driver to dispute the result of an 
alcohol or controlled substances test administered under this part.
    (vi) Documents generated in connection with verifications of prior 
employers' alcohol or controlled substances test results that the 
employer:
    (A) Must obtain in connection with the exception contained in 
Sec. 382.301 of this part, and
    (B) Must obtain as required by Sec. 382.413 of this subpart.
    (3) Records related to other violations of this part.
    (4) Records related to evaluations:
    (i) Records pertaining to a determination by a substance abuse 
professional concerning a driver's need for assistance; and
    (ii) Records concerning a driver's compliance with recommendations 
of the substance abuse professional.
    (5) Records related to education and training:
    (i) Materials on alcohol misuse and controlled substance use 
awareness, including a copy of the employer's policy on alcohol misuse 
and controlled substance use;
    (ii) Documentation of compliance with the requirements of 
Sec. 382.601, including the driver's signed receipt of education 
materials;
    (iii) Documentation of training provided to supervisors for the 
purpose of qualifying the supervisors to make a determination concerning 
the need for alcohol and/or controlled substances testing based on 
reasonable suspicion;
    (iv) Documentation of training for breath alcohol technicians as 
required by Sec. 40.51(a) of this title, and
    (v) Certification that any training conducted under this part 
complies with the requirements for such training.
    (6) Administrative records related to alcohol and controlled 
substances testing:
    (i) Agreements with collection site facilities, laboratories, breath 
alcohol technicians, screening test technicians, medical review 
officers, consortia, and third party service providers;
    (ii) Names and positions of officials and their role in the 
employer's alcohol and controlled substances testing program(s);
    (iii) Quarterly laboratory statistical summaries of urinalysis 
required by Sec. 40.29(g)(6) of this title; and
    (iv) The employer's alcohol and controlled substances testing policy 
and procedures.
    (d) Location of records. All records required by this part shall be 
maintained as required by Sec. 390.31 of this subchapter and shall be 
made available for inspection at the employer's principal place of 
business within two business days after a request has been made by an 
authorized representative of the Federal Highway Administration.
    (e)(1) OMB control number. The information collection requirements 
of this part have been reviewed by the Office of Management and Budget 
pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) 
and have been assigned OMB control number 2125-0543.
    (2) The information collection requirements of this part are found 
in the following sections: Section 382.105, 382.113, 382.301, 382.303, 
382.305, 382.307, 382.309, 382.311, 382.401, 382.403, 382.405, 382.407, 
382.409, 382.411, 382.413, 382.601, 382.603, 382.605.

[61 FR 9553, Mar. 8, 1996, as amended at 62 FR 37151, July 11, 1997]



Sec. 382.403  Reporting of results in a management information system.

    (a) An employer shall prepare and maintain a summary of the results 
of its alcohol and controlled substances testing programs performed 
under this part during the previous calendar year, when requested by the 
Secretary of Transportation, any DOT agency, or any State or local 
officials with regulatory authority over the employer or any of its 
drivers.

[[Page 762]]

    (b) If an employer is notified, during the month of January, of a 
request by the Federal Highway Administration to report the employer's 
annual calendar year summary information, the employer shall prepare and 
submit the report to the Federal Highway Administration by March 15 of 
that year. The employer shall ensure that the annual summary report is 
accurate and received by March 15 at the location that the Federal 
Highway Administration specifies in its request. The report shall be in 
the form and manner prescribed by the Federal Highway Administration in 
its request. When the report is submitted to the Federal Highway 
Administration by mail or electronic transmission, the information 
requested shall be typed, except for the signature of the certifying 
official. Each employer shall ensure the accuracy and timeliness of each 
report submitted by the employer or a consortium.
    (c) Detailed summary. Each annual calendar year summary that 
contains information on a verified positive controlled substances test 
result, an alcohol screening test result of 0.02 or greater, or any 
other violation of the alcohol misuse provisions of subpart B of this 
part shall include the following informational elements:
    (1) Number of drivers subject to Part 382;
    (2) Number of drivers subject to testing under the alcohol misuse or 
controlled substances use rules of more than one DOT agency, identified 
by each agency;
    (3) Number of urine specimens collected by type of test (e.g., pre-
employment, random, reasonable suspicion, post-accident);
    (4) Number of positives verified by a MRO by type of test, and type 
of controlled substance;
    (5) Number of negative controlled substance tests verified by a MRO 
by type of test;
    (6) Number of persons denied a position as a driver following a pre-
employment verified positive controlled substances test and/or a pre-
employment alcohol test that indicates an alcohol concentration of 0.04 
or greater;
    (7) Number of drivers with tests verified positive by a medical 
review officer for multiple controlled substances;
    (8) Number of drivers who refused to submit to an alcohol or 
controlled substances test required under this subpart;
    (9)(i) Number of supervisors who have received required alcohol 
training during the reporting period; and
    (ii) Number of supervisors who have received required controlled 
substances training during the reporting period;
    (10)(i) Number of screening alcohol tests by type of test; and
    (ii) Number of confirmation alcohol tests, by type of test;
    (11) Number of confirmation alcohol tests indicating an alcohol 
concentration of 0.02 or greater but less than 0.04, by type of test;
    (12) Number of confirmation alcohol tests indicating an alcohol 
concentration of 0.04 or greater, by type of test;
    (13) Number of drivers who were returned to duty (having complied 
with the recommendations of a substance abuse professional as described 
in Secs. 382.503 and 382.605), in this reporting period, who previously:
    (i) Had a verified positive controlled substance test result, or
    (ii) Engaged in prohibited alcohol misuse under the provisions of 
this part;
    (14) Number of drivers who were administered alcohol and drug tests 
at the same time, with both a verified positive drug test result and an 
alcohol test result indicating an alcohol concentration of 0.04 or 
greater; and
    (15) Number of drivers who were found to have violated any non-
testing prohibitions of subpart B of this part, and any action taken in 
response to the violation.
    (d) Short summary. Each employer's annual calendar year summary that 
contains only negative controlled substance test results, alcohol 
screening test results of less than 0.02, and does not contain any other 
violations of subpart B of this part, may prepare and submit, as 
required by paragraph (b) of this section, either a standard report form 
containing all the information elements specified in paragraph (c) of 
this section, or an ``EZ'' report form. The ``EZ'' report shall include 
the following information elements:

[[Page 763]]

    (1) Number of drivers subject to this Part 382;
    (2) Number of drivers subject to testing under the alcohol misuse or 
controlled substance use rules of more than one DOT agency, identified 
by each agency;
    (3) Number of urine specimens collected by type of test (e.g., pre-
employment, random, reasonable suspicion, post-accident);
    (4) Number of negatives verified by a medical review officer by type 
of test;
    (5) Number of drivers who refused to submit to an alcohol or 
controlled substances test required under this subpart;
    (6)(i) Number of supervisors who have received required alcohol 
training during the reporting period; and
    (ii) Number of supervisors who have received required controlled 
substances training during the reporting period;
    (7) Number of screen alcohol tests by type of test; and
    (8) Number of drivers who were returned to duty (having complied 
with the recommendations of a substance abuse professional as described 
in Secs. 382.503 and 382.605), in this reporting period, who previously:
    (i) Had a verified positive controlled substance test result, or
    (ii) Engaged in prohibited alcohol misuse under the provisions of 
this part.
    (e) Each employer that is subject to more than one DOT agency 
alcohol or controlled substances rule shall identify each driver covered 
by the regulations of more than one DOT agency. The identification will 
be by the total number of covered functions. Prior to conducting any 
alcohol or controlled substances test on a driver subject to the rules 
of more than one DOT agency, the employer shall determine which DOT 
agency rule or rules authorizes or requires the test. The test result 
information shall be directed to the appropriate DOT agency or agencies.
    (f) A consortium may prepare annual calendar year summaries and 
reports on behalf of individual employers for purposes of compliance 
with this section. However, each employer shall sign and submit such a 
report and shall remain responsible for ensuring the accuracy and 
timeliness of each report prepared on its behalf by a consortium.



Sec. 382.405  Access to facilities and records.

    (a) Except as required by law or expressly authorized or required in 
this section, no employer shall release driver information that is 
contained in records required to be maintained under Sec. 382.401.
    (b) A driver is entitled, upon written request, to obtain copies of 
any records pertaining to the driver's use of alcohol or controlled 
substances, including any records pertaining to his or her alcohol or 
controlled substances tests. The employer shall promptly provide the 
records requested by the driver. Access to a driver's records shall not 
be contingent upon payment for records other than those specifically 
requested.
    (c) Each employer shall permit access to all facilities utilized in 
complying with the requirements of this part to the Secretary of 
Transportation, any DOT agency, or any State or local officials with 
regulatory authority over the employer or any of its drivers.
    (d) Each employer shall make available copies of all results for 
employer alcohol and/or controlled substances testing conducted under 
this part and any other information pertaining to the employer's alcohol 
misuse and/or controlled substances use prevention program, when 
requested by the Secretary of Transportation, any DOT agency, or any 
State or local officials with regulatory authority over the employer or 
any of its drivers.
    (e) When requested by the National Transportation Safety Board as 
part of an accident investigation, employers shall disclose information 
related to the employer's administration of a post-accident alcohol and/
or controlled substance test administered following the accident under 
investigation.
    (f) Records shall be made available to a subsequent employer upon 
receipt of a written request from a driver. Disclosure by the subsequent 
employer is permitted only as expressly authorized by the terms of the 
driver's request.
    (g) An employer may disclose information required to be maintained 
under this part pertaining to a driver,

[[Page 764]]

the decisionmaker in a lawsuit, grievance, or other proceeding initiated 
by or on behalf of the individual, and arising from the results of an 
alcohol and/or controlled substance test administered under this part, 
or from the employer's determination that the driver engaged in conduct 
prohibited by subpart B of this part (including, but not limited to, a 
worker's compensation, unemployment compensation, or other proceeding 
relating to a benefit sought by the driver.)
    (h) An employer shall release information regarding a driver's 
records as directed by the specific, written consent of the driver 
authorizing release of the information to an identified person. Release 
of such information by the person receiving the information is permitted 
only in accordance with the terms of the employee's consent.



Sec. 382.407  Medical review officer notifications to the employer.

    (a) The medical review officer may report to the employer using any 
communications device, but in all instances a signed, written 
notification must be forwarded within three business days of completion 
of the medical review officer's review, pursuant to part 40 of this 
title. A legible photocopy of the fourth copy of Part 40 Appendix A 
subtitled COPY 4--SEND DIRECTLY TO MEDICAL REVIEW OFFICER--DO NOT SEND 
TO LABORATORY of the Federal Custody and Control Form OMB Number 9999-
0023 may be used to make the signed, written notification to the 
employer for all test results (positive, negative, canceled, etc.), 
provided that the controlled substance(s) verified as positive, and the 
MRO's signature, shall be legibly noted in the remarks section of step 8 
of the form completed by the medical review officer. The MRO must sign 
all verified positive test results. An MRO may sign or rubber stamp 
negative test results. An MRO's staff may rubber stamp negative test 
results under written authorization of the MRO. In no event shall an 
MRO, or his/her staff, use electronic signature technology to comply 
with this section. All reports, both oral and in writing, from the 
medical review officer to an employer shall clearly include:
    (1) A statement that the controlled substances test being reported 
was in accordance with part 40 of this title and this part, except for 
legible photocopies of Copy 4 of the Federal Custody and Control Form;
    (2) The full name of the driver for whom the test results are being 
reported;
    (3) The type of test indicated on the custody and control form (i.e. 
random, post-accident, follow-up);
    (4) The date and location of the test collection;
    (5) The identities of the persons or entities performing the 
collection, analyzing the specimens, and serving as the medical review 
officer for the specific test;
    (6) The results of the controlled substances test, positive, 
negative, test canceled, or test not performed, and if positive, the 
identity of the controlled substance(s) for which the test was verified 
positive.
    (b) A medical review officer shall report to the employer that the 
medical review officer has made all reasonable efforts to contact the 
driver as provided in Sec. 40.33(c) of this title. The employer shall, 
as soon as practicable, request that the driver contact the medical 
review officer prior to dispatching the driver or within 24 hours, 
whichever is earlier.



Sec. 382.409  Medical review officer record retention for controlled substances.

    (a) A medical review officer shall maintain all dated records and 
notifications, identified by individual, for a minimum of five years for 
verified positive controlled substances test results.
    (b) A medical review officer shall maintain all dated records and 
notifications, identified by individual, for a minimum of one year for 
negative and canceled controlled substances test results.
    (c) No person may obtain the individual controlled substances test 
results retained by a medical review officer, and no medical review 
officer shall release the individual controlled substances test results 
of any driver to any person, without first obtaining a specific, written 
authorization from

[[Page 765]]

the tested driver. Nothing in this paragraph shall prohibit a medical 
review officer from releasing, to the employer or to officials of the 
Secretary of Transportation, any DOT agency, or any State or local 
officials with regulatory authority over the controlled substances 
testing program under this part, the information delineated in 
Sec. 382.407(a) of this subpart.



Sec. 382.411  Employer notifications.

    (a) An employer shall notify a driver of the results of a pre-
employment controlled substance test conducted under this part, if the 
driver requests such results within 60 calendar days of being notified 
of the disposition of the employment application. An employer shall 
notify a driver of the results of random, reasonable suspicion and post-
accident tests for controlled substances conducted under this part if 
the test results are verified positive. The employer shall also inform 
the driver which controlled substance or substances were verified as 
positive.
    (b) The designated management official shall make reasonable efforts 
to contact and request each driver who submitted a specimen under the 
employer's program, regardless of the driver's employment status, to 
contact and discuss the results of the controlled substances test with a 
medical review officer who has been unable to contact the driver.
    (c) The designated management official shall immediately notify the 
medical review officer that the driver has been notified to contact the 
medical review officer within 24 hours.



Sec. 382.413  Inquiries for alcohol and controlled substances information from previous employers.

    (a)(1) An employer shall, pursuant to the driver's written 
authorization, inquire about the following information on a driver from 
the driver's previous employers, during the preceding two years from the 
date of application, which are maintained by the driver's previous 
employers under Sec. 382.401(b)(1) (i) through (iii) of this subpart:
    (i) Alcohol tests with a result of 0.04 alcohol concentration or 
greater;
    (ii) Verified positive controlled substances test results; and
    (iii) Refusals to be tested.
    (2) The information obtained from a previous employer may contain 
any alcohol and drug information the previous employer obtained from 
other previous employers under paragraph (a)(1) of this section.
    (b) If feasible, the information in paragraph (a) of this section 
must be obtained and reviewed by the employer prior to the first time a 
driver performs safety-sensitive functions for the employer. If not 
feasible, the information must be obtained and reviewed as soon as 
possible, but no later than 14-calendar days after the first time a 
driver performs safety-sensitive functions for the employer. An employer 
may not permit a driver to perform safety-sensitive functions after 14 
days without having made a good faith effort to obtain the information 
as soon as possible. If a driver hired or used by the employer ceases 
performing safety-sensitive functions for the employer before expiration 
of the 14-day period or before the employer has obtained the information 
in paragraph (a) of this section, the employer must still make a good 
faith effort to obtain the information.
    (c) An employer must maintain a written, confidential record of the 
information obtained under paragraph (a) or (f) of this section. If, 
after making a good faith effort, an employer is unable to obtain the 
information from a previous employer, a record must be made of the 
efforts to obtain the information and retained in the driver's 
qualification file.
    (d) The prospective employer must provide to each of the driver's 
previous employers the driver's specific, written authorization for 
release of the information in paragraph (a) of this section.
    (e) The release of any information under this section may take the 
form of personal interviews, telephone interviews, letters, or any other 
method of transmitting information that ensures confidentiality.
    (f) The information in paragraph (a) of this section may be provided 
directly to the prospective employer by the driver, provided the 
employer assures itself that the information is true and accurate.

[[Page 766]]

    (g) An employer may not use a driver to perform safety-sensitive 
functions if the employer obtains information on a violation of the 
prohibitions in subpart B of this part by the driver, without obtaining 
information on subsequent compliance with the referral and 
rehabilitation requirements of Sec. 382.605 of this part.
    (h) Employers need not obtain information under paragraph (a) of 
this section generated by previous employers prior to the starting dates 
in Sec. 382.115 of this part.



 Subpart E--Consequences for Drivers Engaging in Substance Use-Related 
                                 Conduct



Sec. 382.501  Removal from safety-sensitive function.

    (a) Except as provided in subpart F of this part, no driver shall 
perform safety-sensitive functions, including driving a commercial motor 
vehicle, if the driver has engaged in conduct prohibited by subpart B of 
this part or an alcohol or controlled substances rule of another DOT 
agency.
    (b) No employer shall permit any driver to perform safety-sensitive 
functions, including driving a commercial motor vehicle, if the employer 
has determined that the driver has violated this section.
    (c) For purposes of this subpart, commercial motor vehicle means a 
commercial motor vehicle in commerce as defined in Sec. 382.107, and a 
commercial motor vehicle in interstate commerce as defined in Part 390 
of this subchapter.



Sec. 382.503  Required evaluation and testing.

    No driver who has engaged in conduct prohibited by subpart B of this 
part shall perform safety-sensitive functions, including driving a 
commercial motor vehicle, unless the driver has met the requirements of 
Sec. 382.605. No employer shall permit a driver who has engaged in 
conduct prohibited by subpart B of this part to perform safety-sensitive 
functions, including driving a commercial motor vehicle, unless the 
driver has met the requirements of Sec. 382.605.



Sec. 382.505  Other alcohol-related conduct.

    (a) No driver tested under the provisions of subpart C of this part 
who is found to have an alcohol concentration of 0.02 or greater but 
less than 0.04 shall perform or continue to perform safety-sensitive 
functions for an employer, including driving a commercial motor vehicle, 
nor shall an employer permit the driver to perform or continue to 
perform safety-sensitive functions, until the start of the driver's next 
regularly scheduled duty period, but not less than 24 hours following 
administration of the test.
    (b) Except as provided in paragraph (a) of this section, no employer 
shall take any action under this part against a driver based solely on 
test results showing an alcohol concentration less than 0.04. This does 
not prohibit an employer with authority independent of this part from 
taking any action otherwise consistent with law.



Sec. 382.507  Penalties.

    Any employer or driver who violates the requirements of this part 
shall be subject to the penalty provisions of 49 U.S.C. section 521(b).



  Subpart F--Alcohol Misuse and Controlled Substances Use Information, 
                         Training, and Referral



Sec. 382.601  Employer obligation to promulgate a policy on the misuse of alcohol and use of controlled substances.

    (a) General requirements. Each employer shall provide educational 
materials that explain the requirements of this part and the employer's 
policies and procedures with respect to meeting these requirements.
    (1) The employer shall ensure that a copy of these materials is 
distributed to each driver prior to the start of alcohol and controlled 
substances testing under this part and to each driver subsequently hired 
or transferred into a position requiring driving a commercial motor 
vehicle.

[[Page 767]]

    (2) Each employer shall provide written notice to representatives of 
employee organizations of the availability of this information.
    (b) Required content. The materials to be made available to drivers 
shall include detailed discussion of at least the following:
    (1) The identity of the person designated by the employer to answer 
driver questions about the materials;
    (2) The categories of drivers who are subject to the provisions of 
this part;
    (3) Sufficient information about the safety-sensitive functions 
performed by those drivers to make clear what period of the work day the 
driver is required to be in compliance with this part;
    (4) Specific information concerning driver conduct that is 
prohibited by this part;
    (5) The circumstances under which a driver will be tested for 
alcohol and/or controlled substances under this part, including post-
accident testing under Sec. 382.303(d);
    (6) The procedures that will be used to test for the presence of 
alcohol and controlled substances, protect the driver and the integrity 
of the testing processes, safeguard the validity of the test results, 
and ensure that those results are attributed to the correct driver, 
including post-accident information, procedures and instructions 
required by Sec. 382.303(d) of this part;
    (7) The requirement that a driver submit to alcohol and controlled 
substances tests administered in accordance with this part;
    (8) An explanation of what constitutes a refusal to submit to an 
alcohol or controlled substances test and the attendant consequences;
    (9) The consequences for drivers found to have violated subpart B of 
this part, including the requirement that the driver be removed 
immediately from safety-sensitive functions, and the procedures under 
Sec. 382.605;
    (10) The consequences for drivers found to have an alcohol 
concentration of 0.02 or greater but less than 0.04;
    (11) Information concerning the effects of alcohol and controlled 
substances use on an individual's health, work, and personal life; signs 
and symptoms of an alcohol or a controlled substances problem (the 
driver's or a coworker's); and available methods of intervening when an 
alcohol or a controlled substances problem is suspected, including 
confrontation, referral to any employee assistance program and or 
referral to management.
    (c) Optional provision. The materials supplied to drivers may also 
include information on additional employer policies with respect to the 
use of alcohol or controlled substances, including any consequences for 
a driver found to have a specified alcohol or controlled substances 
level, that are based on the employer's authority independent of this 
part. Any such additional policies or consequences must be clearly and 
obviously described as being based on independent authority.
    (d) Certificate of receipt. Each employer shall ensure that each 
driver is required to sign a statement certifying that he or she has 
received a copy of these materials described in this section. Each 
employer shall maintain the original of the signed certificate and may 
provide a copy of the certificate to the driver.



Sec. 382.603  Training for supervisors.

    Each employer shall ensure that all persons designated to supervise 
drivers receive at least 60 minutes of training on alcohol misuse and 
receive at least an additional 60 minutes of training on controlled 
substances use. The training will be used by the supervisors to 
determine whether reasonable suspicion exists to require a driver to 
undergo testing under Sec. 382.307. The training shall include the 
physical, behavioral, speech, and performance indicators of probable 
alcohol misuse and use of controlled substances.



Sec. 382.605  Referral, evaluation, and treatment.

    (a) Each driver who has engaged in conduct prohibited by subpart B 
of this part shall be advised by the employer of the resources available 
to the driver in evaluating and resolving problems associated with the 
misuse of alcohol and use of controlled substances, including the names, 
addresses, and telephone numbers of substance abuse professionals and 
counseling and treatment programs.

[[Page 768]]

    (b) Each driver who engages in conduct prohibited by subpart B of 
this part shall be evaluated by a substance abuse professional who shall 
determine what assistance, if any, the employee needs in resolving 
problems associated with alcohol misuse and controlled substances use.
    (c)(1) Before a driver returns to duty requiring the performance of 
a safety- sensitive function after engaging in conduct prohibited by 
subpart B of this part, the driver shall undergo a return-to-duty 
alcohol test with a result indicating an alcohol concentration of less 
than 0.02 if the conduct involved alcohol, or a controlled substances 
test with a verified negative result if the conduct involved a 
controlled substance.
    (2) In addition, each driver identified as needing assistance in 
resolving problems associated with alcohol misuse or controlled 
substances use,
    (i) Shall be evaluated by a substance abuse professional to 
determine that the driver has properly followed any rehabilitation 
program prescribed under paragraph (b) of this section, and
    (ii) Shall be subject to unannounced follow-up alcohol and 
controlled substances tests administered by the employer following the 
driver's return to duty. The number and frequency of such follow-up 
testing shall be as directed by the substance abuse professional, and 
consist of at least six tests in the first 12 months following the 
driver's return to duty. The employer may direct the driver to undergo 
return-to-duty and follow-up testing for both alcohol and controlled 
substances, if the substance abuse professional determines that return-
to-duty and follow-up testing for both alcohol and controlled substances 
is necessary for that particular driver. Any such testing shall be 
performed in accordance with the requirements of 49 CFR part 40. Follow-
up testing shall not exceed 60 months from the date of the driver's 
return to duty. The substance abuse professional may terminate the 
requirement for follow-up testing at any time after the first six tests 
have been administered, if the substance abuse professional determines 
that such testing is no longer necessary.
    (d) Evaluation and rehabilitation may be provided by the employer, 
by a substance abuse professional under contract with the employer, or 
by a substance abuse professional not affiliated with the employer. The 
choice of substance abuse professional and assignment of costs shall be 
made in accordance with employer/driver agreements and employer 
policies.
    (e) The employer shall ensure that a substance abuse professional 
who determines that a driver requires assistance in resolving problems 
with alcohol misuse or controlled substances use does not refer the 
driver to the substance abuse professional's private practice or to a 
person or organization from which the substance abuse professional 
receives remuneration or in which the substance abuse professional has a 
financial interest. This paragraph does not prohibit a substance abuse 
professional from referring a driver for assistance provided through--
    (1) A public agency, such as a State, county, or municipality;
    (2) The employer or a person under contract to provide treatment for 
alcohol or controlled substance problems on behalf of the employer;
    (3) The sole source of therapeutically appropriate treatment under 
the driver's health insurance program; or
    (4) The sole source of therapeutically appropriate treatment 
reasonably accessible to the driver.
    (f) The requirements of this section with respect to referral, 
evaluation and rehabilitation do not apply to applicants who refuse to 
submit to a pre-employment alcohol or controlled substances test or who 
have a pre-employment alcohol test with a result indicating an alcohol 
concentration of 0.04 or greater or a controlled substances test with a 
verified positive test result.



PART 383--COMMERCIAL DRIVER'S LICENSE STANDARDS; REQUIREMENTS AND PENALTIES--Table of Contents




                           Subpart A--General

Sec.
383.1  Purpose and scope.
383.3  Applicability.
383.5  Definitions.
383.7  [Reserved]

[[Page 769]]

                  Subpart B--Single License Requirement

383.21  Number of drivers' licenses.
383.23  Commercial driver's license.

   Subpart C--Notification Requirements and Employer Responsibilities

383.31  Notification of convictions for driver violations.
383.33  Notification of driver's license suspensions.
383.35  Notification of previous employment.
383.37  Employer responsibilities.

            Subpart D--Driver Disqualifications and Penalties

383.51  Disqualification of drivers.
383.53  Penalties.

               Subpart E--Testing and Licensing Procedures

383.71  Driver application procedures.
383.72  Implied consent to alcohol testing.
383.73  State procedures.
383.75  Third party testing.
383.77  Substitute for driving skills tests.

               Subpart F--Vehicle Groups and Endorsements

383.91  Commercial motor vehicle groups.
383.93  Endorsements.
383.95  Air brake restrictions.

                Subpart G--Required Knowledge and Skills

383.110  General requirement.
383.111  Required knowledge.
383.113  Required skills.
383.115  Requirements for double/triple trailers endorsement.
383.117  Requirements for passenger endorsement.
383.119  Requirements for tank vehicle endorsement.
383.121  Requirements for hazardous materials endorsement.

Appendix to Subpart G--Required Knowledge and Skills--Sample Guidelines

                            Subpart H--Tests

383.131  Test procedures.
383.133  Testing methods.
383.135  Minimum passing scores.

Subpart I  [Reserved]

             Subpart J--Commercial Driver's License Document

383.151  General.
383.153  Information on the document and application.
383.155  Tamperproofing requirements.

    Authority: 49 U.S.C. 31136, 31301 et seq., and 31502; and 49 CFR 
1.48.

    Source: 52 FR 20587, June 1, 1987, unless otherwise noted.



                           Subpart A--General



Sec. 383.1  Purpose and scope.

    (a) The purpose of this part is to help reduce or prevent truck and 
bus accidents, fatalities, and injuries by requiring drivers to have a 
single commercial motor vehicle driver's license and by disqualifying 
drivers who operate commercial motor vehicles in an unsafe manner.
    (b) This part:
    (1) Prohibits a commercial motor vehicle driver from having more 
than one commercial motor vehicle driver's license;
    (2) Requires a driver to notify the driver's current employer and 
the driver's State of domicile of certain convictions;
    (3) Requires that a driver provide previous employment information 
when applying for employment as an operator of a commercial motor 
vehicle;
    (4) Prohibits an employer from allowing a person with a suspended 
license to operate a commercial motor vehicle;
    (5) Establishes periods of disqualification and penalties for those 
persons convicted of certain criminal and other offenses and serious 
traffic violations, or subject to any suspensions, revocations, or 
cancellations of certain driving privileges;
    (6) Establishes testing and licensing requirements for commercial 
motor vehicle operators;
    (7) Requires States to give knowledge and skills tests to all 
qualified applicants for commercial drivers' licenses which meet the 
Federal standard;
    (8) Sets forth commercial motor vehicle groups and endorsements;
    (9) Sets forth the knowledge and skills test requirements for the 
motor vehicle groups and endorsements;
    (10) Sets forth the Federal standards for procedures, methods, and 
minimum passing scores for States and others to use in testing and 
licensing commercial motor vehicle operators; and

[[Page 770]]

    (11) Establishes requirements for the State issued commercial 
license documentation.

[52 FR 20587, June 1, 1987, as amended at 53 FR 27648, July 21, 1988; 54 
FR 40787, Oct. 3, 1989]



Sec. 383.3  Applicability.

    (a) The rules in this part apply to every person who operates a 
commercial motor vehicle (CMV) in interstate, foreign, or intrastate 
commerce, to all employers of such persons, and to all States.
    (b) The exceptions contained in Sec. 390.3(f) of this subchapter do 
not apply to this part. The employers and drivers identified in 
Sec. 390.3(f) must comply with the requirements of this part, unless 
otherwise provided in this section.
    (c) Exception for certain military drivers. Each State must exempt 
from the requirements of this part individuals who operate CMVs for 
military purposes. This exception is applicable to active duty military 
personnel; members of the military reserves; member of the national 
guard on active duty, including personnel on full-time national guard 
duty, personnel on part-time national guard training, and national guard 
military technicians (civilians who are required to wear military 
uniforms); and active duty U.S. Coast Guard personnel. This exception is 
not applicable to U.S. Reserve technicians.
    (d) Exception for farmers, firefighters, emergency response vehicle 
drivers, and drivers removing snow and ice. A State may, at its 
discretion, exempt individuals identified in paragraphs (d)(1), (d)(2), 
and (d)(3) of this section from the requirements of this part. The use 
of this waiver is limited to the driver's home State unless there is a 
reciprocity agreement with adjoining States.
    (1) Operators of a farm vehicle which is:
    (i) Controlled and operated by a farmer, including operation by 
employees or family members;
    (ii) Used to transport either agricultural products, farm machinery, 
farm supplies, or both to or from a farm;
    (iii) Not used in the operations of a common or contract motor 
carrier; and
    (iv) Used within 241 kilometers (150 miles) of the farmer's farm.
    (2) Firefighters and other persons who operate CMVs which are 
necessary to the preservation of life or property or the execution of 
emergency governmental functions, are equipped with audible and visual 
signals and are not subject to normal traffic regulation. These vehicles 
include fire trucks, hook and ladder trucks, foam or water transport 
trucks, police SWAT team vehicles, ambulances, or other vehicles that 
are used in response to emergencies.
    (3)(i) A driver, employed by an eligible unit of local government, 
operating a commercial motor vehicle within the boundaries of that unit 
for the purpose of removing snow or ice from a roadway by plowing, 
sanding, or salting, if
    (A) The properly licensed employee who ordinarily operates a 
commercial motor vehicle for these purposes is unable to operate the 
vehicle; or
    (B) The employing governmental entity determines that a snow or ice 
emergency exists that requires additional assistance.
    (ii) This exemption shall not preempt State laws and regulations 
concerning the safe operation of commercial motor vehicles.
    (e) Restricted commercial drivers license (CDL) for certain drivers 
in the State of Alaska. (1) The State of Alaska may, at its discretion, 
waive only the following requirements of this part and issue a CDL to 
each driver that meets the conditions set forth in paragraphs (e) (2) 
and (3) of this section:
    (i) The knowledge tests standards for testing procedures and methods 
of subpart H, but must continue to administer knowledge tests that 
fulfill the content requirements of subpart G for all applicants;
    (ii) All the skills test requirements; and
    (iii) The requirement under Sec. 383.153(a)(4) to have a photograph 
on the license document.
    (2) Drivers of CMVs in the State of Alaska must operate exclusively 
over roads that meet both of the following criteria to be eligible for 
the exception in paragraph (e)(1) of this section:
    (i) Such roads are not connected by land highway or vehicular way to 
the

[[Page 771]]

land-connected State highway system; and
    (ii) Such roads are not connected to any highway or vehicular way 
with an average daily traffic volume greater than 499.
    (3) Any CDL issued under the terms of this paragraph must carry two 
restrictions:
    (i) Holders may not operate CMVs over roads other than those 
specified in paragraph (e)(2) of this section; and
    (ii) The license is not valid for CMV operation outside the State of 
Alaska.
    (f) Restricted CDL for certain drivers in farm-related service 
industries. (1) A State may, at its discretion, waive the required 
knowledge and skills tests of subpart H of this part and issue 
restricted CDLs to employees of these designated farm-related service 
industries:
    (i) Agri-chemical businesses;
    (ii) Custom harvesters;
    (iii) Farm retail outlets and suppliers;
    (iv) Livestock feeders.
    (2) A restricted CDL issued pursuant to this paragraph shall meet 
all the requirements of this part, except subpart H of this part. A 
restricted CDL issued pursuant to this paragraph shall be accorded the 
same reciprocity as a CDL meeting all of the requirements of this part. 
The restrictions imposed upon the issuance of this restricted CDL shall 
not limit a person's use of the CDL in a non-CMV during either validated 
or non-validated periods, nor shall the CDL affect a State's power to 
administer its driver licensing program for operators of vehicles other 
than CMVs.
    (3) A State issuing a CDL under the terms of this paragraph must 
restrict issuance as follows:
    (i) Applicants must have a good driving record as defined in this 
paragraph. Drivers who have not held any motor vehicle operator's 
license for at least one year shall not be eligible for this CDL. 
Drivers who have between one and two years of driving experience must 
demonstrate a good driving record for their entire driving history. 
Drivers with more than two years of driving experience must have a good 
driving record for the two most recent years. For the purposes of this 
paragraph, the term good driving record means that an applicant:
    (A) Has not had more than one license (except in the instances 
specified in Sec. 383.21(b));
    (B) Has not had any license suspended, revoked, or canceled;
    (C) Has not had any conviction for any type of motor vehicle for the 
disqualifying offenses contained in Sec. 383.51(b)(2);
    (D) Has not had any conviction for any type of motor vehicle for 
serious traffic violations; and
    (E) Has not had any conviction for a violation of State or local law 
relating to motor vehicle traffic control (other than a parking 
violation) arising in connection with any traffic accident, and has no 
record of an accident in which he/she was at fault.
    (ii) Restricted CDLs shall have the same renewal cycle as 
unrestricted CDLs, but shall be limited to the seasonal period or 
periods as defined by the State of licensure, provided that the total 
number of calendar days in any 12-month period for which the restricted 
CDL is valid does not exceed 180. If a State elects to provide for more 
than one seasonal period, the restricted CDL is valid for commercial 
motor vehicle operation only during the currently approved season, and 
must be revalidated for each successive season. Only one seasonal period 
of validity may appear on the license document at a time. The good 
driving record must be confirmed prior to any renewal or revalidation.
    (iii) Restricted CDL holders are limited to operating Group B and C 
vehicles, as described in subpart F of this part.
    (iv) Restricted CDLs shall not be issued with any endorsements on 
the license document. Only the limited tank vehicle and hazardous 
materials endorsement privileges that the restricted CDL automatically 
confers and are described in paragraph (f)(3)(v) of this section are 
permitted.
    (v) Restricted CDL holders may not drive vehicles carrying any 
placardable quantities of hazardous materials, except for diesel fuel in 
quantities of 3,785 liters (1,000 gallons) or less; liquid fertilizers 
(i.e., plant nutrients) in vehicles or implements of husbandry in

[[Page 772]]

total quantities of 11,355 liters (3,000 gallons) or less; and solid 
fertilizers (i.e., solid plant nutrients) that are not transported with 
any organic substance.
    (vi) Restricted CDL holders may not hold an unrestricted CDL at the 
same time.
    (vii) Restricted CDL holders may not operate a commercial motor 
vehicle beyond 241 kilometers (150 miles) from the place of business or 
the farm currently being served.
    (g) Restricted CDL for certain drivers in the pyrotechnic industry. 
(1) A State may, at its discretion, waive the required hazardous 
materials knowledge tests of subpart H of this part and issue restricted 
CDLs to part-time drivers operating commercial motor vehicles 
transporting less than 227 kilograms (500 pounds) of fireworks 
classified as DOT Class 1.3G explosives.
    (2) A State issuing a CDL under the terms of this paragraph must 
restrict issuance as follows:
    (i) The GVWR of the vehicle to be operated must be less than 4,537 
kilograms (10,001 pounds);
    (ii) If a State believes, at its discretion, that the training 
required by Sec. 172.704 of this title adequately prepares part-time 
drivers meeting the other requirements of this paragraph to deal with 
fireworks and the other potential dangers posed by fireworks 
transportation and use, the State may waive the hazardous materials 
knowledge tests of subpart H of this part. The State may impose any 
requirements it believes is necessary to ensure itself that a driver is 
properly trained pursuant to Sec. 172.704 of this title.
    (iii) A restricted CDL document issued pursuant to this paragraph 
shall have a statement clearly imprinted on the face of the document 
that is substantially similar as follows: ``For use as a CDL only during 
the period from June 30 through July 6 for purposes of transporting less 
than 227 kilograms (500 pounds) of fireworks classified as DOT Class 
1.3G explosives in a vehicle with a GVWR of less than 4,537 kilograms 
(10,001 pounds).
    (3) A restricted CDL issued pursuant to this paragraph shall meet 
all the requirements of this part, except those specifically identified. 
A restricted CDL issued pursuant to this paragraph shall be accorded the 
same reciprocity as a CDL meeting all of the requirements of this part. 
The restrictions imposed upon the issuance of this restricted CDL shall 
not limit a person's use of the CDL in a non-CMV during either validated 
or non-validated periods, nor shall the CDL affect a State's power to 
administer its driver licensing program for operators of vehicles other 
than CMVs.
    (4) Restricted CDLs shall have the same renewal cycle as 
unrestricted CDLs, but shall be limited to the seasonal period of June 
30 through July 6 of each year or a lesser period as defined by the 
State of licensure.
    (5) Persons who operate commercial motor vehicles during the period 
from July 7 through June 29 for purposes of transporting less than 227 
kilograms (500 pounds) of fireworks classified as DOT Class 1.3G 
explosives in a vehicle with a GVWR of less than 4,537 kilograms (10,001 
pounds) and who also operate such vehicles for the same purposes during 
the period June 30 through July 6 shall not be issued a restricted CDL 
pursuant to this paragraph.

[61 FR 9564, Mar. 8, 1996, as amended at 61 FR 14679, Apr. 3, 1996; 62 
FR 1296, Jan. 9, 1997]



Sec. 383.5  Definitions.

    As used in this part:
    Administrator means the Federal Highway Administrator, the chief 
executive of the Federal Highway Administration, an agency within the 
Department of Transportation.
    Alcohol or alcoholic beverage means: (a) Beer as defined in 26 
U.S.C. 5052(a), of the Internal Revenue Code of 1954, (b) wine of not 
less than one-half of one per centum of alcohol by volume, or (c) 
distilled spirits as defined in section 5002(a)(8), of such Code.
    Alcohol concentration (AC) means the concentration of alcohol in a 
person's blood or breath. When expressed as a percentage it means grams 
of alcohol per 100 milliliters of blood or grams of alcohol per 210 
liters of breath.
    Commerce means (a) any trade, traffic or transportation within the 
jurisdiction of the United States between a place in a State and a place 
outside of such State, including a place outside of

[[Page 773]]

the United States and (b) trade, traffic, and transportation in the 
United States which affects any trade, traffic, and transportation 
described in paragraph (a) of this definition.
    Commercial driver's license (CDL) means a license issued by a State 
or other jurisdiction, in accordance with the standards contained in 49 
CFR part 383, to an individual which authorizes the individual to 
operate a class of a commercial motor vehicle.
    Commercial driver's license information system (CDLIS) means the 
CDLIS established by FHWA pursuant to section 12007 of the Commercial 
Motor Vehicle Safety Act of 1986.
    Commercial motor vehicle (CMV) means a motor vehicle or combination 
of motor vehicles used in commerce to transport passengers or property 
if the motor vehicle--
    (a) Has a gross combination weight rating of 11,794 kilograms or 
more (26,001 pounds or more) inclusive of a towed unit with a gross 
vehicle weight rating of more than 4,536 kilograms (10,000 pounds); or
    (b) Has a gross vehicle weight rating of 11,794 or more kilograms 
(26,001 pounds or more); or
    (c) Is designed to transport 16 or more passengers, including the 
driver; or
    (d) Is of any size and is used in the transportation of materials 
found to be hazardous for the purposes of the Hazardous Materials 
Transportation Act and which require the motor vehicle to be placarded 
under the Hazardous Materials Regulations (49 CFR part 172, subpart F).
    Controlled substance has the meaning such term has under 21 U.S.C. 
802(6) and includes all substances listed on schedules I through V of 21 
CFR 1308 (Secs. 1308.11 through 1308.15), as they may be amended by the 
United States Department of Justice.
    Conviction means an unvacated adjudication of guilt, or a 
determination that a person has violated or failed to comply with the 
law in a court of original jurisdiction or by an authorized 
administrative tribunal, an unvacated forfeiture of bail or collateral 
deposited to secure the person's appearance in court, a plea of guilty 
or nolo contendere accepted by the court, the payment of a fine or court 
cost, or violation of a condition of release without bail, regardless of 
whether or not the penalty is rebated, suspended, or probated.''
    Disqualification means either:
    (a) The suspension, revocation, cancellation, or any other 
withdrawal by a State of a person's privileges to drive a commercial 
motor vehicle; or
    (b) A determination by the FHWA, under the rules of practice for 
motor carrier safety contained in part 386 of this title, that a person 
is no longer qualified to operate a commercial motor vehicle under part 
391; or
    (c) The loss of qualification which automatically follows conviction 
of an offense listed in Sec. 383.51.
    Driver applicant means an individual who applies to a State to 
obtain, transfer, upgrade, or renew a CDL.
    Driver's license means a license issued by a State or other 
jurisdiction, to an individual which authorizes the individual to 
operate a motor vehicle on the highways.
    Driving a commercial motor vehicle while under the influence of 
alcohol means committing any one or more of the following acts in a CMV: 
driving a CMV while the person's alcohol concentration is 0.04 percent 
or more; driving under the influence of alcohol, as prescribed by State 
law; or refusal to undergo such testing as is required by any State or 
jurisdiction in the enforcement of Sec. 383.51(b)(2)(i)(A) or (B), or 
Sec. 392.5(a)(2).
    Eligible unit of local government means a city, town, borough, 
county, parish, district, or other public body created by or pursuant to 
State law which has a total population of 3,000 individuals or less.
    Employee means any operator of a commercial motor vehicle, including 
full time, regularly employed drivers; casual, intermittent or 
occasional drivers; leased drivers and independent, owner-operator 
contractors (while in the course of operating a commercial motor 
vehicle) who are either directly employed by or under lease to an 
employer.
    Employer means any person (including the United States, a State, 
District of Columbia or a political subdivision

[[Page 774]]

of a State) who owns or leases a commercial motor vehicle or assigns 
employees to operate such a vehicle.
    Endorsement means an authorization to an individual's CDL required 
to permit the individual to operate certain types of commercial motor 
vehicles.
    Felony means an offense under State or Federal law that is 
punishable by death or imprisonment for a term exceeding 1 year.
    Foreign means outside the fifty United States and the District of 
Columbia.
    Gross combination weight rating (GCWR) means the value specified by 
the manufacturer as the loaded weight of a combination (articulated) 
vehicle. In the absence of a value specified by the manufacturer, GCWR 
will be determined by adding the GVWR of the power unit and the total 
weight of the towed unit and any load thereon.
    Gross vehicle weight rating (GVWR) means the value specified by the 
manufacturer as the loaded weight of a single vehicle.
    Hazardous materials has the meaning such term has under section 103 
of the Hazardous Materials Transportation Act.
    Motor vehicle means a vehicle, machine, tractor, trailer, or 
semitrailer propelled or drawn by mechanical power used on highways, 
except that such term does not include a vehicle, machine, tractor, 
trailer, semitrailer operated exclusively on a rail.
    Nonresident CDL means a CDL issued by a State to an individual 
domiciled in a foreign country.
    Out-of-service order means a declaration by an authorized 
enforcement officer of a Federal, State, Canadian, Mexican, or local 
jurisdiction that a driver, a commercial motor vehicle, or a motor 
carrier operation, is out-of-service pursuant to Secs. 386.72, 392.5, 
395.13, 396.9, or compatible laws, or the North American Uniform Out-of-
Service Criteria.
    Representative vehicle means a motor vehicle which represents the 
type of motor vehicle that a driver applicant operates or expects to 
operate.
    Serious traffic violation means conviction, when operating a 
commercial motor vehicle, of:
    (a) Excessive speeding, involving any single offense for any speed 
of 15 miles per hour or more above the posted speed limit;
    (b) Reckless driving, as defined by State or local law or 
regulation, including but not limited to offenses of driving a 
commercial motor vehicle in willful or wanton disregard for the safety 
of persons or property;
    (c) Improper or erratic traffic lane changes;
    (d) Following the vehicle ahead too closely; or
    (e) A violation, arising in connection with a fatal accident, of 
State or local law relating to motor vehicle traffic control (other than 
a parking violation). (Serious traffic violations exclude vehicle weight 
and defect violations.)
    State means a State of the United States and the District of 
Columbia.
    State of domicile means that State where a person has his/her true, 
fixed, and permanent home and principal residence and to which he/she 
has the intention of returning whenever he/she is absent.
    Tank vehicle means any commercial motor vehicle that is designed to 
transport any liquid or gaseous materials within a tank that is either 
permanently or temporarily attached to the vehicle or the chassis. Such 
vehicles include, but are not limited to, cargo tanks and portable 
tanks, as defined in part 171 of this title. However, this definition 
does not include portable tanks having a rated capacity under 1,000 
gallons.
    United States the term United States means the 50 States and the 
District of Columbia.
    Vehicle means a motor vehicle unless otherwise specified.
    Vehicle group means a class or type of vehicle with certain 
operating characteristics.

[52 FR 20587, June 1, 1987, as amended at 53 FR 27648, July 21, 1988; 53 
FR 39050, Oct. 4, 1988; 54 FR 40787, Oct. 3, 1989; 59 FR 26028, May 18, 
1994; 61 FR 9566, Mar. 8, 1996; 61 FR 14679, Apr. 3, 1996; 62 FR 37151, 
July 11, 1997]

[[Page 775]]



Sec. 383.7  [Reserved]



                  Subpart B--Single License Requirement



Sec. 383.21  Number of drivers' licenses.

    No person who operates a commercial motor vehicle shall at any time 
have more than one driver's license.

[64 FR 48110, Sept. 2, 1999]

    Effective Date Note: At 64 FR 48110, Sept. 2, 1999, Sec. 383.21 was 
revised, effective Oct. 4, 1999. For the convenience of the user, the 
superseded text is set forth as follows:

Sec. 383.21  Number of drivers' licenses.

    (a) No person who operates a commercial motor vehicle shall at any 
time have more than one driver's license.
    (b) Exception:
    (1) During the 10-day period beginning on the date such person is 
issued a driver's license, a person may hold more than one driver's 
license.
    (2) A person may have more than one driver's license if a State law 
enacted before June 1, 1986, required the person to have more than one 
driver's license. After December 31, 1989, this exception shall not 
apply.



Sec. 383.23  Commercial driver's license.

    (a) General rule. (1) Effective April 1, 1992, no person shall 
operate a commercial motor vehicle unless such person has taken and 
passed written and driving tests which meet the Federal standards 
contained in subparts F, G, and H of this part for the commercial motor 
vehicle that person operates or expects to operate.
    (2) Effective April 1, 1992, except as provided in paragraph (b) of 
this section, no person shall operate a commercial motor vehicle unless 
such person possesses a CDL which meets the standards contained in 
subpart J of this part, issued by his/her State or jurisdiction of 
domicile.
    (b) Exception. If a commercial motor vehicle operator is domiciled 
in a foreign jurisdiction which, as determined by the Administrator, 
does not test drivers and issue a CDL in accordance with, or similar to, 
the standards contained in subparts F, G, and H of this part, the person 
shall obtain a Nonresident CDL from a State which does comply with the 
testing and licensing standards contained in such subparts F, G, and H. 
\1\
---------------------------------------------------------------------------

    \1\ Effective December 29, 1988, the Administrator determined that 
commercial drivers' licensees issued by Canadian Provinces and 
Territories in conformity with the Canadian National Safety Code are in 
accordance with the standards of this part. Effective November 21, 1991, 
the Administrator determined that the new Licencias Federales de 
Conductor issued by the United Mexican States are in accordance with the 
standards of this part. Therefore, under the single license provision of 
Sec. 383.21, a driver holding a commercial driver's license issued under 
the Canadian National Safety Code or a new Licencia Federal de Conductor 
issued by Mexico is prohibited from obtaining nonresident CDL, or any 
other type of driver's license, from a State or other jurisdiction in 
the United States.
---------------------------------------------------------------------------

    (c) Learner's permit. State learner's permits, issued for limited 
time periods according to State requirements, shall be considered valid 
commercial drivers' licenses for purposes of behind-the-wheel training 
on public roads or highways, if the following minimum conditions are 
met:
    (1) The learner's permit holder is at all time accompanied by the 
holder of a valid CDL; and
    (2) He/she either holds a valid automobile driver's license, or has 
passed such vision, sign/symbol, and knowledge tests as the State 
issuing the learner's permit ordinarily administers to applicants for 
automobile drivers' licenses.

[53 FR 27649, July 21, 1988, as amended at 54 FR 22285, May 23, 1989; 57 
FR 31457, July 16, 1992]



   Subpart C--Notification Requirements and Employer Responsibilities



Sec. 383.31  Notification of convictions for driver violations.

    (a) Each person who operates a commercial motor vehicle, who has a 
commercial driver's license issued by a State or jurisdiction, and who 
is convicted of violating, in any type of motor vehicle, a State or 
local law relating to motor vehicle traffic control (other than a 
parking violation) in a State or jurisdiction other than the one which 
issued his/her license, shall

[[Page 776]]

notify an official designated by the State or jurisdiction which issued 
such license, of such conviction. The notification must be made within 
30 days after the date that the person has been convicted.
    (b) Each person who operates a commercial motor vehicle, who has a 
commercial driver's license issued by a State or jurisdiction, and who 
is convicted of violating, in any type of motor vehicle, a State or 
local law relating to motor vehicle traffic control (other than a 
parking violation), shall notify his/her current employer of such 
conviction. The notification must be made within 30 days after the date 
that the person has been convicted. If the driver is not currently 
employed, he/she must notify the State or jurisdiction which issued the 
license according to Sec. 383.31(a).
    (c) Notification. The notification to the State official and 
employer must be made in writing and contain the following information:
    (1) Driver's full name;
    (2) Driver's license number;
    (3) Date of conviction;
    (4) The specific criminal or other offense(s), serious traffic 
violation(s), and other violation(s) of State or local law relating to 
motor vehicle traffic control, for which the person was convicted and 
any suspension, revocation, or cancellation of certain driving 
privileges which resulted from such conviction(s);
    (5) Indication whether the violation was in a commercial motor 
vehicle;
    (6) Location of offense; and
    (7) Driver's signature.

[52 FR 20587, June 1, 1987, as amended at 54 FR 40787, Oct. 3, 1989]



Sec. 383.33  Notification of driver's license suspensions.

    Each employee who has a driver's license suspended, revoked, or 
canceled by a State or jurisdiction, who loses the right to operate a 
commercial motor vehicle in a State or jurisdiction for any period, or 
who is disqualified from operating a commercial motor vehicle for any 
period, shall notify his/her current employer of such suspension, 
revocation, cancellation, lost privilege, or disqualification. The 
notification must be made before the end of the business day following 
the day the employee received notice of the suspension, revocation, 
cancellation, lost privilege, or disqualification.

[54 FR 40788, Oct. 3, 1989]



Sec. 383.35  Notification of previous employment.

    (a) Any person applying for employment as an operator of a 
commercial motor vehicle shall provide at the time of application for 
employment, the information specified in paragraph (c) of this section.
    (b) All employers shall request the information specified in 
paragraph (c) of this section from all persons applying for employment 
as a commercial motor vehicle operator. The request shall be made at the 
time of application for employment.
    (c) The following employment history information for the 10 years 
preceding the date the application is submitted shall be presented to 
the prospective employer by the applicant:
    (1) A list of the names and addresses of the applicant's previous 
employers for which the applicant was an operator of a commercial motor 
vehicle;
    (2) The dates the applicant was employed by these employers; and
    (3) The reason for leaving such employment.
    (d) The applicant shall certify that all information furnished is 
true and complete.
    (e) An employer may require an applicant to provide additional 
information.
    (f) Before an application is submitted, the employer shall inform 
the applicant that the information he/she provides in accordance with 
paragraph (c) of this section may be used, and the applicant's previous 
employers may be contacted for the purpose of investigating the 
applicant's work history.



Sec. 383.37  Employer responsibilities.

    No employer may knowingly allow, require, permit, or authorize a 
driver to operate a CMV in the United States:
    (a) During any period in which the driver has a CMV driver's license 
suspended, revoked, or canceled by a State, has lost the right to 
operate a CMV in a State, or has been disqualified from operating a CMV;

[[Page 777]]

    (b) During any period in which the driver has more than one CMV 
driver's license;
    (c) During any period in which the driver, or the CMV he or she is 
driving, or the motor carrier operation, is subject to an out-of-service 
order; or
    (d) In violation of a Federal, State, or local law or regulation 
pertaining to railroad-highway grade crossings.

[64 FR 48110, Sept. 2, 1999]

    Effective Date Note: At 64 FR 48110, Sept. 2, 1999, Sec. 383.37 was 
revised, effective Oct. 4, 1999. For the convenience of the user, the 
superseded text is set forth as follows:

Sec. 383.37  Employer responsibilities.

    No employer shall knowingly allow, require, permit, or authorize an 
employee to operate a commercial motor vehicle in the United States 
during any period--
    (a) In which the employee has a commercial motor vehicle driver's 
license suspended, revoked, or canceled by a State, has lost the right 
to operate a commercial motor vehicle in a State, or has been 
disqualified from operating a commercial motor vehicle;
    (b) In which the employee has more than one commercial motor vehicle 
driver's license, except during the 10-day period beginning on the date 
such employee is issued a driver's license and except, whenever a State 
law enacted on or before June 1, 1986, requires such employee to have 
more than one driver's license. The second exception shall not be 
effective after December 31, 1989; or
    (c) In which the employee, or the motor vehicle he/she is driving, 
or the motor carrier operation, is subject to an out-of-service order.

[52 FR 20587, June 1, 1987; 52 FR 32926, Sept. 1, 1987, as amended at 59 
FR 26028, May 18, 1994]



            Subpart D--Driver Disqualifications and Penalties



Sec. 383.51  Disqualification of drivers.

    (a) General. A driver who is disqualified shall not drive a 
commercial motor vehicle. An employer shall not knowingly allow, 
require, permit, or authorize a driver who is disqualified to drive a 
commercial motor vehicle.
    (b) Disqualification for driving while under the influence, leaving 
the scene of an accident, or commission of a felony.
    (1) General rule. A driver who is convicted of a disqualifying 
offense specified in paragraph (b)(2) of this section, is disqualified 
for the period of time specified in paragraph (b)(3) of this section, if 
the offense was committed while operating a commercial motor vehicle.
    (2) Disqualifying offenses. The following offenses are disqualifying 
offenses:
    (i) Driving a commercial motor vehicle while under the influence of 
alcohol. This shall include:
    (A) Driving a commercial motor vehicle while the person's alcohol 
concentration is 0.04 percent or more; or
    (B) Driving under the influence of alcohol, as prescribed by State 
law; or
    (C) Refusal to undergo such testing as is required by any State or 
jurisdiction in the enforcement of Sec. 383.51(b)(2)(i)(A) or (B), or 
Sec. 392.5(a)(2).
    (ii) Driving a commercial motor vehicle while under the influence of 
a controlled substance as defined by Sec. 383.5 of this part.
    (iii) Leaving the scene of an accident involving a commercial motor 
vehicle;
    (iv) A felony involving the use of a commercial motor vehicle, other 
than a felony described in paragraph (b)(2)(v) of this section; or
    (v) The use of a commercial motor vehicle in the commission of a 
felony involving manufacturing, distributing, or dispensing a controlled 
substance as defined by Sec. 383.5 of this part.
    (3) Duration of disqualification for driving while under the 
influence, leaving the scene of an accident, or commission of a felony--
(i) First offenders. A driver who is convicted of an offense described 
in paragraphs (b)(2)(i) through (b)(2)(iv) of this section, is 
disqualified for a period of one year provided the vehicle was not 
transporting hazardous materials required to be placarded under the 
Hazardous Materials Transportation Act (49 U.S.C. 5101 et seq.).
    (ii) First offenders transporting hazardous materials. A driver who 
is convicted of an offense described in paragraphs (b)(2)(i) through 
(b)(2)(iv) of this section, is disqualified for a period of three years 
if the vehicle was transporting hazardous materials required to be 
placarded under the Hazardous Materials Transportation Act (49 U.S.C. 
5101 et seq.).

[[Page 778]]

    (iii) First offenders of controlled substance felonies. A driver who 
is convicted of an offense described in paragraph (b)(2)(v) of this 
section, is disqualified for life.
    (iv) Subsequent offenders. A driver who is convicted of an offense 
described in paragraphs (b)(2)(i) through (b)(2)(iv) of this section, is 
disqualified for life if the driver had been convicted once before in a 
separate incident of any offense described in paragraphs (b)(2)(i) 
through (b)(2)(iv) of this section.
    (v) Any driver disqualified for life under Sec. 383.51(b)(3)(iv) of 
this paragraph, who has both voluntarily enrolled in and successfully 
completed, an appropriate rehabilitation program which meets the 
standards of his/her State's driver licensing agency, may apply to the 
licensing agency for reinstatement of his/her commercial driver's 
license. Such applicants shall not be eligible for reinstatement from 
the State unless and until such time as he/she has first served a 
minimum disqualification period of 10 years and has fully met the 
licensing State's standards for reinstatement of commercial motor 
vehicle driving privileges. Should a reinstated driver be subsequently 
convicted of another disqualifying offense, as specified in paragraphs 
(b)(2)(i) through (b)(2)(iv) of this section, he/she shall be 
permanently disqualified for life, and shall be ineligible to again 
apply for a reduction of the lifetime disqualification.
    (c) Disqualification for serious traffic violations--(1) General 
rule. A driver who is convicted of serious traffic violations is 
disqualified for the period of time specified in paragraph (c)(2) of 
this section, if the offenses were committed while operating a 
commercial motor vehicle.
    (2) Duration of disqualification for serious traffic violations--(i) 
Second violation. A driver who, during any 3-year period, is convicted 
of two serious traffic violations in separate incidents, is disqualified 
for a period of 60 days.
    (ii) Third violation. A driver who, during any 3-year period, is 
convicted of three serious traffic violations in separate incidents, is 
disqualified for a period of 120 days.
    (d) Disqualification for violation of out-of-service orders--(1) 
General rule. A driver who is convicted of violating an out-of-service 
order while driving a commercial motor vehicle is disqualified for the 
period of time specified in paragraph (d)(2) of this section. In 
addition, such driver is subject to special penalties as contained in 
Sec. 383.53(b).
    (2) Duration of disqualification for violation of out-of-service 
orders--(i) First violation. A driver is disqualified for not less than 
90 days nor more than one year if the driver is convicted of a first 
violation of an out-of-service order.
    (ii) Second violation. A driver is disqualified for not less than 
one year nor more than five years if, during any 10-year period, the 
driver is convicted of two violations of out-of-service orders in 
separate incidents.
    (iii) Third or subsequent violation. A driver is disqualified for 
not less than three years nor more than five years if, during any 10-
year period, the driver is convicted of three or more violations of out-
of-service orders in separate incidents.
    (iv) Special rule for hazardous materials and passenger offenses. A 
driver is disqualified for a period of not less than 180 days nor more 
than two years if the driver is convicted of a first violation of an 
out-of-service order while transporting hazardous materials required to 
be placarded under the Hazardous Materials Transportation Act (49 U.S.C. 
5101 et seq.), or while operating motor vehicles designed to transport 
more than 15 passengers, including the driver. A driver is disqualified 
for a period of not less than three years nor more than five years if, 
during any 10-year period, the driver is convicted of any subsequent 
violations of out-of-service orders, in separate incidents, while 
transporting hazardous materials required to be placarded under the 
Hazardous Materials Transportation Act, or while operating motor 
vehicles designed to transport more than 15 passengers, including the 
driver.
    (e) Disqualification for railroad-highway grade crossing violation--
    (1) General rule. A driver who is convicted of operating a CMV in 
violation

[[Page 779]]

of a Federal, State, or local law or regulation pertaining to one of the 
following six offenses at a railroad-highway grade crossing must be 
disqualified for the period of time specified in paragraph (e)(2) of 
this section:
    (i) For drivers who are not required to always stop, failing to slow 
down and check that the tracks are clear of an approaching train;
    (ii) For drivers who are not required to always stop, failing to 
stop before reaching the crossing, if the tracks are not clear;
    (iii) For drivers who are always required to stop, failing to stop 
before driving onto the crossing;
    (iv) For all drivers, failing to have sufficient space to drive 
completely through the crossing without stopping;
    (v) For all drivers, failing to obey a traffic control device or the 
directions of an enforcement official at the crossing;
    (vi) For all drivers, failing to negotiate a crossing because of 
insufficient undercarriage clearance.
    (2) Duration of disqualification for railroad-highway grade crossing 
violation--(i) First violation. A driver must be disqualified for not 
less than 60 days if the driver is convicted of a first violation of a 
railroad-highway grade crossing violation.
    (ii) Second violation. A driver must be disqualified for not less 
than 120 days if, during any three-year period, the driver is convicted 
of a second railroad-highway grade crossing violation in separate 
incidents.
    (iii) Third or subsequent violation. A driver must be disqualified 
for not less than 1 year if, during any three-year period, the driver is 
convicted of a third or subsequent railroad-highway grade crossing 
violation in separate incidents.
    (f) Substantial compliance by States. (1) Nothing in this rule shall 
be construed to require a State to apply its criminal or other sanctions 
for driving under the influence to a person found to have operated a 
commercial motor vehicle with an alcohol concentration of 0.04 percent, 
except licensing sanctions including suspension, revocation, or 
cancellation.
    (2) A State that enacts and enforces through licensing sanctions the 
disqualifications prescribed in Sec. 383.51(b) at the 0.04 alcohol 
concentration level and gives full faith and credit to the 
disqualification of commercial motor vehicle drivers by other States 
shall be deemed in substantial compliance with section 12009(a)(3) of 
the Commercial Motor Vehicle Safety Act of 1986.

[52 FR 20587, June 1, 1987, as amended at 53 FR 39050, Oct. 4, 1988; 54 
FR 40788, Oct. 3, 1989; 55 FR 6727, Feb. 26, 1990; 57 FR 53295, Nov. 9, 
1992; 59 FR 26028, May 18, 1994; 62 FR 37151, July 11, 1997; 64 FR 
48111, Sept. 2, 1999]

    Effective Date Note: At 64 FR 48111, Sept. 2, 1999, Sec. 383.51 was 
amended by redesignating paragraph (e) as (f) and by adding a new 
paragraph (e), effective Oct. 4, 1999.



Sec. 383.53  Penalties.

    (a) General rule. Any person who violates the rules set forth in 
subparts B and C of this part may be subject to civil or criminal 
penalties as provided for in 49 U.S.C. 521(b).
    (b) Special penalties pertaining to violation of out-of-service 
orders--(1) Driver violations. A driver who is convicted of violating an 
out-of-service order shall be subject to a civil penalty of not less 
than $1,000 nor more than $2,500, in addition to disqualification under 
Sec. 383.51(d).
    (2) Employer violations. An employer who is convicted of a violation 
of Sec. 383.37(c) shall be subject to a civil penalty of not less than 
$2,500 nor more than $10,000.
    (c) Special penalties pertaining to railroad-highway grade crossing 
violations. An employer who is convicted of a violation of 
Sec. 383.37(d) must be subject to a civil penalty of not more than 
$10,000.

[59 FR 26028, May 18, 1994, as amended at 64 FR 48111, Sept. 2, 1999]

    Effective Date Note: At 64 FR 48111, Sept. 2, 1999, Sec. 383.53 was 
amended by adding a new paragraph (c), effective Oct. 4, 1999.



               Subpart E--Testing and Licensing Procedures

    Source: 53 FR 27649, July 21, 1988, unless otherwise noted.



Sec. 383.71  Driver application procedures.

    (a) Initial Commercial Driver's License. Prior to obtaining a CDL, a 
person must meet the following requirements:

[[Page 780]]

    (1) A person who operates or expects to operate in interstate or 
foreign commerce, or is otherwise subject to part 391 of this title, 
shall certify that he/she meets the qualification requirements contained 
in part 391 of this title. A person who operates or expects to operate 
entirely in intrastate commerce and is not subject to part 391, is 
subject to State driver qualification requirements and must certify that 
he/she is not subject to part 391;
    (2) Pass a knowledge test in accordance with the standards contained 
in subparts G and H of this part for the type of motor vehicle the 
person operates or expects to operate;
    (3) Pass a driving or skills test in accordance with the standards 
contained in subparts G and H of this part taken in a motor vehicle 
which is representative of the type of motor vehicle the person operates 
or expects to operate; or provide evidence that he/she has successfully 
passed a driving test administered by an authorized third party;
    (4) Certify that the motor vehicle in which the person takes the 
driving skills test is representative of the type of motor vehicle that 
person operates or expects to operate;
    (5) Provide to the State of issuance the information required to be 
included on the CDL as specified in subpart J of this part;
    (6) Certify that he/she is not subject to any disqualification, 
suspension, revocation, or cancellation as contained in Sec. 383.51 and 
that he/she does not have a driver's license from more than one State or 
jurisdiction.
    (7) The applicant shall surrender his/her non-CDL driver's licenses 
to the State.
    (b) License transfer. When applying to transfer a CDL from one State 
of domicile to a new State domicile, an applicant shall apply for a CDL 
from the new State of domicile within no more than 30 days after 
establishing his/her new domicile. The applicant shall:
    (1) Provide to the new State of domicile the certifications 
contained in Sec. 383.71(a) (1) and (6):
    (2) Provide to the new State of domicile updated information as 
specified in subpart J of this part;
    (3) If the applicant wishes to retain a hazardous materials 
endorsement, comply with State requirements as specified in 
Sec. 383.73(b)(4); and
    (4) Surrender the CDL from the old State of domicile to the new 
State of domicile.
    (c) License renewal. When applying for a renewal of a CDL, all 
applicants shall:
    (1) Provide certification contained in Sec. 383.71(a)(1);
    (2) Provide update information as specified in subpart J of this 
part; and
    (3) If a person wishes to retain a hazardous materials endorsement, 
pass the test for such endorsement as specified in Sec. 383.121.
    (d) License upgrades. When applying to operate a commercial motor 
vehicle in a different group or endorsement from the group or 
endorsement in which the applicant already has a CDL, all persons shall:
    (1) Provide the necessary certifications as specified in 
Sec. 383.71(a) (1) and (4); and
    (2) Pass all tests specified in Sec. 383.71(a) (2) and (3) for the 
new vehicle group and/or different endorsements.
    (e) Nonresident CDL. When an applicant is domiciled in a foreign 
jurisdiction, as defined in Sec. 383.5, where the commercial motor 
vehicle operator testing and licensing standards do not meet the 
standards contained in subparts G and H of this part, as determined by 
the Administrator, such applicant shall obtain a Nonresident CDL from a 
State which meets such standards. Such applicant shall:
    (1) Complete the requirements to obtain a CDL contained in 
Sec. 383.71(a); and
    (2) After receipt of the CDL, and for as long as it is valid, notify 
the State which issued the CDL of any adverse action taken by any 
jurisdiction or governmental agency, foreign or domestic, against his/
her driving privileges. Such adverse actions would include but not be 
limited to license suspension or revocation, or disqualification from 
operating a commercial motor vehicle for the convictions described in 
Sec. 383.51. Notifications shall be made within the time periods 
specified in Sec. 383.33.
    (f) If a State uses the alternative method described in 
Sec. 383.73(i) to achieve the objectives of the certifications in 
Sec. 383.71(a), then the driver

[[Page 781]]

applicant shall satisfy such alternative methods as are applicable to 
him/her with respect to initial licensing, license transfer, license 
renewal, and license upgrades.



Sec. 383.72  Implied consent to alcohol testing.

    Any person who holds a CDL shall be deemed to have consented to such 
testing as is required of him/her by any State or jurisdiction in the 
enforcement of Sec. 383.51(b)(2)(i) and Sec. 392.5(a)(2). Consent is 
implied by driving a commercial motor vehicle.

[53 FR 39051, Oct. 4, 1988]



Sec. 383.73  State procedures.

    (a) Initial licensure. Prior to issuing a CDL to a person, a State 
shall:
    (1) Require the driver applicant to certify, pass tests, and provide 
information as described in Secs. 383.71(a) (1) through (6);
    (2) Check that the vehicle in which the applicant takes his/her test 
is representative of the vehicle group the applicant has certified that 
he/she operates or expects to operate;
    (3) Initiate and complete a check of the applicant's driving record 
to ensure that the person is not subject to any disqualification, 
suspensions, revocations, or cancellations as contained in Sec. 383.51 
and that the person does not have a driver's license from more than one 
State. The record check shall include but not be limited to the 
following:
    (i) A check of the applicant's driving record as maintained by his/
her current State of licensure, if any;
    (ii) A check with the CDLIS to determine whether the driver 
applicant already has a CDL, whether the applicant's license has been 
suspended, revoked, or canceled, or if the applicant has been 
disqualified from operating a commercial motor vehicle; and
    (iii) A check with the National Driver Register (NDR), when it is 
determined to be operational by the National Highway Traffic Safety 
Administrator, to determine whether the driver applicant has:
    (A) Been disqualified from operating a motor vehicle (other than a 
commercial motor vehicle);
    (B) Had a license (other than CDL) suspended, revoked, or canceled 
for cause in the 3-year period ending on the date of application; or
    (C) Been convicted of any offenses contained in section 205(a)(3) of 
the National Drivers Register Act of 1982 (23 U.S.C. 401 note); and
    (4) Require the driver applicant, if he/she has moved from another 
State, to surrender his/her driver's license issued by another State.
    (b) License transfers. Prior to issuing a CDL to a person who has a 
CDL from another State, a State shall:
    (1) Require the driver applicant to make the certifications 
contained in Sec. 383.71(a);
    (2) Complete a check of the driver applicant's record as contained 
in Sec. 383.73(a)(3);
    (3) Request and receive updates of information specified in subpart 
J of this part;
    (4) If such applicant wishes to retain a hazardous materials 
endorsement, ensure that the driver has, within the 2 years preceding 
the transfer, either:
    (i) Passed the test for such endorsement specified in Sec. 383.121; 
or
    (ii) Successfully completed a hazardous materials test or training 
that is given by a third party and that is deemed by the State to 
substantially cover the same knowledge base as that described in 
Sec. 383.121; and
    (5) Obtain the CDL issued by the applicant's previous State of 
domicile.
    (c) License Renewals. Prior to renewing any CDL a State shall:
    (1) Require the driver applicant to make the certifications 
contained in Sec. 383.71(a);
    (2) Complete a check of the driver applicant's record as contained 
in Sec. 383.73(a)(3);
    (3) Request and receive updates of information specified in subpart 
J of this part; and
    (4) If such applicant wishes to retain a hazardous materials 
endorsement, require the driver to pass the test for such endorsement 
specified in Sec. 383.121.
    (d) License upgrades. Prior to issuing an upgrade of a CDL, a State 
shall:
    (1) Require such driver applicant to provide certifications and pass 
tests as described in Sec. 383.71(d); and

[[Page 782]]

    (2) Complete a check of the driver applicant's record as described 
in Sec. 383.73(a)(3).
    (e) Nonresident CDL. A State may issue a Nonresident CDL to a person 
domiciled in a foreign country if the Administrator has determined that 
the commercial motor vehicle testing and licensing standards in the 
foreign jurisdiction of domicile do not meet the standards contained in 
this part. State procedures for the issuance of a nonresident CDL, for 
any modifications thereto, and for notifications to the CDLIS shall at a 
minimum be identical to those pertaining to any other CDL, with the 
following exceptions:
    (1) If the applicant is requesting a transfer of his/her Nonresident 
CDL, the State shall obtain the Nonresident CDL currently held by the 
applicant and issued by another State;
    (2) The State shall add the word ``Nonresident'' to the face of the 
CDL, in accordance with Sec. 383.153(b); and
    (3) The State shall have established, prior to issuing any 
Nonresident CDL, the practical capability of disqualifying the holder of 
any Nonresident CDL, by withdrawing, suspending, canceling, and revoking 
his/her Nonresident CDL as if the Nonresident CDL were a CDL issued to a 
resident of the State.
    (f) License issuance. After the State has completed the procedures 
described in Sec. 383.73 (a), (b), (c), (d) or (e), it may issue a CDL 
to the driver applicant. The State shall notify the operator of the 
CDLIS of such issuance, transfer, renewal, or upgrade within the 10-day 
period beginning on the date of license issuance.
    (g) Penalties for false information. If a State determines, in its 
check of an applicant's license status and record prior to issuing a 
CDL, or at any time after the CDL is issued, that the applicant has 
falsified information contained in subpart J of this part or any of the 
certifications required in Sec. 383.71(a), the State shall at a minimum 
suspend, cancel, or revoke the person's CDL or his/her pending 
application, or disqualify the person from operating a commercial motor 
vehicle for a period of at least 60 consecutive days.
    (h) Reciprocity. A State shall allow any person who has a valid CDL 
which is not suspended, revoked, or canceled, and who is not 
disqualified from operating a commercial motor vehicle, to operate a 
commercial motor vehicle in the State.
    (i) Alternative procedures. A State may implement alternative 
procedures to the certification requirements of Sec. 383.71(a) (1), (4), 
and (6), provided those procedures ensure that the driver meets the 
requirements of those paragraphs.

[53 FR 27649, July 21, 1988, as amended at 54 FR 40788, Oct. 3, 1989]



Sec. 383.75  Third party testing.

    (a) Third party tests. A State may authorize a person (including 
another State, an employer, a private driver training facility or other 
private institution, or a department, agency or instrumentality of a 
local government) to administer the skills tests as specified in 
subparts G and H of this part, if the following conditions are met:
    (1) The tests given by the third party are the same as those which 
would otherwise be given by the State; and
    (2) The third party as an agreement with the State containing, at a 
minimum, provisions that:
    (i) Allow the FHWA, or its representative, and the State to conduct 
random examinations, inspections and audits without prior notice;
    (ii) Require the State to conduct on-site inspections at least 
annually;
    (iii) Require that all third party examiners meet the same 
qualification and training standards as State examiners, to the extent 
necessary to conduct skills tests in compliance with subparts G and H;
    (iv) Require that, at least on an annual basis, State employees take 
the tests actually administered by the third party as if the State 
employee were a test applicant, or that States test a sample of drivers 
who were examined by the third party to compare pass/fail results; and
    (v) Reserve unto the State the right to take prompt and appropriate 
remedial action against the third-party testers in the event that the 
third-party fails to comply with State or Federal standards for the CDL 
testing

[[Page 783]]

program, or with any other terms of the third-party contract.
    (b) Proof of testing by a third party. A driver applicant who takes 
and passes driving tests administered by an authorized third party shall 
provide evidence to the State licensing agency that he/she has 
successfully passed the driving tests administered by the third party.



Sec. 383.77  Substitute for driving skills tests.

    At the discretion of a State, the driving skill test as specified in 
Sec. 383.113 may be waived for a CMV operator who is currently licensed 
at the time of his/her application for a CDL, and substituted with 
either an applicant's driving record and previous passage of an 
acceptable skills test, or an applicant's driving record in combination 
with certain driving experience. The State shall impose conditions and 
limitations to restrict the applicants from whom a State may accept 
alternative requirements for the skills test described in Sec. 383.113. 
Such conditions must require at least the following:
    (a) An applicant must certify that, during the two-year period 
immediately prior to applying for a CDL, he/she:
    (1) Has not had more than one license (except in the instances 
specified in Sec. 383.21(b));
    (2) Has not had any license suspended, revoked, or canceled;
    (3) Has not had any convictions for any type of motor vehicle for 
the disqualifying offenses contained in Sec. 383.51(b)(2);
    (4) Has not had more than one conviction for any type of motor 
vehicle for serious traffic violations; and
    (5) Has not had any conviction for a violation of State or local law 
relating to motor vehicle traffic control (other than a parking 
violation) arising in connection with any traffic accident, and has no 
record of an accident in which he/she was at fault; and
    (b) An applicant must provide evidence and certify that:
    (1) He/she is regularly employed in a job requiring operation of a 
CMV, and that either:
    (2) He/she has previously taken and passed a skills test given by a 
State with a classified licensing and testing system, and that the test 
was behind-the-wheel in a representative vehicle for that applicant's 
driver's license classification; or
    (3) He/she has operated, for at least 2 years immediately preceding 
application for a CDL, a vehicle representative of the commercial motor 
vehicle the driver applicant operates or expects to operate.

[53 FR 27649, July 21, 1988, as amended at 55 FR 25606, June 22, 1990]



               Subpart F--Vehicle Groups and Endorsements

    Source: 53 FR 27651, July 21, 1988, unless otherwise noted.



Sec. 383.91  Commercial motor vehicle groups.

    (a) Vehicle group descriptions. Each driver applicant must possess 
and be tested on his/her knowledge and skills, described in subpart G of 
this part, for the commercial motor vehicle group(s) for which he/she 
desires a CDL. The commercial motor vehicle groups are as follows:
    (1) Combination vehicle (Group A)--Any combination of vehicles with 
a gross combination weight rating (GCWR) of 11,794 kilograms or more 
(26,001 pounds or more) provided the GVWR of the vehicle(s) being towed 
is in excess of 4,536 kilograms (10,000 pounds).
    (2) Heavy Straight Vehicle (Group B)--Any single vehicle with a GVWR 
of 11,794 kilograms or more (26,001 pounds or more), or any such vehicle 
towing a vehicle not in excess of 4,536 kilograms (10,000 pounds) GVWR.
    (3) Small Vehicle (Group C)--Any single vehicle, or combination of 
vehicles, that meets neither the definition of Group A nor that of Group 
B as contained in this section, but that either is designed to transport 
16 or more passengers including the driver, or is used in the 
transportation of materials found to be hazardous for the purposes of 
the Hazardous Materials Transportation Act and which require the motor 
vehicle to be placarded under the Hazardous Materials Regulations (49 
CFR part 172, subpart F).

[[Page 784]]

    (b) Representative vehicle. For purposes of taking the driving test 
in accordance with Sec. 383.113, a representative vehicle for a given 
vehicle group contained in Sec. 383.91(a), is any commercial motor 
vehicle which meets the definition of that vehicle group.
    (c) Relation between vehicle groups. Each driver applicant who 
desires to operate in a different commercial motor vehicle group from 
the one which his/her CDL authorizes shall be required to retake and 
pass all related tests, except the following:
    (1) A driver who has passed the knowledge and skills tests for a 
combination vehicle (Group A) may operate a heavy straight vehicle 
(Group B) or a small vehicle (Group C), provided that he/she possesses 
the requisite endorsement(s); and
    (2) A driver who has passed the knowledge and skills tests for a 
heavy straight vehicle (Group B) may operate any small vehicle (Group 
C), provided that he/she possesses the requisite endorsement(s).
    (d) Vehicle group illustration. Figure 1 illustrates typical 
vehicles within each of the vehicle groups defined in this section.

[[Page 785]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.039

[53 FR 27651, July 21, 1988, as amended at 54 FR 47989, Nov. 20, 1989; 
61 FR 9566, Mar. 8, 1996]

[[Page 786]]



Sec. 383.93  Endorsements.

    (a) General. In addition to taking and passing the knowledge and 
skills tests described in subpart G of this part, all persons who 
operate or expect to operate the type(s) of motor vehicles described in 
paragraph (b) of this section shall take and pass specialized tests to 
obtain each endorsement. The State shall issue CDL endorsements only to 
drivers who successfully complete the tests.
    (b) Endorsement descriptions. An operator must obtain State-issued 
endorsements to his/her CDL to operate commercial motor vehicles which 
are:
    (1) Double/triple trailers;
    (2) Passenger vehicles;
    (3) Tank vehicles; or
    (4) Required to be placarded for hazardous materials.
    (c) Endorsement testing requirements. The following tests are 
required for the endorsements contained in paragraph (b) of this 
section:
    (1) Double/Triple Trailers--a knowledge test;
    (2) Passenger--a knowledge and a skills test;
    (3) Tank vehicle--a knowledge test; and
    (4) Hazardous Materials--a knowledge test.



Sec. 383.95  Air brake restrictions.

    (a) If an applicant either fails the air brake component of the 
knowledge test, or performs the skills test in a vehicle not equipped 
with air brakes, the State shall indicate on the CDL, if issued, that 
the person is restricted from operating a CMV equipped with air brakes.
    (b) For the purposes of the skills test and the restriction, air 
brakes shall include any braking system operating fully or partially on 
the air brake principle.



                Subpart G--Required Knowledge and Skills

    Source: 53 FR 27654, July 21, 1988, unless otherwise noted.



Sec. 383.110  General requirement.

    All drivers of commercial motor vehicles shall have knowledge and 
skills necessary to operate a commercial motor vehicle safely as 
contained in this subpart. A sample of the specific types of items which 
a State may wish to include in the knowledge and skills tests that it 
administers to CDL applicants is included in the appendix to this 
subpart G.



Sec. 383.111  Required knowledge.

    All commercial motor vehicle operators must have knowledge of the 
following general areas:
    (a) Safe operations regulations. Driver-related elements of the 
regulations contained in 49 CFR parts 382, 391, 392, 393, 395, 396, and 
397, such as: Motor vehicle inspection, repair, and maintenance 
requirements; procedures for safe vehicle operations; the effects of 
fatigue, poor vision, hearing, and general health upon safe commercial 
motor vehicle operation; the types of motor vehicles and cargoes subject 
to the requirements; and the effects of alcohol and drug use upon safe 
commercial motor vehicle operations.
    (b) Commercial motor vehicle safety control systems. Proper use of 
the motor vehicle's safety system, including lights, horns, side and 
rear-view mirrors, proper mirror adjustments, fire extinguishers, 
symptoms of improper operation revealed through instruments, motor 
vehicle operation characteristics, and diagnosing malfunctions. 
Commercial motor vehicle drivers shall have knowledge on the correct 
procedures needed to use these safety systems in an emergency situation, 
e.g., skids and loss of brakes.
    (c) Safe vehicle control--(1) Control systems The purpose and 
function of the controls and instruments commonly found on commercial 
motor vehicles.
    (2) Basic control. The proper procedures for performing various 
basic maneuvers.
    (3) Shifting. The basic shifting rules and terms, as well as shift 
patterns and procedures for common transmissions.
    (4) Backing. The procedures and rules for various backing maneuvers.
    (5) Visual search. The importance of proper visual search, and 
proper visual search methods.
    (6) Communication. The principles and procedures for proper 
communications

[[Page 787]]

and the hazards of failure to signal properly.
    (7) Speed management. The importance of understanding the effects of 
speed.
    (8) Space management. The procedures and techniques for controlling 
the space around the vehicle.
    (9) Night operation. Preparations and procedures for night driving.
    (10) Extreme driving conditions. The basic information on operating 
in extreme driving conditions and the hazards that are encountered in 
extreme conditions.
    (11) Hazard perceptions. The basic information on hazard perception 
and clues for recognition of hazards.
    (12) Emergency maneuvers. The basic information concerning when and 
how to make emergency maneuvers.
    (13) Skid control and recovery. The information on the causes and 
major types of skids, as well as the procedures for recovering from 
skids.
    (d) Relationship of cargo to vehicle control. The principles and 
procedures for the proper handling of cargo.
    (e) Vehicle inspections: The objectives and proper procedures for 
performing vehicle safety inspections, as follows:
    (1) The importance of periodic inspection and repair to vehicle 
safety.
    (2) The effect of undiscovered malfunctions upon safety.
    (3) What safety-related parts to look for when inspecting vehicles.
    (4) Pre-trip/enroute/post-trip inspection procedures.
    (5) Reporting findings.
    (f) Hazardous materials knowledge, such as: What constitutes 
hazardous material requiring an endorsement to transport; classes of 
hazardous materials; labeling/placarding requirements; and the need for 
specialized training as a prerequisite to receiving the endorsement and 
transporting hazardous cargoes.
    (g) Air brake knowledge as follows:
    (1) Air brake system nomenclature;
    (2) The dangers of contaminated air supply;
    (3) Implications of severed or disconnected air lines between the 
power unit and the trailer(s);
    (4) Implications of low air pressure readings;
    (5) Procedures to conduct safe and accurate pre-trip inspections.
    (6) Procedures for conducting enroute and post-trip inspections of 
air actuated brake systems, including ability to detect defects which 
may cause the system to fail.
    (h) Operators for the combination vehicle group shall also have 
knowledge of:
    (1) Coupling and uncoupling--The procedures for proper coupling and 
uncoupling a tractor to semi-trailer.
    (2) Vehicle inspection--The objectives and proper procedures that 
are unique for performing vehicle safety inspections on combination 
vehicles.

[53 FR 27654, July 21, 1988, as amended at 62 FR 37151, July 11, 1997]



Sec. 383.113  Required skills.

    (a) Basic vehicle control skills. All applicants for a CDL must 
possess and demonstrate basic motor vehicle control skills for each 
vehicle group which the driver operates or expects to operate. These 
skills should include the ability to start, to stop, and to move the 
vehicle forward and backward in a safe manner.
    (b) Safe driving skills. All applicants for a CDL must possess and 
demonstrate the safe driving skills for their vehicle group. These 
skills should include proper visual search methods, appropriate use of 
signals, speed control for weather and traffic conditions, and ability 
to position the motor vehicle correctly when changing lanes or turning.
    (c) Air brake skills. Except as provided in Sec. 393.95, all 
applicants shall demonstrate the following skills with respect to 
inspection and operation of air brakes:
    (1) Pre-trip inspection skills. Applicants shall demonstrate the 
skills necessary to conduct a pre-trip inspection which includes the 
ability to:
    (i) Locate and verbally identify air brake operating controls and 
monitoring devices;
    (ii) Determine the motor vehicle's brake system condition for proper 
adjustments and that air system connections between motor vehicles have 
been properly made and secured;
    (iii) Inspect the low pressure warning device(s) to ensure that they 
will activate in emergency situations;

[[Page 788]]

    (iv) Ascertain, with the engine running, that the system maintains 
an adequate supply of compressed air;
    (v) Determine that required minimum air pressure build up time is 
within acceptable limits and that required alarms and emergency devices 
automatically deactivate at the proper pressure level; and
    (vi) Operationally check the brake system for proper performance.
    (2) Driving skills. Applicants shall successfully complete the 
skills tests contained in Sec. 383.113 in a representative vehicle 
equipped with air brakes.
    (d) Test area. Skills tests shall be conducted in on-street 
conditions or under a combination of on-street and off-street 
conditions.
    (e) Simulation technology. A State may utilize simulators to perform 
skills testing, but under no circumstances as a substitute for the 
required testing in on-street conditions.



Sec. 383.115  Requirements for double/triple trailers endorsement.

    In order to obtain a Double/Triple Trailers endorsement each 
applicant must have knowledge covering:
    (a) Procedures for assembly and hookup of the units;
    (b) Proper placement of heaviest trailer;
    (c) Handling and stability characteristics including off-tracking, 
response to steering, sensory feedback, braking, oscillatory sway, 
rollover in steady turns, yaw stability in steady turns; and
    (d) Potential problems in traffic operations, including problems the 
motor vehicle creates for other motorists due to slower speeds on steep 
grades, longer passing times, possibility for blocking entry of other 
motor vehicles on freeways, splash and spray impacts, aerodynamic 
buffeting, view blockages, and lateral placement.



Sec. 383.117  Requirements for passenger endorsement.

    An applicant for the passenger endorsement must satisfy both of the 
following additional knowledge and skills test requirements.
    (a) Knowledge test. All applicants for the passenger endorsement 
must have knowledge covering at least the following topics:
    (1) Proper procedures for loading/unloading passengers;
    (2) Proper use of emergency exits, including push-out windows;
    (3) Proper responses to such emergency situations as fires and 
unruly passengers;
    (4) Proper procedures at railroad crossings and drawbridges; and
    (5) Proper braking procedures.
    (b) Skills test. To obtain a passenger endorsement applicable to a 
specific vehicle group, an applicant must take his/her skills test in a 
passenger vehicle satisfying the requirements of that group as defined 
in Sec. 383.91.



Sec. 383.119  Requirements for tank vehicle endorsement.

    In order to obtain a Tank Vehicle Endorsement, each applicant must 
have knowledge covering the following:
    (a) Causes, prevention, and effects of cargo surge on motor vehicle 
handling;
    (b) Proper braking procedures for the motor vehicle when it is 
empty, full and partially full;
    (c) Differences in handling of baffled/compartmental tank interiors 
versus non-baffled motor vehicles;
    (d) Differences in tank vehicle type and construction;
    (e) Differences in cargo surge for liquids of varying product 
densities;
    (f) Effects of road grade and curvature on motor vehicle handling 
with filled, half-filled and empty tanks;
    (g) Proper use of emergency systems; and
    (h) For drivers of DOT specification tank vehicles, retest and 
marking requirements.



Sec. 383.121  Requirements for hazardous materials endorsement.

    In order to obtain a Hazardous Material Endorsement each applicant 
must have such knowledge as is required of a driver of a hazardous 
materials laden vehicle, from information contained in 49 CFR parts 171, 
172, 173, 177, 178, and 397 on the following:
    (a) Hazardous materials regulations including:
    (1) Hazardous materials table;
    (2) Shipping paper requirements;
    (3) Marking;

[[Page 789]]

    (4) Labeling;
    (5) Placarding requirements;
    (6) Hazardous materials packaging;
    (7) Hazardous materials definitions and preparation;
    (8) Other regulated material (e.g., ORM-D);
    (9) Reporting hazardous materials accidents; and
    (10) Tunnels and railroad crossings.
    (b) Hazardous materials handling including:
    (1) Forbidden Materials and Packages;
    (2) Loading and Unloading Materials;
    (3) Cargo Segregation;
    (4) Passenger Carrying Buses and Hazardous Materials;
    (5) Attendance of Motor Vehicles;
    (6) Parking;
    (7) Routes;
    (8) Cargo Tanks; and
    (9) ``Safe Havens.''
    (c) Operation of emergency equipment including:
    (1) Use of equipment to protect the public;
    (2) Special precautions for equipment to be used in fires;
    (3) Special precautions for use of emergency equipment when loading 
or unloading a hazardous materials laden motor vehicle; and
    (4) Use of emergency equipment for tank vehicles.
    (d) Emergency response procedures including:
    (1) Special care and precautions for different types of accidents;
    (2) Special precautions for driving near a fire and carrying 
hazardous materials, and smoking and carrying hazardous materials;
    (3) Emergency procedures; and
    (4) Existence of special requirements for transporting Class A and B 
explosives.

 Appendix to Subpart G--Required Knowledge and Skills--Sample Guidelines

    The following is a sample of the specific types of items which a 
State may wish to include in the knowledge and skills tests that it 
administers to CDL applicants. This appendix closely follows the 
framework of Secs. 383.111 and 383.113. It is intended to provide more 
specific guidance and suggestion to States. Additional detail in this 
appendix is not binding and States may depart from it at their 
discretion provided their CDL program tests for the general areas of 
knowledge and skill specified in Secs. 383.111 and 383.113.

                 Examples of specific knowledge elements

    (a) Safe operations regulations. Driver-related elements of the 
following regulations:
    (1) Motor vehicle inspection, repair, and maintenance requirements 
as contained in parts 393 and 396 of this title;
    (2) Procedures for safe vehicle operations as contained in part 392 
of this title;
    (3) The effects of fatigue, poor vision, hearing, and general health 
upon safe commercial motor vehicle operation as contained in parts 391, 
392, and 395 of this title;
    (4) The types of motor vehicles and cargoes subject to the 
requirements contained in part 397 of this title; and
    (5) The effects of alcohol and drug use upon safe commercial motor 
vehicle operations as contained in parts 391 and 395 of this title.
    (b) Commercial motor vehicle safety control systems. Proper use of 
the motor vehicle's safety system, including lights, horns, side and 
rear-view mirrors, proper mirror adjustments, fire extinguishers, 
symptoms of improper operation revealed through instruments, motor 
vehicle operation characteristics, and diagnosing malfunctions. 
Commercial motor vehicle drivers shall have knowledge on the correct 
procedures needed to use these safety systems in an emergency situation, 
e.g., skids and loss of brakes.
    (c) Safe vehicle control--(1) Control systems. The purpose and 
function of the controls and instruments commonly found on commercial 
motor vehicles.
    (2) Basic control. The proper procedures for performing various 
basic maneuvers, including:
    (i) Starting, warming up, and shutting down the engine;
    (ii) Putting the vehicle in motion and stopping;
    (iii) Backing in a straight line; and
    (iv) Turning the vehicle, e.g., basic rules, off-tracking, right/
left turns and right curves.
    (3) Shifting. The basic shifting rules and terms, as well as shift 
patterns and procedures for common transmissions, including:
    (i) Key elements of shifting, e.g., controls, when to shift and 
double clutching;
    (ii) Shift patterns and procedures; and
    (iii) Consequences of improper shifting.
    (4) Backing. The procedures and rules for various backing maneuvers, 
including:
    (i) Backing principles and rules; and
    (ii) Basic backing maneuvers, e.g., straight-line backing, and 
backing on a curved path.
    (5) Visual search. The importance of proper visual search, and 
proper visual search methods, including:
    (i) Seeing ahead and to the sides;
    (ii) Use of mirrors; and

[[Page 790]]

    (iii) Seeing to the rear.
    (6) Communication. The principles and procedures for proper 
communications and the hazards of failure to signal properly, including:
    (i) Signaling intent, e.g., signaling when changing speed or 
direction in traffic;
    (ii) Communicating presence, e.g., using horn or lights to signal 
presence; and
    (iii) Misuse of communications.
    (7) Speed management. The importance of understanding the effects of 
speed, including:
    (i) Speed and stopping distance;
    (ii) Speed and surface conditions;
    (iii) Speed and the shape of the road;
    (iv) Speed and visibility; and
    (v) Speed and traffic flow.
    (8) Space management. The procedures and techniques for controlling 
the space around the vehicle, including:
    (i) The importance of space management;
    (ii) Space cushions, e.g., controlling space ahead/to the rear;
    (iii) Space to the sides; and
    (iv) Space for traffic gaps.
    (9) Night operation. Preparations and procedures for night driving, 
including:
    (i) Night driving factors, e.g., driver factors, (vision, glare, 
fatigue, inexperience), roadway factors, (low illumination, variation in 
illumination, familiarity with roads, other road users, especially 
drivers exhibiting erratic or improper driving), vehicle factors 
(headlights, auxiliary lights, turn signals, windshields and mirrors); 
and
    (ii) Night driving procedures, e.g., preparing to drive at night and 
driving at night.
    (10) Extreme driving conditions. The basic information on operating 
in extreme driving conditions and the hazards that are encountered in 
extreme conditions, including:
    (i) Adverse weather;
    (ii) Hot weather; and
    (iii) Mountain driving.
    (11) Hazard perceptions. The basic information on hazard perception 
and clues for recognition of hazards, including:
    (i) Importance of hazards recognition;
    (ii) Road characteristics; and
    (iii) Road user activities.
    (12) Emergency maneuvers. The basic information concerning when and 
how to make emergency maneuvers, including:
    (i) Evasive steering;
    (ii) Emergency stop;
    (iii) Off-road recovery;
    (iv) Brake failure; and
    (v) Blowouts.
    (13) Skid control and recovery. The information on the causes and 
major types of skids, as well as the procedures for recovering from 
skids.
    (d) Relationship of cargo to vehicle control. The principles and 
procedures for the proper handling of cargo, including:
    (1) The importance of proper cargo handling, e.g., consequences of 
improperly secured cargo, drivers' responsibilities, Federal/State and 
local regulations.
    (2) Principles of weight distribution.
    (3) Principles and methods of cargo securement.
    (e) Vehicle inspections: The objectives and proper procedures for 
performing vehicle safety inspections, as follows:
    (1) The importance of periodic inspection and repair to vehicle 
safety and to prevention of enroute breakdowns.
    (2) The effect of undiscovered malfunctions upon safety.
    (3) What safety-related parts to look for when inspecting vehicles, 
e.g., fluid leaks, interference with visibility, bad tires, wheel and 
rim defects, braking system defects, steering system defects, suspension 
system defects, exhaust system defects, coupling system defects, and 
cargo problems.
    (4) Pre-trip/enroute/post-trip inspection procedures.
    (5) Reporting findings.
    (f) Hazardous materials knowledge, as follows:
    (1) What constitutes hazardous material requiring an endorsement to 
transport; and
    (2) Classes of hazardous materials, labeling/placarding 
requirements, and the need for specialized training as a prerequisite to 
receiving the endorsement and transporting hazardous cargoes.
    (g) Air brake knowledge as follows:
    (1) General air brake system nomenclature;
    (2) The dangers of contaminated air (dirt, moisture and oil) supply;
    (3) Implications of severed or disconnected air lines between the 
power unit and the trailer(s);
    (4) Implications of low air pressure readings;
    (5) Procedures to conduct safe and accurate pre-trip inspections, 
including knowledge about:
    (i) Automatic fail-safe devices;
    (ii) System monitoring devices; and
    (iii) Low pressure warning alarms.
    (6) Procedures for conducting enroute and post-trip inspections of 
air actuated brake systems, including ability to detect defects which 
may cause the system to fail, including:
    (i) Tests which indicate the amount of air loss from the braking 
system within a specified period, with and without the engine running; 
and
    (ii) Tests which indicate the pressure levels at which the low air 
pressure warning devices and the tractor protection valve should 
activate.
    (h) Operators for the combination vehicle group shall also have 
knowledge of:
    (1) Coupling and uncoupling. The procedures for proper coupling and 
uncoupling a tractor to semi-trailer.

[[Page 791]]

    (2) Vehicle inspection--The objectives and proper procedures that 
are unique for performing vehicle safety inspections on combination 
vehicles.

                  Examples of Specific Skills Elements

    These examples relate to paragraphs (a) and (b) of Sec. 383.113 
only.
    (a) Basic vehicle control skills. All applicants for a CDL must 
possess and demonstrate the following basic motor vehicle control skills 
for each vehicle group which the driver operates or expects to operate. 
These skills shall include:
    (1) Ability to start, warm-up, and shut down the engine;
    (2) Ability to put the motor vehicle in motion and accelerate 
smoothly, forward and backward;
    (3) Ability to bring the motor vehicle to a smooth stop;
    (4) Ability to back the motor vehicle in a straight line, and check 
path and clearance while backing;
    (5) Ability to position the motor vehicle to negotiate and then make 
left and right turns;
    (6) Ability to shift as required and select appropriate gear for 
speed and highway conditions;
    (7) Ability to back along a curved path; and
    (8) Ability to observe the road and the behavior of other motor 
vehicles, particularly before changing speed and direction.
    (b) Safe driving skills. All applicants for a CDL must possess and 
demonstrate the following safe driving skills for any vehicle group. 
These skills shall include:
    (1) Ability to use proper visual search methods.
    (2) Ability to signal appropriately when changing speed or direction 
in traffic.
    (3) Ability to adjust speed to the configuration and condition of 
the roadway, weather and visibility conditions, traffic conditions, and 
motor vehicle, cargo and driver conditions;
    (4) Ability to choose a safe gap for changing lanes, passing other 
vehicles, as well as for crossing or entering traffic;
    (5) Ability to position the motor vehicle correctly before and 
during a turn to prevent other vehicles from passing on the wrong side 
as well as to prevent problems caused by off-tracking;
    (6) Ability to maintain a safe following distance depending on the 
condition of the road, on visibility, and on vehicle weight; and
    (7) Ability to adjust operation of the motor vehicle to prevailing 
weather conditions including speed selection, braking, direction changes 
and following distance to maintain control.



                            Subpart H--Tests

    Source: 53 FR 27657, July 21, 1988, unless otherwise noted.



Sec. 383.131  Test procedures.

    (a) Driver information manuals. Information on how to obtain a CDL 
and endorsements shall be included in manuals and made available by 
States to CDL applicants. All information provided to the applicant 
shall include the following:
    (1) Information on the requirements described in Sec. 383.71, the 
implied consent to alcohol testing described in Sec. 383.72, the 
procedures and penalties, contained in Sec. 383.51(b) to which a CDL 
holder is exposed for refusal to comply with such alcohol testing, State 
procedures described in Sec. 383.73, and other appropriate driver 
information contained in subpart E of this part;
    (2) Information on vehicle groups and endorsements as specified in 
subpart F of this part;
    (3) The substance of the knowledge and skills which drivers shall 
have as outlined in subpart G of this part for the different vehicle 
groups and endorsements;
    (4) Details of testing procedures, including the purpose of the 
tests, how to respond, any time limits for taking the test, and any 
other special procedures determined by the State of issuance; and
    (5) Directions for taking the tests.
    (b) Examiner procedures. A State shall provide to test examiners 
details on testing and any other State-imposed requirements in the 
examiner's manual, and shall ensure that examiners are qualified to 
administer tests on the basis of training and/or other experience. 
States shall provide standardized scoring sheets for the skills tests, 
as well as standardized driving instructions for the applicants. Such 
examiners' manuals shall contain the following:
    (1) Information on driver application procedures contained in 
Sec. 383.71, State procedures described in Sec. 383.73, and other 
appropriate driver information contained in subpart E of this part;
    (2) Details on information which must be given to the applicant;

[[Page 792]]

    (3) Details on how to conduct the tests;
    (4) Scoring procedures and minimum passing scores;
    (5) Information for selecting driving test routes;
    (6) List of the skills to be tested;
    (7) Instructions on where and how the skills will be tested;
    (8) How performance of the skills will be scored; and
    (9) Causes for automatic failure of skills tests.

[53 FR 27657, July 21, 1988, as amended at 53 FR 39051, Oct. 4, 1988]



Sec. 383.133  Testing methods.

    (a) All tests shall be constructed in such a way as to determine if 
the applicant possesses the required knowledge and skills contained in 
subpart G of this part for the type of motor vehicle or endorsement the 
applicant wishes to obtain.
    (b) States shall develop their own specifications for the tests for 
each vehicle group and endorsement which must be at least as stringent 
as the Federal standards.
    (c) States shall determine specific methods for scoring the 
knowledge and skills tests.
    (d) Passing scores must meet those standards contained in 
Sec. 383.135.
    (e) Knowledge and skills tests shall be based solely on the 
information contained in the driver manuals referred to in 
Sec. 383.131(a).
    (f) Each knowledge test shall be valid and reliable so as to assure 
that driver applicants possess the knowledge required under 
Sec. 383.111.
    (g) Each basic knowledge test, i.e., the test covering the areas 
referred to in Sec. 383.111 for the applicable vehicle group, shall 
contain at least 30 items, exclusive of the number of items testing air 
brake knowledge. Each endorsement knowledge test, and the air brake 
component of the basic knowledge test as described in Sec. 383.111(g), 
shall contain a number of questions that is sufficient to test the 
driver applicant's knowledge of the required subject matter with 
validity and reliability.
    (h) The skills tests shall have administrative procedures, designed 
to achieve interexaminer reliability, that are sufficient to ensure 
fairness of pass/fail rates.



Sec. 383.135  Minimum passing scores.

    (a) The driver applicant must correctly answer at least 80 percent 
of the questions on each knowledge test in order to achieve a passing 
score on such knowledge test.
    (b) To achieve a passing score on the skills test, the driver 
applicant must demonstrate that he/she can successfully perform all of 
the skills listed in Sec. 383.113.
    (c) If the driver applicant does not obey traffic laws, or causes an 
accident during the test, he/she shall automatically fail the test.
    (d) The scoring of the basic knowledge and skills tests shall be 
adjusted as follows to allow for the air brake restriction 
(Sec. 383.95):
    (1) If the applicant scores less than 80 percent on the air brake 
component of the basic knowledge test as described in Sec. 383.111(g), 
the driver will have failed the air brake component and, if the driver 
is issued a CDL, an air brake restriction shall be indicated on the 
license; and
    (2) If the applicant performs the skills test in a vehicle not 
equipped with air brakes, the driver will have omitted the air brake 
component as described in Sec. 383.113(c) and, if the driver is issued a 
CDL, the air brake restriction shall be indicated on the license.

Subpart I  [Reserved]



             Subpart J--Commercial Driver's License Document

    Source: 53 FR 27657, July 21, 1988, unless otherwise noted.



Sec. 383.151  General.

    The CDL shall be a document that is easy to recognize as a CDL. At a 
minimum, the document shall contain information specified in 
Sec. 383.153.



Sec. 383.153  Information on the document and application.

    (a) All CDLs shall contain the following information:

[[Page 793]]

    (1) The prominent statement that the license is a ``Commercial 
Driver's License'' or ``CDL,'' except as specified in Sec. 383.153(b).
    (2) The full name, signature, and mailing address of the person to 
whom such license is issued;
    (3) Physical and other information to identify and describe such 
person including date of birth (month, day, and year), sex, and height;
    (4) Color photograph of the driver;
    (5) The driver's State license number;
    (6) The name of the State which issued the license;
    (7) The date of issuance and the date of expiration of the license;
    (8) The group or groups of commercial motor vehicle(s) that the 
driver is authorized to operate, indicated as follows:
    (i) A for Combination Vehicle;
    (ii) B for Heavy Straight Vehicle; and
    (iii) C for Small Vehicle.
    (9) The endorsement(s) for which the driver has qualified, if any, 
indicated as follows:
    (i) T for double/triple trailers;
    (ii) P for passenger;
    (iii) N for tank vehicle;
    (iv) H for hazardous materials;
    (v) X for a combination of the tank vehicle and hazardous materials 
endorsements; and
    (vi) At the discretion of the State, additional codes for additional 
groupings of endorsements, as long as each such discretionary code is 
fully explained on the front or back of the CDL document.
    (b) If the CDL is a Nonresident CDL, it shall contain the prominent 
statement that the license is a ``Nonresident Commercial Driver's 
License'' or ``Nonresident CDL.'' The word ``Nonresident'' must be 
conspicuously and unmistakably displayed, but may be noncontiguous with 
the words ``Commercial Driver's License'' or ``CDL.''
    (c) If the State has issued the applicant an air brake restriction 
as specified in Sec. 383.95, that restriction must be indicated on the 
license.
    (d) Except in the case of a Nonresident CDL:
    (1) A driver applicant must provide his/her Social Security Number 
on the application of a CDL; and
    (2) The State must provide the Social Security Number to the CDLIS.



Sec. 383.155  Tamperproofing requirements.

    States shall make the CDL tamperproof to the maximum extent 
practicable. At a minimum, a State shall use the same tamperproof method 
used for noncommercial drivers' licenses.



PART 384--STATE COMPLIANCE WITH COMMERCIAL DRIVER'S LICENSE PROGRAM--Table of Contents




                           Subpart A--General

Sec.
384.101  Purpose and scope.
384.103  Applicability.
384.105  Definitions.

    Subpart B--Minimum Standards for Substantial Compliance by States

384.201  Testing program.
384.202  Test standards.
384.203  Driving while under the influence.
384.204  CDL issuance and information.
384.205  CDLIS information.
384.206  State record checks.
384.207  Notification of licensing.
384.208  [Reserved]
384.209  Notification of traffic violations.
384.210  Limitation on licensing.
384.211  Return of old licenses.
384.212  Domicile requirement.
384.213  Penalties for driving without a proper CDL.
384.214  Reciprocity.
384.215  First offenses.
384.216  Second offenses.
384.217  Drug offenses.
384.218  Second serious traffic violation.
384.219  Third serious traffic violation.
384.220  National Driver Register information.
384.221  Out-of-service regulations (intoxicating beverage).
384.222  [Reserved]
384.223  Railroad-highway grade crossing violation.
384.224-384.230  [Reserved]
384.231  Satisfaction of State disqualification requirement.
384.232  Required timing of record checks.

         Subpart C--Procedures for Determining State Compliance

384.301  Substantial compliance--general requirement.
384.303  State certification for Federal fiscal year (FY) 1994.

[[Page 794]]

384.305  State certifications for Federal fiscal years after FY 1994.
384.307  FHWA program reviews of State compliance.
384.309  Results of compliance determination.

             Subpart D--Consequences of State Noncompliance

384.401  Withholding of funds based on noncompliance.
384.403  Period of availability; effect of compliance and noncompliance.

    Authority: 49 U.S.C. 31136, 49 U.S.C. 31301 et seq., 31502; 49 CFR 
1.48.

    Source: 59 FR 26039, May 18, 1994, unless otherwise noted.



                           Subpart A--General



Sec. 384.101  Purpose and scope.

    (a) Purpose. The purpose of this part is to ensure that the States 
comply with the provisions of section 12009(a) of the Commercial Motor 
Vehicle Safety Act of 1986 (49 U.S.C. 31311(a)).
    (b) Scope. This part:
    (1) Includes the minimum standards for the actions States must take 
to be in substantial compliance with each of the 22 requirements of 49 
U.S.C. 31311(a);
    (2) Establishes procedures for determinations to be made of such 
compliance by States; and
    (3) Specifies the consequences of State noncompliance.

[62 FR 37152, July 11, 1997]



Sec. 384.103  Applicability.

    The rules in this part apply to all States.



Sec. 384.105  Definitions.

    (a) The definitions in part 383 of this title apply to this part, 
except where otherwise specifically noted.
    (b) As used in this part:
    Issue and issuance mean initial licensure, license transfers, 
license renewals, license upgrades, and nonresident commercial driver's 
licenses (CDLs), as described in Sec. 383.73 of this title.
    Licensing entity means the agency of State government that is 
authorized to issue drivers' licenses.
    Year of noncompliance means any Federal fiscal year during which--
    (1) A State fails to submit timely certification as prescribed in 
subpart C of this part; or
    (2) The State does not meet one or more of the standards of subpart 
B of this part, based on a final determination by the FHWA under 
Sec. 384.307(c) of this part.



    Subpart B--Minimum Standards for Substantial Compliance by States



Sec. 384.201  Testing program.

    The State shall adopt and administer a program for testing and 
ensuring the fitness of persons to operate commercial motor vehicles 
(CMVs) in accordance with the minimum Federal standards contained in 
part 383 of this title.



Sec. 384.202  Test standards.

    No State shall authorize a person to operate a CMV unless such 
person passes a knowledge and driving skills test for the operation of a 
CMV in accordance with part 383 of this title.



Sec. 384.203  Driving while under the influence.

    The State shall have in effect and enforce through licensing 
sanctions the disqualifications prescribed in Sec. 383.51(b) at the 0.04 
percent blood alcohol concentration level.



Sec. 384.204  CDL issuance and information.

    (a) General rule. The State shall authorize a person to operate a 
CMV only by issuance of a CDL, unless a waiver under the provisions of 
Sec. 383.7 applies, which contains, at a minimum, the information 
specified in part 383, subpart J, of this title.
    (b) Exceptions--(1) Training. The State may authorize a person, who 
does not hold a CDL valid in the type of vehicle in which training 
occurs, to undergo behind-the-wheel training in a CMV only by means of a 
learner's permit issued and used in accordance with Sec. 383.23(c) of 
this title.
    (2) Confiscation of CDL pending enforcement. A State may allow a CDL 
holder whose CDL is held in trust by that State or any other State in 
the course of enforcement of the motor vehicle traffic code, but who has 
not been

[[Page 795]]

convicted of a disqualifying offense under Sec. 383.51 based on such 
enforcement, to drive a CMV while holding a dated receipt for such CDL.



Sec. 384.205  CDLIS information.

    Before issuing a CDL to any person, the State shall, within the 
period of time specified in Sec. 384.232, perform the check of the 
Commercial Driver's License Information System (CDLIS) in accordance 
with Sec. 383.73(a)(3)(ii) of this title, and, based on that 
information, shall issue the license, or, in the case of adverse 
information, promptly implement the disqualifications, licensing 
limitations, denials, and/or penalties that are called for in any 
applicable section(s) of this subpart.



Sec. 384.206  State record checks.

    (a) Required checks--(1) Issuing State's records. Before issuing a 
CDL to any person, the State shall, within the period of time specified 
in Sec. 384.232, check its own driving record for such person in 
accordance with Sec. 383.73(a)(3) of this title.
    (2) Other States' records. Before initial or transfer issuance of a 
CDL to a person, the issuing State shall, within the period of time 
specified in Sec. 384.232, obtain from any other State or jurisdiction 
which has issued a CDL to such person, and such other State(s) shall 
provide, all information pertaining to the driving record of such person 
in accordance with Sec. 383.73(a)(3) of this title.
    (b) Required action. Based on the findings of the State record 
checks prescribed in this section, the State shall issue the license, 
or, in the case of adverse information, promptly implement the 
disqualifications, licensing limitations, denials, and/or penalties that 
are called for in any applicable section(s) of this subpart.



Sec. 384.207  Notification of licensing.

    Within the period defined in Sec. 383.73(f) of this title, the State 
shall:
    (a) Notify the operator of the CDLIS of each CDL issuance;
    (b) Notify the operator of the CDLIS of any changes in driver 
identification information; and
    (c) In the case of transfer issuances, implement the Change State of 
Record transaction, as specified by the operator of the CDLIS, in 
conjunction with the previous State of record and the operator of the 
CDLIS.



Sec. 384.208  [Reserved]



Sec. 384.209  Notification of traffic violations.

    (a) Required notification with respect to CDL holders. Whenever a 
person who holds a CDL from another State is convicted of a violation, 
in any type of vehicle, of any State or local law relating to motor 
vehicle traffic control (other than a parking violation), the licensing 
entity of the State in which the conviction occurs shall notify the 
licensing entity of the person's State of licensure of the conviction as 
expeditiously as possible.
    (b) Required notification with respect to non-CDL holders. Whenever 
a person who does not hold a CDL, but who is licensed to drive by 
another State, is convicted of a violation, in a CMV, of any State or 
local law relating to motor vehicle traffic control (other than a 
parking violation), the licensing entity of the State in which the 
conviction occurs shall notify the licensing entity of the person's 
State of licensure of such conviction.



Sec. 384.210  Limitation on licensing.

    The State shall not knowingly issue a CDL to a person during a 
period in which:
    (a) Such person is disqualified from operating a CMV, as 
disqualification is defined in Sec. 383.5 of this title, or under the 
provisions of Sec. 384.231(b)(2).
    (b) Any type of driver's license held by such person is suspended, 
revoked, or canceled by the State or jurisdiction of licensure for 
driving related offenses which in the judgment of the licensing State 
are based on valid information; or
    (c) Such person is subject to the penalties for false information 
contained in Sec. 383.73(g) of this title.



Sec. 384.211  Return of old licenses.

    The State shall not issue a CDL to a person who possesses a driver's 
license issued by another State or jurisdiction unless such person first 
surrenders the driver's license issued by such other State or 
jurisdiction in accordance

[[Page 796]]

with Secs. 383.71(a)(7) and (b)(4) of this title.



Sec. 384.212  Domicile requirement.

    (a) The State shall issue CDLs only to those persons for whom such 
State is the State of domicile as defined in Sec. 383.5 of this title; 
except that the State may issue a nonresident CDL under the conditions 
specified in Secs. 383.23(b), 383.71(e), and 383.73(e) of this title.
    (b) The State shall require any person holding a CDL issued by 
another State to apply for a transfer CDL from the State within 30 days 
after establishing domicile in the State, as specified in Sec. 383.71(b) 
of this title.



Sec. 384.213  Penalties for driving without a proper CDL.

    The State shall impose civil and criminal penalties for operating a 
CMV while not possessing a CDL that is valid for the type of CMV being 
driven; while having a driver's license suspended, revoked, or canceled; 
or while being disqualified from operating a CMV. In determining the 
appropriateness of such penalties, the State shall consider their 
effectiveness in deterring this type of violation. The State shall 
impose penalties on CMV drivers that are at least as stringent as those 
imposed on noncommercial drivers for the same or analogous offenses.



Sec. 384.214  Reciprocity.

    The State shall allow any person to operate a CMV in the State who 
is not disqualified from operating a CMV and who holds a CDL which is--
    (a) Issued to him or her by any other State or jurisdiction in 
accordance with part 383 of this title;
    (b) Not suspended, revoked, or canceled; and
    (c) Valid, under the terms of part 383, subpart F, of this title, 
for the type of vehicle being driven.



Sec. 384.215  First offenses.

    (a) General rule. The State shall disqualify from operating a CMV 
each person who is convicted, as defined in Sec. 383.5 of this title, in 
any State or jurisdiction, of a disqualifying offense specified in 
Sec. 383.51(b)(2) (i) through (iv) of this title, for no less than one 
year.
    (b) Special rule for hazardous materials offenses. If the offense 
under paragraph (a) of this section occurred while the driver was 
operating a vehicle transporting hazardous materials required to be 
placarded under the Hazardous Materials Transportation Act (implementing 
regulations at 49 CFR 177.823), the State shall disqualify the person 
for no less than three years.



Sec. 384.216  Second offenses.

    (a) General rule. The State shall disqualify for life from operating 
a CMV each person who is convicted, as defined in Sec. 383.5 of this 
title, in any State or jurisdiction, of a subsequent offense as 
described in Sec. 383.51(b)(3)(iv) of this title.
    (b) Special rule for certain lifetime disqualifications. The State 
where the disqualified driver resides after 10 years of disqualification 
have elapsed may reduce the lifetime disqualification of a person 
disqualified for life under Sec. 383.51(b)(3)(iv) of this title, to a 
minimum of ten years in accordance with Sec. 383.51(b)(3)(v) of this 
title.



Sec. 384.217  Drug offenses.

    The State shall disqualify from operating a CMV for life each person 
who is convicted, as defined in Sec. 383.5 of this title, in any State 
or jurisdiction, of using a CMV in the commission of a felony described 
in Secs. 383.51(b)(2)(v) and 383.51(b)(3)(iii) of this title. The State 
shall not apply the special rule in Sec. 384.216(b) to lifetime 
disqualifications imposed for controlled substance felonies as detailed 
in Secs. 383.51(b)(2)(v) and 383.51(b)(3)(iii) of this title.



Sec. 384.218  Second serious traffic violation.

    The State shall disqualify from operating a CMV for a period of not 
less than 60 days each person who, in a three-year period, is convicted, 
as defined in Sec. 383.5 of this title, in any State(s) or 
jurisdiction(s), of two serious traffic violations involving a CMV 
operated by such person, as specified in Secs. 383.51(c)(1) and 
383.51(c)(2)(i) of this title.

[[Page 797]]



Sec. 384.219  Third serious traffic violation.

    The State shall disqualify from operating a CMV for a period of not 
less than 120 days each person who, in a three-year period, is 
convicted, as defined in Sec. 383.5 of this title, in any State(s) or 
jurisdiction(s), of three serious traffic violations involving a CMV 
operated by such person, as specified in Secs. 383.51 (c)(1) and 
(c)(2)(ii) of this title. This disqualification period shall be in 
addition to any other previous period of disqualification.



Sec. 384.220  National Driver Register information.

    Before issuing a CDL to any person, the State shall, within the 
period of time specified in Sec. 384.232, perform the check of the 
National Driver Register in accordance with Sec. 383.73(a)(3)(iii) of 
this title, and, based on that information, promptly implement the 
disqualifications, licensing limitations, and/or penalties that are 
called for in any applicable section(s) of this subpart.



Sec. 384.221  Out-of-service regulations (intoxicating beverage).

    The State shall adopt, and enforce on operators of CMVs as defined 
in Secs. 383.5 and 390.5 of this title, the provisions of Sec. 392.5 (a) 
and (c) of this title in accordance with the Motor Carrier Safety 
Assistance Program as contained in 49 CFR part 350 and applicable policy 
and guidelines.



Sec. 384.222  [Reserved]



Sec. 384.223  Railroad-highway grade crossing violation.

    The State must have and enforce laws and/or regulations applicable 
to CMV drivers and their employers, as defined in Sec. 383.5 of this 
title, which meet the minimum requirements of Secs. 383.37(d), 
383.51(e), and 383.53(c) of this title.

[64 FR 48111, Sept. 2, 1999]

    Effective Date Note: At 64 FR 48111, Sept. 2, 1999, Sec. 384.223 was 
added, effective Oct. 4, 1999.



Secs. 384.224-384.230  [Reserved]



Sec. 384.231  Satisfaction of State disqualification requirement.

    (a) Applicability. The provisions of Secs. 384.203, 384.206(b), 
384.210, 384.213, 384.215 through 384.219, 384.221, and 384.231 apply to 
the State of licensure of the person affected by the provision. The 
provisions of Sec. 384.210 also apply to any State to which a person 
makes application for a transfer CDL.
    (b) Required action--(1) CDL holders. A State shall satisfy the 
requirement of this part that the State disqualify a person who holds a 
CDL by, at a minimum, suspending, revoking, or canceling the person's 
CDL for the applicable period of disqualification.
    (2) Non-CDL holders applies on and after May 18, 1997. A State shall 
satisfy the requirement of this subpart that the State disqualify a non-
CDL holder who is convicted of an offense or offenses necessitating 
disqualification under Sec. 383.51 by, at a minimum, implementing the 
limitation on licensing provisions of Sec. 384.210 and the timing and 
recordkeeping requirements of paragraphs (c) and (d) of this section so 
as to prevent such non-CDL holder from legally obtaining a CDL from any 
State during the applicable disqualification period(s) specified in this 
subpart.
    (c) Required timing. The State shall disqualify a driver as 
expeditiously as possible.
    (d) Recordkeeping requirements. The State shall maintain such driver 
records and cause such driver identification data to be retained on the 
CDLIS as the operator of the CDLIS specifies are necessary to the 
implementation and enforcement of the disqualifications called for in 
Secs. 384.215 through 384.219.

[59 FR 26039, May 18, 1994, as amended at 60 FR 57545, Nov. 16, 1995]



Sec. 384.232  Required timing of record checks.

    The State shall perform the record checks prescribed in 
Secs. 384.205, 384.206, and 384.220, no earlier than 10 days prior to 
issuance for licenses issued before October 1, 1995. For licenses issued

[[Page 798]]

after September 30, 1995, the State shall perform the record checks no 
earlier than 24 hours prior to issuance if the license is issued to a 
driver who does not currently possess a valid CDL from the same State 
and no earlier than 10 days prior to issuance for all other drivers.



         Subpart C--Procedures for Determining State Compliance



Sec. 384.301  Substantial compliance--general requirement.

    To be in substantial compliance with 49 U.S.C. 31311(a), a State 
must meet each and every standard of subpart B of this part by means of 
the demonstrable combined effect of its statutes, regulations, 
administrative procedures and practices, organizational structures, 
internal control mechanisms, resource assignments (facilities, 
equipment, and personnel), and enforcement practices.

[62 FR 37152, July 11, 1997]



Sec. 384.303  State certification for Federal fiscal year (FY) 1994.

    (a) FY 1994 certification requirement. Prior to July 18, 1994, each 
State shall review its compliance with this part and certify to the 
Federal Highway Administrator as prescribed in paragraph (b) of this 
section. The certification shall be submitted as a signed original and 
four copies to the State Director or Officer-in-Charge, Office of Motor 
Carriers, Federal Highway Administration, located in that State.
    (b) FY 1994 certification content. The certification shall consist 
of a statement signed by the Governor of the State, or by an official 
designated by the Governor, and reading as follows:

    I (name of certifying official), (position title), of the State 
(Commonwealth) of __________, do hereby certify that the State 
(Commonwealth) is in substantial compliance with all requirements of 49 
U.S.C. app. 2708(a), as defined in 49 CFR 384.301, and contemplates no 
changes in statutes, regulations, or administrative procedures, or in 
the enforcement thereof, which would affect such substantial compliance 
through [the last date of the current Federal fiscal year].

(Approved by the Office of Management and Budget under control number 
2125-0542)



Sec. 384.305  State certifications for Federal fiscal years after FY 1994.

    (a) Certification requirement. Prior to January 1 of each Federal 
fiscal year after FY 1994, each State shall review its compliance with 
this part and certify to the Federal Highway Administrator as prescribed 
in paragraph (b) of this section. The certification shall be submitted 
as a signed original and four copies to the State Director or Officer-
in-Charge, Office of Motor Carriers, Federal Highway Administration, 
located in that State.
    (b) Certification content. The certification shall consist of a 
statement signed by the Governor of the State, or by an official 
designated by the Governor, and reading as follows: ``I (name of 
certifying official), (position title), of the State (Commonwealth) of 
______, do hereby certify that the State (Commonwealth) has continuously 
been in substantial compliance with all requirements of 49 U.S.C. 
31311(a), as defined in 49 CFR 384.301, since [the first day of the 
current Federal fiscal year], and contemplates no changes in statutes, 
regulations, or administrative procedures, or in the enforcement 
thereof, which would affect such substantial compliance through [the 
last date of the current Federal fiscal year].''

(Approved by the Office of Management and Budget under control number 
2125-0542)

[59 FR 26039, May 18, 1994, as amended at 62 FR 37152, July 11, 1997]



Sec. 384.307  FHWA program reviews of State compliance.

    (a) FHWA program reviews. Each State's CDL program shall be subject 
to review to determine whether or not the State meets the general 
requirement for substantial compliance in Sec. 384.301. The State shall 
cooperate with and provide information in conjunction with any program 
reviews under this section.
    (b) Preliminary FHWA determination and State response. If, after 
review, a preliminary determination is made that a State does not meet 
one or more of the standards of subpart B of this part, the State will 
be informed accordingly prior to July 1 of the fiscal year

[[Page 799]]

in which the preliminary determination is made. The State will have up 
to thirty calendar days to respond to the preliminary determination. 
Upon request by the State, an informal conference will be provided 
during this time.
    (c) Final FHWA determination. If, after reviewing any timely 
response by the State to the preliminary determination, a final 
determination is made that the State is not in compliance with the 
affected standard, the State will be notified of the final 
determination.



Sec. 384.309  Results of compliance determination.

    (a) A State shall be determined not substantially in compliance with 
49 U.S.C. 31311(a) for any fiscal year in which it:
    (1) Fails to submit the certification as prescribed in this subpart; 
or
    (2) Does not meet one or more of the standards of subpart B of this 
part, as established in a final determination by the FHWA under 
Sec. 384.307(c).
    (b) A State shall be in substantial compliance with 49 U.S.C. 
31311(a) for any fiscal year in which neither of the eventualities in 
paragraph (a) of this section occurs.

[62 FR 37152, July 11, 1997]



             Subpart D--Consequences of State Noncompliance



Sec. 384.401  Withholding of funds based on noncompliance.

    (a) Following first year of noncompliance. An amount equal to five 
percent of the funds required to be apportioned to any State under each 
of sections 104(b)(1), 104(b)(3), and 104(b)(5) of title 23, U.S.C., 
shall be withheld on the first day of the fiscal year following such 
State's first year of noncompliance under this part.
    (b) Following second and subsequent year(s) of noncompliance. An 
amount equal to ten percent of the funds required to be apportioned to 
any State under each of sections 104(b)(1), 104(b)(3), and 104(b)(5) of 
title 23, U.S.C., shall be withheld on the first day of the fiscal year 
following such State's second or subsequent year of noncompliance under 
this part.



Sec. 384.403  Period of availability; effect of compliance and noncompliance.

    (a) Period of availability--(1) Funds withheld on or before 
September 30, 1995. Any funds withheld under this subpart from 
apportionment to any State on or before September 30, 1995, shall remain 
available for apportionment to such State as follows:
    (i) If such funds would have been apportioned under 23 U.S.C. 
104(b)(5)(B) but for the provisions of this subpart, such funds shall 
remain available until the end of the second fiscal year following the 
fiscal year for which such funds are authorized to be appropriated.
    (ii) If such funds would have been apportioned under 23 U.S.C. 
104(b)(1) or 104(b)(3) but for the provisions of this subpart, such 
funds shall remain available until the end of the third fiscal year 
following the fiscal year for which such funds are authorized to be 
appropriated.
    (2) Funds withheld after September 30, 1995. No funds withheld under 
this subpart from apportionment to any State after September 30, 1995, 
shall be available for apportionment to such State.
    (b) Apportionment of withheld funds after compliance. If, before 
September 10 of the last fiscal year for which funds withheld under this 
subpart from apportionment are to remain available for apportionment to 
a State under paragraph (a) of this section, the State makes the 
certification called for in Sec. 384.305 and a determination is made 
that the State has met the standards of subpart B of this part for a 
period of 365 days and continues to meet such standards, the withheld 
funds remaining available for apportionment to such State shall be 
apportioned to the State on the day following the last day of such 
fiscal year.
    (c) Period of availability of subsequently apportioned funds. Any 
funds apportioned pursuant to paragraph (b) of this section shall remain 
available for expenditure until the end of the third fiscal year 
succeeding the fiscal year in which such funds are apportioned. Sums not 
obligated at the end of such period shall lapse or, in the

[[Page 800]]

case of funds apportioned under 23 U.S.C. 104(b)(5), shall lapse and be 
made available by the Secretary for projects in accordance with 23 
U.S.C. 118(b).
    (d) Effect of noncompliance. If, at the end of the period for which 
funds withheld under this subpart from apportionment are available for 
apportionment under paragraph (a) of this section, the State has not met 
the standards of subpart B of this part for a 365-day period, such funds 
shall lapse or, in the case of funds apportioned under 23 U.S.C. 
104(b)(5), shall lapse and be made available by the Secretary for 
projects in accordance with 23 U.S.C. 118(b).



PART 385--SAFETY FITNESS PROCEDURES--Table of Contents




Sec.
385.1  Purpose and scope.
385.3  Definitions.
385.5  Safety fitness standard.
385.7  Factors to be considered in determining a safety rating.
385.9  Determination of a safety rating.
385.11  Notification of a safety rating.
385.13  Unsatisfactory rated motor carriers--prohibition on 
          transportation of hazardous materials and passengers; 
          ineligibility for Federal contracts.
385.15  Administrative review.
385.17  Change to safety rating based on corrective actions.
385.19  Safety fitness information.
385.21  Motor carrier identification report.
385.23  Failure to report.

Appendix A to Part 385--Form MCS-150, Motor Carrier Identification 
          Report
Appendix B to Part 385--Explanation of Safety Rating Process

    Authority: 49 U.S.C. 104, 504, 521(b)(5)(A), 5113, 31136, 31144, 
31502; and 49 CFR 1.48.

    Source: 53 FR 50968, Dec. 19, 1988, unless ohterwise noted.



Sec. 385.1  Purpose and scope.

    (a) This part establishes procedures to determine the safety fitness 
of motor carriers, to assign safety ratings, to take remedial action 
when required, and to prohibit motor carriers receiving a safety rating 
of ``unsatisfactory'' from operating a commercial motor vehicle:
    (1) To provide transportation of hazardous materials for which 
vehicle placarding is required in accordance with part 172, subpart F of 
this title; or
    (2) To transport more than 15 passengers, including the driver.
    (b) The provisions of this part apply to all motor carriers subject 
to the requirements of this subchapter.

[56 FR 40805, Aug. 16, 1991]



Sec. 385.3  Definitions.

    Applicable safety regulations or requirements means 49 CFR subtitle 
B, chapter III, Subchapter B--Federal Motor Carrier Safety Regulations; 
and 49 CFR subtitle B, chapter I, Subchapter C--Hazardous Materials 
Regulations.
    Commercial motor vehicle shall have the same meaning as described in 
Sec. 390.5 of this subchapter.
    Preventable accident on the part of a motor carrier means an 
accident (1) that involved a commercial motor vehicle, and (2) that 
could have been averted but for an act, or failure to act, by the motor 
carrier or the driver.
    Reviews. For the purposes of this part:
    (1) Compliance review means an on-site examination of motor carrier 
operations, such as drivers' hours of service, maintenance and 
inspection, driver qualification, commercial drivers license 
requirements, financial responsibility, accidents, hazardous materials, 
and other safety and transportation records to determine whether a motor 
carrier meets the safety fitness standard. A compliance review may be 
conducted in response to a request to change a safety rating, to 
investigate potential violations of safety regulations by motor 
carriers, or to investigate complaints or other evidence of safety 
violations. The compliance review may result in the initiation of an 
enforcement action.
    (2) [Reserved]
    (3) Safety management controls means the systems, policies programs, 
practices, and procedures used by a motor carrier to ensure compliance 
with applicable safety and hazardous materials regulations which ensure 
the safe movement of products and passengers through the transportation 
system, and to reduce the risk of highway accidents and hazardous 
materials incidents resulting in fatalities, injuries, and property 
damage.
    Safety ratings: (1) Satisfactory safety rating means that a motor 
carrier has

[[Page 801]]

in place and functioning adequate safety management controls to meet the 
safety fitness standard prescribed in Sec. 385.5. Safety management 
controls are adequate if they are appropriate for the size and type of 
operation of the particular motor carrier.
    (2) Conditional safety rating means a motor carrier does not have 
adequate safety management controls in place to ensure compliance with 
the safety fitness standard that could result in occurrences listed in 
Sec. 385.5 (a) through (k).
    (3) Unsatisfactory safety rating means a motor carrier does not have 
adequate safety management controls in place to ensure compliance with 
the safety fitness standard which has resulted in occurrences listed in 
Sec. 385.5 (a) through (k).
    (4) Unrated carrier means that a safety rating has not been assigned 
to the motor carrier by the FHWA.

[53 FR 50968, Dec. 19, 1988, as amended at 56 FR 40805, Aug. 16, 1991; 
62 FR 60042, Nov. 6, 1997]



Sec. 385.5  Safety fitness standard.

    The satisfactory safety rating is based on the degree of compliance 
with the safety fitness standard for motor carriers. To meet the safety 
fitness standard, the motor carrier shall demonstrate that it has 
adequate safety management controls in place, which function effectively 
to ensure acceptable compliance with applicable safety requirements to 
reduce the risk associated with:
    (a) Commercial driver's license standard violations (part 383),
    (b) Inadequate levels of financial responsibility (part 387),
    (c) The use of unqualified drivers (part 391),
    (d) Improper use and driving of motor vehicles (part 392),
    (e) Unsafe vehicles operating on the highways (part 393),
    (f) Failure to maintain accident registers and copies of accident 
reports (part 390),
    (g) The use of fatigued drivers (part 395),
    (h) Inadequate inspection, repair, and maintenance of vehicles (part 
396),
    (i) Transportation of hazardous materials, driving and parking rule 
violations (part 397),
    (j) Violation of hazardous materials regulations (parts 170 through 
177), and
    (k) Motor vehicle accidents and hazardous materials incidents.

[53 FR 50968, Dec. 19, 1988, as amended at 58 FR 33776, June 21, 1993]



Sec. 385.7  Factors to be considered in determining a safety rating.

    The factors to be considered in determining the safety fitness and 
assigning a safety rating include information from safety reviews, 
compliance reviews and any other data. The factors may include all or 
some of the following:
    (a) Adequacy of safety management controls. The adequacy of controls 
may be questioned if their degree of formalization, automation, etc., is 
found to be substantially below the norm for similar carriers. 
Violations, accidents or incidents substantially above the norm for 
similar carriers will be strong evidence that management controls are 
either inadequate or not functioning properly.
    (b) Frequency and severity of regulatory violations.
    (c) Frequency and severity of driver/vehicle regulatory violations 
identified in roadside inspections.
    (d) Number and frequency of out-of-service driver/vehicle 
violations.
    (e) Increase or decrease in similar types of regulatory violations 
discovered during safety or compliance reviews.
    (f) Frequency of accidents; hazardous materials incidents; accident 
rate per million miles; preventable accident rate per million miles; and 
other accident indicators; and whether these accident and incident 
indicators have improved or deteriorated over time.
    (g) The number and severity of violations of state safety rules, 
regulations, standards, and orders applicable to commercial motor 
vehicles and motor carrier safety that are compatible with Federal 
rules, regulations, standards, and orders.

[53 FR 50968, Dec. 19, 1988, as amended at 58 FR 33776, June 21, 1993]

[[Page 802]]



Sec. 385.9  Determination of a safety rating.

    (a) Following a compliance review of a motor carrier operation, the 
FHWA, using the factors prescribed in Sec. 385.7 as computed under the 
Safety Fitness Rating Methodology set forth in appendix B of this part, 
shall determine whether the present operations of the motor carrier are 
consistent with the safety fitness standard set forth in Sec. 385.5, and 
assign a safety rating accordingly.
    (b) Unless otherwise specifically provided in this part, a safety 
rating will be issued to a motor carrier within 30 days following the 
completion of a compliance review.

[62 FR 60042, Nov. 6, 1997]



Sec. 385.11  Notification of a safety rating.

    (a) Except as provided elsewhere in this section, written 
notification of the safety rating will be provided to a motor carrier as 
soon as practicable after assignment of the rating, but not later than 
30 days after the review that produced the rating.
    (b) Before a safety rating of unsatisfactory or conditional, is 
assigned to any motor carrier, the FHWA will issue a notice of proposed 
safety rating. The notice of proposed safety rating will list the 
deficiencies discovered during the review of the motor carrier's 
operations, for which corrective actions must be taken. A proposed 
conditional safety rating (which is an improvement of an existing 
unsatisfactory safety rating) becomes effective as soon as it issued 
from Washington, D.C., and the carrier may also avail itself of relief 
under the Sec. 385.15, Administrative Review and Sec. 385.17, Change to 
safety rating based on corrective actions.
    (c) A notice of a proposed safety rating of unsatisfactory will 
indicate that, if the unsatisfactory rating becomes final, the motor 
carrier will be subject to the provisions of Sec. 385.13, which prohibit 
motor carriers rated unsatisfactory from transporting hazardous 
materials or passengers, and other consequences that may result from 
such rating.
    (d) Except as provided in Sec. 385.17, a proposed safety rating 
issued pursuant to paragraph (b) of this section will become the motor 
carrier's final safety rating 45 days after the date the notice of 
proposed safety rating is received by the motor carrier.

[62 FR 60042, Nov. 6, 1997]



Sec. 385.13  Unsatisfactory rated motor carriers--prohibition on transportation of hazardous materials and passengers; ineligibility for Federal contracts.

    (a) A motor carrier rated unsatisfactory is prohibited from 
operating a commercial motor vehicle to transport--
    (1) Hazardous materials for which vehicle placarding is required 
pursuant to part 172 of chapter 1 of this title; or
    (2) More than 15 passengers, including the driver.
    (b) A motor carrier subject to the provisions of paragraph (a) of 
this section is ineligible to contract or subcontract with any Federal 
agency for transportation of the property or passengers referred to in 
paragraphs (a)(1) and (a)(2) of this section.
    (c) Penalties. When a carrier subject to the prohibitions in 
paragraph (a) of this section is known to transport the property or 
passengers referred to therein, an order will be issued placing those 
operations out of service. Any motor carrier that operates commercial 
motor vehicles in violation of this section will be subject to the 
penalty provisions listed in part 386 of this chapter.

[62 FR 60042, Nov. 6, 1997]



Sec. 385.15  Administrative review.

    (a) Within the 45 day notice period provided in Sec. 385.11(d), or 
within 45 days after denial of a request for a change in rating as 
provided in Sec. 385.17(g), the motor carrier may petition the FHWA for 
administrative review of a proposed or final safety rating by submitting 
a written request to the Director, Office of Motor Carrier Field 
Operations, 400 Seventh Street, SW., Washington DC 20590.
    (b) The petition must state why the proposed safety rating is 
believed to be in error and list all factual and procedural issues in 
dispute. The petition may be accompanied by any information or documents 
the motor carrier is

[[Page 803]]

relying upon as the basis for its petition.
    (c) The Director, Office of Motor Carrier Field Operations, may 
request the petitioner to submit additional data and attend a conference 
to discuss the safety rating. Failure to provide the information 
requested or attend the conference may result in dismissal of the 
petition.
    (d) The petitioner shall be notified in writing of the decision on 
administrative review. The notification will occur within 30 days after 
receipt of a petition from a hazardous materials or passenger motor 
carrier.
    (e) If the decision on administrative review results in a final 
rating of unsatisfactory for a hazardous materials or passenger motor 
carrier, the decision shall be accompanied by an appropriate out-of-
service order.
    (f) All other decisions on administrative review of ratings 
constitute final agency action. Thereafter, improvement in the rating 
may be obtained under Sec. 385.17 of this part.

[62 FR 60043, Nov. 6, 1997]



Sec. 385.17  Change to safety rating based on corrective actions.

    (a) Within the 45-day period specified in Sec. 385.11(d), or at any 
time after a rating has become final, a motor carrier may request a 
change to a proposed or final safety rating based on evidence that 
corrective actions have been taken and that its operations currently 
meet the safety standard and factors specified in Sec. 385.9.
    (b) A request for a change must be made, in writing, to the Regional 
Director, Office of Motor Carriers, for the FHWA Region in which the 
carrier maintains its principal place of business, and must include a 
written description of corrective actions taken and other documentation 
that may be relied upon as a basis for the requested change to the 
proposed rating.
    (c) The final determination on the request for change will be based 
upon the documentation submitted and any additional investigation deemed 
necessary.
    (d) The filing of a request for change to a proposed rating under 
this section does not stay the 45-day period established in 
Sec. 385.11(d), after which a proposed safety rating becomes final. If 
the motor carrier has submitted evidence that corrective actions have 
been taken pursuant to this section and a final determination cannot be 
made within the 45-day period, the period before the proposed safety 
rating becomes effective may be extended for up to 10 days at the 
discretion of the Regional Director.
    (e) If it is determined that the motor carrier has taken the 
corrective actions required and that its operations currently meet the 
safety standard and factors specified in Sec. 385.9, the motor carrier 
will be provided with written notification that the proposed rating will 
not be assigned, or, if already assigned, rescinded.
    (f) If it is determined that the motor carrier has not taken all the 
corrective actions required or that its operations still fail to meet 
the safety standards and factors specified in Sec. Sec. 385.5 and 385.7, 
the motor carrier shall be provided with written notification that its 
request has been denied and that the proposed safety rating will become 
final pursuant to Sec. 385.11(d), or that a safety rating currently in 
effect will not be changed.
    (g) Any motor carrier whose request for change is denied pursuant to 
paragraph (f) of this section may petition for administrative review 
pursuant to Sec. 385.15 within 45 days of the denial of the request for 
rating change. If the proposed rating has become final, it shall remain 
in effect during the period of any administrative review unless stayed 
by the reviewing official.

[62 FR 60043, Nov. 6, 1997]



Sec. 385.19  Safety fitness information.

    (a) Final ratings will be made available to other Federal and State 
agencies in writing, telephonically or by remote computer access.
    (b) The final safety rating assigned to a motor carrier will be made 
available to the public upon request. Any person requesting the assigned 
rating of a motor carrier shall provide the FHWA with the motor 
carrier's name, principal office address, and, if known, the DOT number 
or the ICC docket number, if any.
    (c) Requests shall be addressed to the Office of Motor Carrier 
Information

[[Page 804]]

Management and Analysis, HIA-1, Federal Highway Administration, 400 
Seventh Street, SW., Washington, D.C. 20590.
    (d) Oral requests by telephone to (800) 832-5660 will be given an 
oral response.

[62 FR 60043, Nov. 6, 1997]



Sec. 385.21  Motor carrier identification report.

    (a) All motor carriers currently conducting operations in interstate 
or foreign commerce shall file a Motor Carrier Identification Report, 
Form MCS-150, within 90 days after the effective date of this rule. 
Exception: The provisions of this section do not apply to a motor 
carrier that has received written notification of a safety rating from 
the FHWA.
    (b) All motor carriers beginning operation after the effective date 
of this rule shall file the Motor Carrier Identification Report, Form 
MCS-150, within 90 days after beginning operations.
    (c) The Motor Carrier Identification Report, Form MCS-150, is 
available from all FHWA region and division motor carrier safety offices 
nationwide and from FHWA Office of Motor Carrier Information Management 
and Analysis, 400 Seventh Street, SW., Washington, DC 20590.
    (d) The completed Motor Carrier Identification Report, Form MCS-150, 
shall be filed with the FHWA, Office of Motor Carrier Information 
Management and Analysis, 400 Seventh Street, SW., Washington, DC 20590.



Sec. 385.23  Failure to report.

    Failure by a motor carrier to file a Motor Carrier Identification 
Report, Form MCS-150, pursuant to the provisions of Sec. 385.21, or 
furnishing misleading information or making false statements upon the 
MCS-150 shall subject the offender to the penalties prescribed in title 
49, United States Code, 522(b).

[53 FR 50968, Dec. 19, 1988, as amended at 60 FR 38743, July 28, 1995]

[[Page 805]]

          Appendix A to Part 385--Form MCS-150, Motor Carrier 
                         Identification Report

            (Approved by OMB under control number 2125-0544)
[GRAPHIC] [TIFF OMITTED] TC01AP91.014


[[Page 806]]



                                 Notice

    The Form MCS-150, Motor Carrier Identification Report, must be filed 
by all motor carriers operating in interstate or foreign commerce. A new 
motor carrier must file Form MCS-150 within 90 days after beginning 
operations. Exception: A motor carrier that has received written 
notification of a safety rating from the Federal Highway Administration 
(FHWA) need not file the report. To mail, fold the completed report so 
that the self-addressed postage paid panel is on the outside. This 
report is required by 49 CFR Part 385 and authorized by 49 U.S.C. 504 
(1982 & Supp. III 1985).
    The public reporting burden for this collection of information on 
the Form MCS-150 is estimated by the FHWA to average 20 minutes. If you 
wish to comment on the accuracy of the estimate or make suggestions for 
reducing this burden, please direct your comments to Office of 
Management and Budget and the FHWA at the following addresses:

Office of Management and Budget, Paperwork Reduction Project, 
Washington, DC 20503
      and
Federal Highway Administration, Office of Motor Carrier Field 
Operations, HFO-10, 400 7th Street, SW, Washington, DC 20590

  Instructions for Completing the Motor Carrier Identification Report 
                                (MCS-150)

                 (Please Print or Type All Information)

1. Enter the name of the business entity (i.e. corporation, partnership, 
          or individual) that owns and controls the motor carrier 
          operation.
2. If the business entity is operating under a name other than that in 
          Block 1, i.e. ``trade name'', enter that name. Otherwise, 
          leave blank.
3. Enter the principal place of business (where all safety records are 
          maintained) street address.
4. Enter the city where the principal place of business is located.
5. Enter the name of the county in which the principal place of business 
          is located.
6. Enter the two-letter postal abbreviation for the State, or the name 
          of the Canadian Province or Mexican State, in which the 
          principal place of business is located.
7. Enter the zip code number corresponding with the street address.
8. Enter the telephone number including area code of the principal place 
          of business.
9. Enter the motor carrier `MC' number under which the Interstate 
          Commerce Commission (ICC) issued your operating authority, if 
          appropriate. Otherwise, enter ``N/A.''
10. Enter the identification number assigned to your motor carrier 
          operation by the U.S. Department of Transportation, if known. 
          Otherwise, enter ``unknown.''
11. Circle appropriate classification. Circle all that apply. If F 
          ``other'' is circled, enter the type of operation in the space 
          provided.
    A. Authorized For Hire
    B. Exempt For Hire
    C. Private
    D. Migrant
    E. U.S. Mail
    F. Other ____________________

    Authorized For Hire-- transportation for compensation as a common or 
contract carrier of property, owned by others, or passengers under the 
provisions of the ICC.
    Exempt For Hire-- transportation for compensation of property exempt 
from the economic regulation by the ICC.
    Private-- transportation of property, owned or leased by the motor 
carrier, in furtherance of a commercial enterprise other than for-hire 
transportation.
    Migrant-- interstate transportation, including a contract carrier, 
but not a common carrier of 3 or more migrant workers to or from their 
employment by any motor vehicle other than a passenger automobile or 
station wagon.
    U.S. Mail-- transportation of U.S. Mail under contract with the U.S. 
Postal Service.
12. Circle the letter of the types of cargo you usually transport. If Z 
          ``other,'' is circled enter the name of the commodity in the 
          space provided.
13. Circle the appropriate type of operation.
    A. Interstate
    B. Intrastate, transporting hazardous materials (49 CFR 100-178)
    C. Intrastate, NOT transporting hazardous materials.
    Interstate-- transportation of persons or property across State 
lines, including international boundaries, or wholly within one State as 
part of a through movement that originates or terminates in another 
State or country.
    Intrastate-- transportation of persons or property wholly within one 
State.
14. Circle the letter of all of the types of hazardous materials (HM) 
          you transport. In the columns following the HM types, either 
          circle T if the HM is transported in cargo tanks or P if the 
          HM is transported in other packages.
15. Enter the total number of vehicles owned, term leased and trip 
          leased, that are, or can be, operational the day this form is 
          completed.
16. Enter the number of drivers used on an average work day. Part-time, 
          casual, term leased, trip leased and company drivers are to be 
          included.

[[Page 807]]

    100 mile radius driver-- a driver that operates within a 100 air-
mile radius of the normal work reporting location.
17. Print or type the name, in the space provided, of the individual 
          authorized to sign documents on behalf of the entity listed in 
          Block 1. That individual must sign, date, and show his or her 
          title in the spaces provided. (Certification Statement, see 49 
          CFR 385.21 and 385.23)

[56 FR 5365, Feb. 11, 1991]

      Appendix B to Part 385--Explanation of Safety Rating Process

    (a) Section 215 of the Motor Carrier Safety Act of 1984 (49 U.S.C. 
31144) directed the Secretary of Transportation to establish a procedure 
to determine the safety fitness of owners and operators of commercial 
motor vehicles operating in interstate or foreign commerce. The 
Secretary, in turn, delegated this responsibility to the Federal Highway 
Administration (FHWA).
    (b) As directed, FHWA promulgated a safety fitness regulation, 
entitled ``Safety Fitness Procedures,'' which established a procedure to 
determine the safety fitness of motor carriers through the assignment of 
safety ratings and established a ``safety fitness standard'' which a 
motor carrier must meet to obtain a satisfactory safety rating.
    (c) To meet the safety fitness standard, a motor carrier must 
demonstrate to the FHWA that it has adequate safety management controls 
in place which function effectively to ensure acceptable compliance with 
the applicable safety requirements. A ``safety fitness rating 
methodology'' (SFRM) was developed by the FHWA, which uses data from 
compliance reviews (CRs) and roadside inspections to rate motor 
carriers.
    (d) The safety rating process developed by FHWA's Office of Motor 
Carriers is used to:
    1. Evaluate safety fitness and assign one of three safety ratings 
(satisfactory, conditional or unsatisfactory) to motor carriers 
operating in interstate commerce. This process conforms to 49 CFR 385.5, 
Safety fitness standard, and Sec. 385.7, Factors to be considered in 
determining a safety rating.
    2. Identify motor carriers needing improvement in their compliance 
with the Federal Motor Carrier Safety Regulations (FMCSRs) and 
applicable Hazardous Material Regulations (HMRs). These are carriers 
rated unsatisfactory or conditional.

                I. Source of Data for Rating Methodology

    (a) The FHWA's rating process is built upon the operational tool 
known as the CR. This tool was developed to assist Federal and State 
safety specialists in gathering pertinent motor carrier compliance and 
accident information.
    (b) The CR is an in-depth examination of a motor carrier's 
operations and is used (1) to rate unrated motor carriers, (2) to 
conduct a follow-up investigation on motor carriers rated unsatisfactory 
or conditional as a result of a previous review, (3) to investigate 
complaints, or (4) in response to a request by a motor carrier to 
reevaluate its safety rating. Documents such as those contained in 
driver qualification files, records of duty status, vehicle maintenance 
records, and other records are thoroughly examined for compliance with 
the FMCSRs and HMRs. Violations are cited on the CR document. 
Performance-based information, when available, is utilized to evaluate 
the carrier's compliance with the vehicle regulations. Recordable 
accident information is also collected.

           II. Converting CR Information Into a Safety Rating

    (a) The FHWA gathers information through an in-depth examination of 
the motor carrier's compliance with identified ``acute'' or ``critical'' 
regulations of the FMCSRs and HMRs.
    (b) Acute regulations are those identified as such where 
noncompliance is so severe as to require immediate corrective actions by 
a motor carrier regardless of the overall safety posture of the motor 
carrier. An example of an acute regulation is Sec. 383.37(b), allowing, 
requiring, permitting, or authorizing an employee with more than one 
Commercial Driver's License (CDL) to operate a commercial motor vehicle. 
Noncompliance with Sec. 383.37(b) is usually discovered when the motor 
carrier's driver qualification file reflects that the motor carrier had 
knowledge of a driver with more than one CDL, and still permitted the 
driver to operate a commercial motor vehicle. If the motor carrier did 
not have such knowledge or could not reasonably be expected to have such 
knowledge, then a violation would not be cited.
    (c) Critical regulations are those identified as such where 
noncompliance relates to management and/or operational controls. These 
are indicative of breakdowns in a carrier's management controls. An 
example of a critical regulation is Sec. 395.3(a)(1), requiring or 
permitting a driver to drive more than 10 hours.
    (d) The list of the acute and critical regulations which are used in 
determining safety ratings is included at the end of this document.
    (e) Noncompliance with acute regulations and patterns of non-
compliance with critical regulations are quantitatively linked to 
inadequate safety management controls and usually higher than average 
accident rates. The FHWA has used noncompliance with acute regulations 
and patterns of noncompliance with critical regulations since 1989 to 
determine motor carriers' adherence to the Safety fitness standard in 
Sec. 385.5.

[[Page 808]]

    (f) The regulatory factors, evaluated on the basis of the adequacy 
of the carrier's safety management controls, are (1) Parts 387 and 390; 
(2) Parts 382, 383 and 391; (3) Parts 392 and 395; (4) Parts 393 and 396 
when there are less than three vehicle inspections in the last 12 months 
to evaluate; and (5) Parts 397, 171, 177 and 180.
    (g) For each instance of noncompliance with an acute regulation or 
each pattern of noncompliance with a critical regulation during the CR, 
one point will be assessed. A pattern is more than one violation. When a 
number of documents are reviewed, the number of violations required to 
meet a pattern is equal to at least 10 percent of those examined.
    (h) However, each pattern of noncompliance with a critical 
regulation relative to Part 395, Hours of Service of Drivers, will be 
assessed two points.

                            A. Vehicle Factor

    (a) When a total of three or more inspections are recorded in the 
Motor Carrier Management Information System (MCMIS) during the twelve 
months prior to the CR or performed at the time of the review, the 
Vehicle Factor (Parts 393 and 396) will be evaluated on the basis of the 
Out-of-Service (OOS) rates and noncompliance with acute regulations and/
or a pattern of noncompliance with critical regulations. The results of 
the review of the OOS rate will affect the Vehicle Factor rating as 
follows:
    1. If a motor carrier has three or more roadside vehicle inspections 
in the twelve months prior to the carrier review, or three vehicles 
inspected at the time of the review, or a combination of the two 
totaling three or more, and the vehicle OOS rate is 34 percent or 
greater, the initial factor rating will be conditional. The requirements 
of Part 396, Inspection, Repair, and Maintenance, will be examined 
during each review. The results of the examination could lower the 
factor rating to unsatisfactory if noncompliance with an acute 
regulation or a pattern of noncompliance with a critical regulation is 
discovered. If the examination of the Part 396 requirements reveals no 
such problems with the systems the motor carrier is required to maintain 
for compliance, the Vehicle Factor remains conditional.
    2. If a carrier's vehicle OOS rate is less than 34 percent, the 
initial factor rating will be satisfactory. If noncompliance with an 
acute regulation or a pattern of noncompliance with a critical 
regulation is discovered during the examination of Part 396 
requirements, the factor rating will be lowered to conditional. If the 
examination of Part 396 requirements discovers no such problems with the 
systems the motor carrier is required to maintain for compliance, the 
Vehicle Factor remains satisfactory.
    (b) Nearly two million vehicle inspections occur on the roadside 
each year. This vehicle inspection information is retained in the MCMIS 
and is integral to evaluating motor carriers' ability to successfully 
maintain their vehicles, thus preventing them from being placed OOS 
during roadside inspections. Since many of the roadside inspections are 
targeted to visibly defective vehicles and since there are a limited 
number of inspections for many motor carriers, the use of that data is 
limited. Each CR will continue to have the requirements of Part 396, 
Inspection, Repair, and Maintenance, reviewed as indicated by the above 
explanation.

                           B. Accident Factor

    (a) In addition to the five regulatory rating factors, a sixth 
factor is included in the process to address the accident history of the 
motor carrier. This factor is the recordable accident rate which the 
carrier has experienced during the past 12 months. Recordable accident, 
as defined in 49 CFR 390.5, means an accident involving a commercial 
motor vehicle operating on a public road in interstate or intrastate 
commerce which results in a fatality; bodily injury to a person who, as 
a result of the injury, immediately receives medical treatment away from 
the scene of the accident; one or more motor vehicles incurring 
disabling damage as a result of the accident requiring the motor vehicle 
to be transported away from the scene by a tow truck or other motor 
vehicle.
    (b) Recordable accidents per million miles were computed for each CR 
performed in Fiscal Years 1994,1995 and 1996. The national average for 
all carriers rated was 0.747, and .839 for carriers operating entirely 
within the 100 air mile radius.
    (c) Experience has shown that urban carriers, those motor carriers 
operating primarily within a radius of less than 100 air miles (normally 
in urban areas) have a higher exposure to accident situations because of 
their environment and normally have higher accident rates.
    (d) The recordable accident rate will be used to rate Factor 6, 
Accident. It will be used only when a motor carrier incurs two or more 
recordable accidents occurred within the 12 months prior to the CR. An 
urban carrier (a carrier operating entirely within a radius of 100 air 
miles) with a recordable accident rate greater than 1.7 will receive an 
unsatisfactory rating for the accident factor. All other carriers with a 
recordable accident rate greater than 1.5 will receive an unsatisfactory 
factor rating. The rates are a result of roughly doubling the national 
average accident rate for each type of carrier rated in Fiscal Years 
1994, 1995 and 1996.
    (e) The FHWA will continue to consider preventability when a motor 
carrier contests a rating by presenting compelling evidence that the 
recordable rate is not a fair means

[[Page 809]]

of evaluating its accident factor. Preventability will be determined 
according to the following standard: ``If a driver, who exercises normal 
judgment and foresight could have foreseen the possibility of the 
accident that in fact occurred, and avoided it by taking steps within 
his/her control which would not have risked causing another kind of 
mishap, the accident was preventable.''

                            C. Factor Ratings

    (a) Parts of the FMCSRs and the HMRs having similar characteristics 
are combined together into five regulatory areas called ``factors.''
    (b) The following table shows the five regulatory factors, parts of 
the FMCSRs and HMRs associated with each factor, and the accident 
factor. Factor Ratings are determined as follows:

                                 Factors

Factor 1  General=Parts 387 and 390
Factor 2  Driver=Parts 382, 383 and 391
Factor 3  Operational=Parts 392 and 395
Factor 4  Vehicle=Parts 393 and 396
Factor 5  Haz. Mat.=Parts 397, 171, 177 and 180
Factor 6  Accident Factor=Recordable Rate

``Satisfactory''--if the acute and/or critical=0 points
``Conditional''--if the acute and/or critical=1 point
``Unsatisfactory''--if the acute and/or critical=2 or more points

                           III. Safety Rating

                             A. Rating Table

    (a) The ratings for the six factors are then entered into a rating 
table which establishes the motor carrier's safety rating.
    (b) The FHWA has developed a computerized rating formula for 
assessing the information obtained from the CR document and is using 
that formula in assigning a safety rating.

                    Motor Carrier Safety Rating Table
------------------------------------------------------------------------
                   Factor ratings
-----------------------------------------------------   Overall  Safety
         Unsatisfactory               Conditional           rating
------------------------------------------------------------------------
0...............................  2 or fewer........  Satisfactory
0...............................  more than 2.......  Conditional
1...............................  2 or fewer........  Conditional
1...............................  more than 2.......  Unsatisfactory
2 or more.......................  0 or more.........  Unsatisfactory
------------------------------------------------------------------------

                        B. Proposed Safety Rating

    (a) The proposed safety rating will appear on the CR. The following 
appropriate information will appear after the last entry on the CR, MCS-
151, part B.
    ``Your proposed safety rating is SATISFACTORY.''

                                   OR

    ``Your proposed safety rating is CONDITIONAL.'' The proposed safety 
rating will become the final safety rating 45 days after you receive 
this notice.

                                   OR

    ``Your proposed safety rating is UNSATISFACTORY.'' The proposed 
safety rating will become the final safety rating 45 days after you 
receive this notice
    (b) Proposed safety ratings of conditional or unsatisfactory will 
list the deficiencies discovered during the CR for which corrective 
actions must be taken.
    (c) Proposed unsatisfactory safety ratings will indicate that, if 
the unsatisfactory rating becomes final, the motor carrier will be 
subject to the provision of Sec. 385.13, which prohibits motor carriers 
rated unsatisfactory from transporting hazardous materials requiring 
placarding or more than 15 passengers, including the driver.

        IV. Assignment of Final Rating/Motor Carrier Notification

    When the official rating is determined in Washington, D.C., the FHWA 
notifies the motor carrier in writing of its safety rating as prescribed 
in Sec. 385.11. A proposed conditional safety rating (which is an 
improvement of an existing unsatisfactory rating) becomes effective as 
soon as the official safety rating from Washington, D.C. is issued, and 
the carrier may also avail itself of relief under the Sec. 385.15, 
Administrative Review and Sec. 385.17, Change to safety rating based on 
corrective actions.

        V. Motor Carrier Rights to a Change in the Safety Rating

    Under Secs. 385.15 and 385.17, motor carriers have the right to 
petition for a review of their ratings if there are factual or 
procedural disputes, and to request another review after corrective 
actions have been taken. They are the procedural avenues a motor carrier 
which believes its safety rating to be in error may exercise, and the 
means to request another review after corrective action has been taken.

                             VI. Conclusion

    (a) The FHWA believes this ``safety fitness rating methodology'' is 
a reasonable approach for assigning a safety rating which best describes 
the current safety fitness posture of a motor carrier as required by the 
safety fitness regulations (Sec. 385.9). This methodology has the 
capability to incorporate regulatory changes as they occur.
    (b) Improved compliance with the regulations leads to an improved 
rating, which in turn increases safety. This increased safety is our 
regulatory goal.

[[Page 810]]

               VII. List of Acute and Critical Regulations

Sec. 382.115(c)  Failing to implement an alcohol and/or controlled 
substance testing program. (acute)
Sec. 382.201  Using a driver who has an alcohol concentration of 0.04 or 
greater. (acute)
Sec. 382.211  Using a driver who has refused to submit to an alcohol 
controlled substances test required under Part 382. (acute)
Sec. 382.213(b)  Using a driver who has used a controlled substance. 
(acute)
Sec. 382.215  Using a driver who has tested positive for a controlled 
substance. (acute)
Sec. 382.301(a)  Using a driver before the motor carrier has received 
negative pre-employment controlled substance test results. (critical)
Sec. 382.303(a)  Failing to conduct post accident testing on driver for 
alcohol and/or controlled substances. (critical)
Sec. 382.305  Failing to implement a random controlled substances and/or 
an alcohol testing program. (acute)
Sec. 382.305(b)(1)  Failing to conduct random alcohol testing at an 
annual rate of not less than 25 percent of the average number of driver 
positions. (critical)
Sec. 382.305(b)(2)  Failing to conduct random controlled substances 
testing at an annual rate of not less than 50 percent of the average 
number of driver positions. (critical)
Sec. 382.309(a)  Using a driver who has not undergone a return-to-duty 
alcohol test with a result indicating an alcohol concentration of less 
than 0.02. (acute)
Sec. 382.309(b)  Using a driver who has not undergone a return-to-duty 
controlled substances test with a result indicating a verified negative 
result for controlled substances. (acute)
Sec. 382.503  Driver performing safety sensitive function, after 
engaging in conduct prohibited by Subpart B, without being evaluated by 
substance abuse professional, as required by Sec. 382.605. (critical)
Sec. 382.505(a)  Using a driver within 24 hours after being found to 
have an alcohol concentration of 0.02 or greater but less than 0.04. 
(acute)
Sec. 382.605(c)(1)  Using a driver who has not undergone a return-to-
duty alcohol test with a result indicating an alcohol concentration of 
less than .02 or with verified negative test result, after engaging in 
conduct prohibited by Part 382 Subpart B. (acute)
Sec. 382.605(c)(2)(ii)  Failing to subject a driver who has been 
identified as needing assistance to at least six unannounced follow-up 
alcohol and controlled substance tests in the first 12 months following 
the driver's return to duty. (critical)
Sec. 383.23(a)  Operating a commercial motor vehicle without a valid 
commercial driver's license. (critical)
Sec. 383.37(a)  Allowing, requiring, permitting, or authorizing an 
employee with a Commercial Driver's License which is suspended, revoked, 
or canceled by a state or who is disqualified to operate a commercial 
motor vehicle. (acute)
Sec. 383.37(b)  Allowing, requiring, permitting, or authorizing an 
employee with more than one Commercial Driver's License to operate a 
commercial motor vehicle. (acute)
Sec. 383.51(a)  Allowing, requiring, permitting, or authorizing a driver 
to drive who is disqualified to drive a commercial motor vehicle. 
(acute)
Sec. 387.7(a)  Operating a motor vehicle without having in effect the 
required minimum levels of financial responsibility coverage. (acute)
Sec. 387.7(d)  Failing to maintain at principal place of business 
required proof of financial responsibility. (critical)
Sec. 387.31(a)  Operating a passenger carrying vehicle without having in 
effect the required minimum levels of financial responsibility. (acute)
Sec. 387.31(d)  Failing to maintain at principal place of business 
required proof of financial responsibility for passenger vehicles. 
(critical)
Sec. 390.15(b)(2)  Failing to maintain copies of all accident reports 
required by State or other governmental entities or insurers. (critical)
Sec. 390.35  Making, or causing to make fraudulent or intentionally 
false statements or records and/or reproducing fraudulent records. 
(acute)
Sec. 391.11(a)/391.95  Using an unqualified driver, a driver who has 
tested positive for controlled substances, or refused to be tested as 
required. (acute)
Sec. 391.11(b)(6)  Using a physically unqualified driver. (acute)
Sec. 391.15(a)  Using a disqualified driver. (acute)
Sec. 391.45(a)  Using a driver not medically examined and certified. 
(critical)
Sec. 391.45(b)  Using a driver not medically examined and certified each 
24 months. (critical)
Sec. 391.51(a)  Failing to maintain driver qualification file on each 
driver employed. (critical)
Sec. 391.51(b)(1)  Failing to maintain medical examiner's certificate in 
driver's qualification file. (critical)
Sec. 391.51(c)(1)  Failing to maintain medical examiner's certificate in 
driver's qualification file. (critical)
Sec. 391.51(c)(3)  Failing to maintain inquiries into driver's driving 
record in driver's qualification file. (critical)
Sec. 391.51(d)(1)  Failing to maintain medical examiner's certificate in 
driver's qualification file. (critical)

[[Page 811]]

Sec. 392.2  Operating a motor vehicle not in accordance with the laws, 
ordinances, and regulations of the jurisdiction in which it is being 
operated. (critical)
Sec. 392.4(b)  Requiring or permitting a driver to drive while under the 
influence of, or in possession of, a narcotic drug, amphetamine, or any 
other substance capable of rendering the driver incapable of safely 
operating a motor vehicle. (acute)
Sec. 392.5(b)(1)  Requiring or permitting a driver to drive a motor 
vehicle while under the influence of, or in possession of, an 
intoxicating beverage. (acute)
Sec. 392.5(b)(2)  Requiring or permitting a driver who has consumed an 
intoxicating beverage within 4 hours to operate a motor vehicle. (acute)
Sec. 392.6  Scheduling a run which would necessitate the vehicle being 
operated at speeds in excess of those prescribed. (critical)
Sec. 392.9(a)(1)  Requiring or permitting a driver to drive without the 
vehicle's cargo being properly distributed and adequately secured. 
(critical)
Sec. 395.1(i)(1)(i)  Requiring or permitting a driver to drive more than 
15 hours. (Driving in Alaska.) (critical)
Sec. 395.1(i)(1)(ii)  Requiring or permitting a driver to drive after 
having been on duty 20 hours. (Driving in Alaska.) (critical)
Sec. 395.1(i)(1)(iii)  Requiring or permitting driver to drive after 
having been on duty more than 70 hours in 7 consecutive days. (Driving 
in Alaska.) (critical)
Sec. 395.1(i)(1)(iv)  Requiring or permitting driver to drive after 
having been Sec. on duty more than 80 hours in 8 consecutive days. 
(Driving in Alaska.) (critical)
Sec. 395.3(a)(1)  Requiring or permitting driver to drive more than 10 
hours. (critical)
Sec. 395.3(a)(2)  Requiring or permitting driver to drive after having 
been on duty 15 hours. (critical)
Sec. 395.3(b)  Requiring or permitting driver to drive after having been 
on duty more than 60 hours in 7 consecutive days. (critical)
Sec. 395.3(b)  Requiring or permitting driver to drive after having been 
on duty more than 70 hours in 8 consecutive days. (critical)
Sec. 395.8(a)  Failing to require driver to make a record of duty 
status. (critical)
Sec. 395.8(e)  False reports of records of duty status. (critical)
Sec. 395.8(i)  Failing to require driver to forward within 13 days of 
completion, the original of the record of duty status. (critical)
Sec. 395.8(k)(1)  Failing to preserve driver's record of duty status for 
6 months. (critical)
Sec. 395.8(k)(1)  Failing to preserve driver's records of duty status 
supporting documents for 6 months. (critical)
Sec. 396.3(b)  Failing to keep minimum records of inspection and vehicle 
maintenance. (critical)
Sec. 396.9(c)(2)  Requiring or permitting the operation of a motor 
vehicle declared ``out-of-service'' before repairs were made. (acute)
Sec. 396.11(a)  Failing to require driver to prepare driver vehicle 
inspection report. (critical)
Sec. 396.11(c)  Failing to correct Out-of-Service defects listed by 
driver in a driver vehicle inspection report. (acute)
Sec. 396.17(a)  Using a commercial motor vehicle not periodically 
inspected. (critical)
Sec. 396.17(g)  Failing to promptly repair parts and accessories not 
meeting minimum periodic inspection standards. (acute)
Sec. 397.5(a)  Failing to ensure a motor vehicle containing Class A or B 
explosives, (Class 1.1, 1.2, or 1.3) is attended at all times by its 
driver or a qualified representative. (acute)
Sec. 397.7(a)(1)  Parking a motor vehicle containing Class A or B 
explosives (1.1, 1.2, 1.3) within 5 feet of traveled portion of highway. 
(critical)
Sec. 397.7(b)  Parking a motor vehicle containing hazardous material(s) 
within 5 feet of traveled portion of highway or street. (critical)
Sec. 397.13(a)  Permitting a person to smoke or carry a lighted 
cigarette, cigar or pipe within 25 feet of a motor vehicle containing 
explosives, oxidizing materials, or flammable materials. (critical)
Sec. 397.19(a)  Failing to furnish driver of motor vehicle transporting 
Class A or B explosives (Class 1.1, 1.2, 1.3) with a copy of the rules 
of Part 397 and/or emergency response instructions. (critical)
Sec. 397.67(d)  Requiring or permitting the operation of a motor vehicle 
containing Division 1.1, 1.2, or 1.3 (explosive) material that is not 
accompanied by a written route plan. (critical)
Sec. 171.15  Carrier failing to give immediate telephone notice of an 
incident involving hazardous materials. (critical)
Sec. 171.16  Carrier failing to make a written report of an incident 
involving hazardous materials. (critical)
Sec. 177.800(c)  Failing to instruct a category of employees in 
hazardous materials regulations. (critical)
Sec. 177.817(a)  Transporting a shipment of hazardous materials not 
accompanied by a properly prepared shipping paper. (critical)
Sec. 177.817(e)  Failing to maintain proper accessibility of shipping 
papers. (critical)
Sec. 177.823(a)  Moving a transport vehicle containing hazardous 
material that is not properly marked or placarded. (critical)
Sec. 177.841(e)  Transporting a package bearing a poison label in the 
same transport vehicle with material marked or known to be foodstuff, 
feed, or any edible material intended for consumption by humans or 
animals. (acute)

[[Page 812]]

Sec. 180.407(a)  Transporting a shipment of hazardous material in cargo 
tank that has not been inspected or retested in accordance with 
Sec. 180.407. (critical)
Sec. 180.407(c)  Failing to periodically test and inspect a cargo tank. 
(critical)
Sec. 180.415  Failing to mark a cargo tank which passed an inspection or 
test required by Sec. 180.407. (critical)
Sec. 180.417(a)(1)  Failing to retain cargo tank manufacturer's data 
report certificate and related papers, as required. (critical)
Sec. 180.417(a)(2)  Failing to retain copies of cargo tank 
manufacturer's certificate and related papers (or alternative report) as 
required. (critical)

[62 FR 60043, Nov. 6, 1997, as amended at 63 FR 62959, Nov. 10, 1998]



PART 386--RULES OF PRACTICE FOR MOTOR CARRIER SAFETY AND HAZARDOUS MATERIALS PROCEEDINGS--Table of Contents




                 Subpart A--Scope of Rules; Definitions

Sec.
386.1  Scope of rules in this part.
386.2  Definitions.

            Subpart B--Commencement of Proceedings, Pleadings

386.11  Commencement of proceedings.
386.12  Complaint.
386.13  Petitions to review and request for hearing: Driver 
          qualification proceedings.
386.14  Replies and request for hearing: Civil forfeiture proceedings.
386.15  [Reserved]
386.16  Action on petitions or replies.
386.17  Intervention.

                Subpart C--Compliance and Consent Orders

386.21  Compliance order.
386.22  Consent order.
386.23  Content of consent order.

                  Subpart D--General Rules and Hearings

386.31  Service.
386.32  Computation of time.
386.33  Extension of time.
386.34  Official notice.
386.35  Motions.
386.36  Motions to dismiss and motions for a more definite statement.
386.37  Discovery methods.
386.38  Scope of discovery.
386.39  Protective orders.
386.40  Supplementation of responses.
386.41  Stipulations regarding discovery.
386.42  Written interrogatories to parties.
386.43  Production of documents and other evidence; entry upon land for 
          inspection and other purposes; and physical and mental 
          examination.
386.44  Request for admissions.
386.45  Motion to compel discovery.
386.46  Depositions.
386.47  Use of deposition at hearings.
386.48  Medical records and physicians' reports.
386.49  Form of written evidence.
386.50  Appearances and rights of witnesses.
386.51  Amendment and withdrawal of pleadings.
386.52  Appeals from interlocutory rulings.
386.53  Subpoenas, witness fees.
386.54  Administrative law judge.
386.55  Prehearing conferences.
386.56  Hearings.
386.57  Proposed findings of fact, conclusions of law.
386.58  Burden of proof.

                           Subpart E--Decision

386.61  Decision.
386.62  Review of administrative law judge's decision.
386.63  Decision on review.
386.64  Reconsideration.
386.65  Failure to comply with final order.
386.66  Motions for rehearing or for modification.
386.67  Appeal.

               Subpart F--Injunctions and Imminent Hazards

386.71  Injunctions.
386.72  Imminent hazard.

                          Subpart G--Penalties

386.81  General.
386.82  Civil penalties for violations of notices and orders.

Appendix A to Part 386--Penalty Schedule; Violations of Notices and 
          Orders
Appendix B to Part 386--Penalty Schedule; Violations and Maximum 
          Monetary Penalties

    Authority: 49 U.S.C. 104(c)(2), 501 et seq., Chapter 51, 31131-
31133, 31135-31139, 31142-31147, Chapter 313, 31501 et seq., Pub. L. 
104-34, title III, chapter 10, Sec. 31001, par. (s), 110 Stat. 1321-373, 
and 49 CFR 1.45 and 1.48.

    Source: 50 FR 40306, Oct. 2, 1985, unless otherwise noted.

[[Page 813]]



                 Subpart A--Scope of Rules; Definitions



Sec. 386.1  Scope of rules in this part.

    The rules in this part govern procedures in proceedings before the 
Associate Administrator authorized by the Commercial Motor Vehicle 
Safety Act of 1986, title XII of Public Law 99-570, 100 Stat. 3207-170 
(49 U.S.C. 2701 et. seq.); the Motor Carrier Safety Act of 1984, Public 
Law 98-554, 98 Stat. 2829 (49 U.S.C. 2501 et. seq); the recodification 
of title 49, United States Code, Transportation, Public Law 97-449, 96 
Stat. 2413 (49 U.S.C. 104(c)(2), 501 set seq., 3101 et seq.); the 
Hazardous Materials Transportation Act, Public Law 93-633, 88 STat. 2156 
(49 U.S.C. 1801 et seq.); the Bus Regulatory Reform Act of 1982, Public 
Law 97-261, 96 Stat. 1121 (49 U.S.C. 10927, note) and the Motor Carrier 
Act of 1980, Public Law 96-296, 94 Stat. 820, as amended by Public Law 
97-424, 96 Stat. 2158 (49 U.S.C. 10927, note). The purpose of the 
proceedings is to enable the Associate Administrator to determine 
whether any motor carrier, its agent, employee or other person subject 
to the jurisdiction of the FHWA under any of the above-mentioned Acts 
has failed to comply with any provision or requirement of those statutes 
or regulations issued under them and, if such a violation is found, to 
issue an appropriate order to compel compliance with the statute or 
regulation, assess a civil penalty, or both.

[50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988]



Sec. 386.2  Definitions.

    Abate or abatement means to discontinue regulatory violations by 
refraining from or taking actions identified in a notice to correct 
noncompliance.
    Administration means the Federal Highway Administration.
    Administrative law judge means an administrative law judge appointed 
pursuant to the provisions of 5 U.S.C. 3105.
    Associate Administrator means the Associate Administrator for Motor 
Carriers of the Federal Highway Administration or his/her authorized 
delegate.
    Civil forfeiture proceedings means proceedings to collect civil 
penalties for violations under the Commercial Motor Vehicle Safety Act 
of 1986, title XII of Public Law 99-570, 100 Stat. 3207-170 (49 U.S.C. 
2701 et seq.); the Hazardous Materials Transportation Act, 49 U.S.C. 
1809; 49 U.S.C. 3102; the Motor Carrier Safety Act of 1984, 49 U.S.C. 
2501 et seq.; section 30 of the Motor Carrier Act of 1980, 49 U.S.C. 
10927, note; or section 18 of the Bus Regulatory Reform Act of 1982, 49 
U.S.C. 10927, note.
    Claimant means the representative of the Federal Highway 
Administration authorized to make claims.
    Compliance Order means a written direction to a respondent under 
this part requiring the performance of certain acts which, based upon 
the findings in the proceeding, are considered necessary to bring 
respondent into compliance with the regulations found to have been 
violated.
    Consent Order means a compliance order which has been agreed to by 
respondent in the settlement of a civil forfeiture proceeding.
    Driver qualification proceeding means a proceeding commenced under 
49 CFR 391.47 or by issuance of a letter of disqualification.
    Motor carrier means a motor carrier, motor contract carrier, motor 
private carrier, or motor carrier of migrant workers as defined in 49 
U.S.C. 3101 and 10102.
    Petitioner means a party petitioning to overturn a determination in 
a driver qualification proceeding.
    Respondent means a party against whom relief is sought or claim is 
made.

[50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988; 56 
FR 10182, Mar. 11, 1991]



            Subpart B--Commencement of Proceedings, Pleadings



Sec. 386.11  Commencement of proceedings.

    (a) Driver qualification proceedings. These proceedings are 
commenced by the issuance of a determination by the Director, Office of 
Motor Carrier Standards, in a case arising under Sec. 391.47 of this 
chapter or by the issuance of a letter of disqualification.
    (1) Such determination and letters must be accompanied by the 
following:
    (i) A citation of the regulation under which the action is being 
taken;

[[Page 814]]

    (ii) A copy of all documentary evidence relied on or considered in 
taking such action, or in the case of voluminous evidence a summary of 
such evidence;
    (iii) Notice to the driver and motor carrier involved in the case 
that they may petition for review of the action;
    (iv) Notice that a hearing will be granted if the Associate 
Administrator determines there are material factual issues in dispute;
    (v) Notice that failure to petition for review will constitute a 
waiver of the right to contest the action; and
    (vi) Notice that the burden or proof will be on the petitioner in 
cases arising under Sec. 391.47 of this chapter.
    (2) At any time before the close of hearing, upon application of a 
party, the letter or determination may be amended at the discretion of 
the administrative law judge upon such terms as he/she approves.
    (b) Civil forfeitures. These proceedings are commenced by the 
issuance of a Claim Letter or a Notice of Investigation.
    (1) Each claim letter must contain the following:
    (i) A statement of the provisions of law alleged to have been 
violated;
    (ii) A brief statement of the facts constituting each violation;
    (iii) Notice of the amount being claimed, and notice of the maximum 
amount authorized to be claimed under the statute;
    (iv) The form in which and the place where the respondent may pay 
the claim; and
    (v) Notice that the respondent may, within 15 days of service, 
notify the claimant that the respondent intends to contest the notice, 
and that if the notice is contested the respondent will be afforded an 
opportunity for a hearing.
    (2) In addition to the information required by paragraph (b)(1) of 
this section, the letter may contain such other matters as the FHWA 
deems appropriate, including a notice to abate.
    (3) In proceedings for collection of civil penalties for violations 
of the motor carrier safety regulations under the Motor Carrier Safety 
Act of 1984, the claimant may require the respondent to post a copy of 
the claim letter in such place or places and for such duration as the 
claimant may determine appropriate to aid in the enforcement of the law 
and regulations.
    (c) Notice of investigation. This is a notice to respondent that 
FHWA has discovered violations of the Federal Motor Carrier Safety 
regulations or Hazardous Materials Regulations under circumstances which 
may require a compliance order and/or monetary penalty. The proposed 
form of the compliance order will be included in the notice. The 
Associate Administrator may issue a Notice of Investigation in his or 
her own discretion or upon a complaint filed pursuant to Sec. 386.12.
    (1) Each notice of investigation must include the following:
    (i) A statement of the legal authority and jurisdiction for the 
institution of the proceedings;
    (ii) The name and address of each motor carrier against whom relief 
is sought;
    (iii) One or more clear, concise, and separately numbered paragraphs 
stating the facts alleged to constitute a violation of the law;
    (iv) The relief demanded which, where practical, should be in the 
form of an order for the Associate Administrator's signature, and which 
shall fix a reasonable time for abatement of the violations and may 
specify actions to be taken in order to abate the violations;
    (v) A statement that the rules in this part require a reply to be 
filed within 30 days of service of the notice of investigation, and
    (vi) A certificate that the notice of investigation was served in 
accordance with Sec. 386.31.
    (2) At any time before the close of hearing or upon application of a 
party, the notice of investigation may be amended at the discretion of 
the administrative law judge upon such terms as he/she deems 
appropriate.
    (3) A Claim Letter may be combined with a Notice of Investigation in 
a single proceeding. In such proceeding, the 30-day reply period in 
paragraph (c)(1) of this section shall apply.
    (4) A notice to abate contained in a Claim Letter or Notice of 
Investigation shall specify what must be done by the respondent, a 
reasonable time within

[[Page 815]]

which abatement must be achieved, and that failure to abate subjects the 
respondent to additional penalties as prescribed in subpart G of this 
part.

[50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988; 56 
FR 10182, Mar. 11, 1991]



Sec. 386.12  Complaint.

    (a) Filing of a complaint. Except as otherwise provided in paragraph 
(c) of this section, any person, State board, organization, or body 
politic may file a written complaint with the Associate Administrator, 
requesting the issuance of a notice of investigation under 
Sec. 386.11(c). Each complaint must contain:
    (1) The name and address of the party who files it, and a statement 
specifying the authority for a party (other than a natural person) to 
file the complaint;
    (2) A statement of the interest of the party in the proceedings;
    (3) The name and address of each motor carrier against who relief is 
sought;
    (4) The reasons why the party believes that a notice of 
investigation should be issued;
    (5) A statement of any prior action which the party has taken to 
redress the violations of law alleged in the complaint and the results 
of that action; and
    (6) The relief which the party believes the Administration should 
seek.
    (b) Action on paragraph (a) complaint. Upon the filing of a 
complaint under paragraph (a) of this section, the Associate 
Administrator shall determine whether it states reasonable grounds for 
investigation and action by the Administration. If he/she determines 
that the complaint states such grounds, the Associate Administrator 
shall issue, or authorize the issuance of, a notice of investigation 
under Sec. 386.11(c). If he/she determines that the complaint does not 
state reasonable grounds for investigation and action by the 
Administration, the Associate Administrator shall dismiss it.
    (c) Complaint of substantial violation. Any person may file a 
written complaint with the Associate Administrator alleging that a 
substantial violation of any regulation issued under the Motor Carrier 
Safety Act of 1984 is occurring or has occurred within the preceding 60 
days. A substantial violation is one which could reasonably lead to, or 
has resulted in, serious personal injury or death. Each complaint must 
be signed by the complainant and must contain:
    (1) The name, address, and telephone number of the person who files 
it;
    (2) The name and address of the alleged violator and, with respect 
to each alleged violator, the specific provisions of the regulations 
that the complainant believes were violated; and
    (3) A concise but complete statement of the facts relied upon to 
substantiate each allegation, including the date of each alleged 
violation.
    (d) Action on complaint of substantial violation. Upon the filing of 
a complaint of a substantial violation under paragraph (c) of this 
section, the Associate Administrator shall determine whether it is 
nonfrivolous and meets the requirements of paragraph (c) of this 
section. If the Associate Administrator determines that the complaint is 
nonfrivolous and meets the requirements of paragraph (c), he/she shall 
investigate the complaint. The complainant shall be timely notified of 
findings resulting from such investigation. The Associate Administrator 
shall not be required to conduct separate investigations of duplicative 
complaints. If the Associate Administrator determines that the complaint 
is frivalous or does not meet the requirements of paragraph (c), he/she 
shall dismiss the complaint and notify the complainant in writing of the 
reasons for such dismissal.
    (e) Notwithstanding the provisions of section 552 of title 5, United 
States Code, the Associate Administrator shall not disclose the identity 
of complainants unless it is determined that such disclosure is 
necessary to prosecute a violation. If disclosure becomes necessary, the 
Associate Administrator shall take every practical means within the 
Associate Administrator's authority to assure that the complainant is 
not subject to harassment, intimidation, disciplinary action, 
discrimination, or financial loss as a result of such disclosure.

[[Page 816]]



Sec. 386.13  Petitions to review and request for hearing: Driver qualification proceedings.

    (a) Within 60 days after service of the determination under 
Sec. 391.47 of this chapter or the letter of disqualification, the 
driver or carrier may petition to review such action. Such petitions 
must be submitted to the Associate Administrator and must contain the 
following:
    (1) Identification of what action the petitioner wants overturned;
    (2) Copies of all evidence upon which petitioner relies in the form 
set out in Sec. 386.49;
    (3) All legal and other arguments which the petitioner wishes to 
make in support of his/her position;
    (4) A request for oral hearing, if one is desired, which must set 
forth material factual issues believed to be in dispute;
    (5) Certification that the reply has been filed in accordance with 
Sec. 386.31; and
    (6) Any other pertinent material.
    (b) Failure to submit a petition as specified in paragraph (a) of 
this section shall constitute a waiver of the right to petition for 
review of the determination or letter of disqualification. In these 
cases, the determination or disqualification issued automatically 
becomes the final decision of the Associate Administrator 30 days after 
the time to submit the reply or petition to review has expired, unless 
the Associate Administrator orders otherwise.
    (c) If the petition does not request a hearing, the Associate 
Administrator may issue a final decision and order based on the evidence 
and arguments submitted.



Sec. 386.14  Replies and request for hearing: Civil forfeiture proceedings.

    (a) Time for reply. The respondent must reply within 15 days after a 
Claim Letter is served, or 30 days after a Notice of Investigation is 
received.
    (b) Contents of reply. The reply must contain the following:
    (1) An admission or denial of each allegation of the claim or notice 
and a concise statement of facts constituting each defense;
    (2) If the respondent contests the claim or notice, a request for an 
oral hearing or notice of intent to submit evidence without an oral 
hearing must be contained in the reply. A request for a hearing must 
list all material facts believed to be in dispute. Failure to request a 
hearing within 15 days after the Claim Letter is served, or 30 days in 
the case of a Notice of Investigation, shall constitute a waiver of any 
right to a hearing;
    (3) A statement of whether the respondent wishes to negotiate the 
terms of payment or settlement of the amount claimed, or the terms and 
conditions of the order; and
    (4) Certification that the reply has been served in accordance with 
Sec. 386.31.
    (c) Submission of evidence. If a notice of intent to submit evidence 
without oral hearing is filed, or if no hearing is requested under 
paragraph (b)(2) of this section, and the respondent contests the claim 
or the contents of the notice, all evidence must be served in written 
form no later than the 40th day following service of the Claim Letter or 
Notice of Investigation. Evidence must be served in the form specified 
in Sec. 386.49.
    (d) Complainant's request for a hearing. If the respondent files a 
notice of intent to submit evidence without formal hearing, the 
complainant may, within 15 days after that reply is filed, submit a 
request for a formal hearing. The request must include a listing of all 
factual issues believed to be in dispute.
    (e) Failure to reply or request a hearing. If the respondent does 
not reply to a Claim Letter within the time prescribed in this section, 
the Claim Letter becomes the final agency order in the proceeding 25 
days after it is served. When no reply to the Notice of Investigation is 
received, the Associate Administrator may, on motion of any party, issue 
a final order in the proceeding.
    (f) Non-compliance with final order. Failure to pay the civil 
penalty as directed in a final order constitutes a violation of that 
order subjecting the respondent to an additional penalty as prescribed 
in subpart G of this part.

[50 FR 40306, Oct. 2, 1985, as amended at 56 FR 10183, Mar. 11, 1991]

[[Page 817]]



Sec. 386.15  [Reserved]



Sec. 386.16  Action on petitions or replies.

    (a) Replies not requesting an oral hearing. If the reply submitted 
does not request an oral hearing, the Associate Administrator may issue 
a final decision and order based on the evidence and arguments 
submitted.
    (b) Request for oral hearing. If a request for an oral hearing has 
been filed, the Associate Administrator shall determine whether there 
are any material factual issues in dispute. If there are, he/she shall 
call the matter for a hearing. If there are none, he/she shall issue an 
order to that effect and set a time for submission of argument by the 
parties. Upon the submission of argument he/she shall decide the case.
    (c) Settlement of civil forfeitures. (1) When negotiations produce 
an agreement as to the amount or terms of payment of a civil penalty or 
the terms and conditions of an order, a settlement agreement shall be 
drawn and signed by the respondent and the Associate Administrator. Such 
settlement agreement must contain the following:
    (i) The statutory basis of the claim;
    (ii) A brief statement of the violations;
    (iii) The amount claimed and the amount paid;
    (iv) The date, time, and place and form of payment;
    (v) A statement that the agreement is not binding on the agency 
until executed by the Associate Administrator; and
    (vi) A statement that failure to pay in accordance with the terms of 
the agreement which has been adopted as a Final Order will result in the 
loss of any reductions in penalties for claims found to be valid, and 
the original amount claimed will be due immediately.
    (2) Any settlement agreement may contain a consent order.
    (3) An executed settlement agreement is binding on the respondent 
and the claimant according to its terms. The respondent's consent to a 
settlement agreement that has not been executed by the Associate 
Administrator may not be withdrawn for a period of 30 days after it is 
executed by the respondent.

[50 FR 40306, Oct. 2, 1985, as amended at 56 FR 10183, Mar. 11, 1991]



Sec. 386.17  Intervention.

    After the matter is called for hearing and before the date set for 
the hearing to begin, any person may petition for leave to intervene. 
The petition is to be served on the administrative law judge. The 
petition must set forth the reasons why the petitioner alleges he/she is 
entitled to intervene. The petition must be served on all parties in 
accordance with Sec. 386.31. Any party may file a response within 10 
days of service of the petition. The administrative law judge shall then 
determine whether to permit or deny the petition. The petition will be 
allowed if the administrative law judge determines that the final 
decision could directly and adversely affect the petitioner or the class 
he/she represents, and if the petitioner may contribute materially to 
the disposition of the proceedings and his/her interest is not 
adequately represented by existing parties. Once admitted, a petitioner 
is a party for the purpose of all subsequent proceedings.



                Subpart C--Compliance and Consent Orders



Sec. 386.21  Compliance order.

    (a) When a respondent contests a Notice of Investigation or fails to 
reply to such notice, the final order disposing of the proceeding may 
contain a compliance order.
    (b) A compliance order shall be executed by the Associate 
Administrator and shall contain the following:
    (1) A statement of jurisdictional facts;
    (2) Findings of facts, or reference thereto in an accompanying 
decision, as determined by a hearing officer or by the Associate 
Administrator upon respondent's failure to reply to the notice, which 
establish the violations charged;
    (3) A specific direction to the respondent to comply with the 
regulations violated within time limits provided;

[[Page 818]]

    (4) Other directions to the respondent to take reasonable measures, 
in the time and manner specified, to assure future compliance;
    (5) A statement of the consequences for failure to meet the terms of 
the order;
    (6) Provision that the Notice of Investigation and the final 
decision of the hearing officer or Associate Administrator may be used 
to construe the terms of the order; and
    (7) A statement that the order constitutes final agency action, 
subject to review as provided in 49 U.S.C. 521(b)(8) for violations of 
regulations issued under the authority of 49 U.S.C. 3102, the Motor 
Carrier Safety Act of 1984 or 12002, 12003, 12004, 12005(b), or 
12008(d)(2) of the Commercial Motor Vehicle Safety Act of 1986; or as 
provided in 5 U.S.C. 701 et seq., for violations of regulations issued 
under the authority of 49 U.S.C. App. 1804 (hazardous materials 
proceedings) or 49 U.S.C. 10947 note (financial responsibility 
proceedings).
    (c) Notice of imminent hazard. A compliance order may also contain 
notice that further violations of the same regulations may constitute an 
imminent hazard subjecting respondent to an order under subpart F of 
this part.

[56 FR 10183, Mar. 11, 1991]



Sec. 386.22  Consent order.

    When a respondent has filed an election not to contest under 
Sec. 386.15(a), or has agreed to settlement of a civil forfeiture, and 
at any time before the hearing is concluded, the parties may execute an 
appropriate agreement for disposing of the case by consent for the 
consideration of the Associate Administrator. The agreement is filed 
with the Associate Administrator who may (a) accept it, (b) reject it 
and direct that proceedings in the case continue, or (c) take such other 
action as he/she deems appropriate. If the Associate Administrator 
accepts the agreement, he/she shall enter an order in accordance with 
its terms.

[50 FR 40306, Oct. 2, 1985. Redesignated at 56 FR 10183, Mar. 11, 1991]



Sec. 386.23  Content of consent order.

    (a) Every agreement filed with the Associate Administrator under 
Sec. 386.22 must contain:
    (1) An order for the disposition of the case in a form suitable for 
the Associate Administrator's signature that has been signed by the 
respondent;
    (2) An admission of all jurisdictional facts;
    (3) A waiver of further procedural steps, of the requirement that 
the decision or order must contain findings of fact and conclusions of 
law, and of all right to seek judicial review or otherwise challenge or 
contest the validity of the order;
    (4) Provisions that the notice of investigation or settlement 
agreement may be used to construe the terms of the order;
    (5) Provisions that the order has the same force and effect, becomes 
final, and may be modified, altered, or set aside in the same manner as 
other orders issued under 49 U.S.C. 501 et seq., 2501 et seq., 3101 et 
seq., and 10927, note; and
    (6) Provisions that the agreement will not be part of the record in 
the proceeding unless and until the Associate Administrator executes it.
    (b) A consent order may also contain any of the provisions 
enumerated in Sec. 386.21--Compliance Order.

[50 FR 40306, Oct. 2, 1985. Redesignated and amended at 56 FR 10183, 
Mar. 11, 1991]



                  Subpart D--General Rules and Hearings



Sec. 386.31  Service.

    (a) All service required by these rules shall be by mail or by 
personal delivery. Service by mail is complete upon mailing.
    (b) A certificate of service shall accompany all pleadings, motions, 
and documents when they are tendered for filing, and shall consist of a 
certificate of personal delivery or a certificate of mailing, executed 
by the person making the personal delivery or mailing the document. The 
first pleading of the Government in a proceeding initiated under this 
part shall have attached to

[[Page 819]]

it a service list of persons to be served. This list shall be updated as 
necessary.
    (c) Copies of all pleadings, motions, and documents must be served 
on the docket clerk and upon all parties to the proceedings by the 
person filing them, in the number of copies indicated on the 
Government's initial service list.



Sec. 386.32  Computation of time.

    (a) Generally, in computing any time period set out in these rules 
or in an order issued hereunder, the time computation begins with the 
day following the act, event, or default. The last day of the period is 
included unless it is a Saturday, Sunday, or legal Federal holiday in 
which case the time period shall run to the end of the next day that is 
not a Saturday, Sunday, or legal Federal holiday. All Saturdays, 
Sundays, and legal Federal holidays except those falling on the last day 
of the period shall be computed.
    (b) Date of entry of orders. In computing any period of time 
involving the date of the entry of an order, the date of entry shall be 
the date the order is served.
    (c) Computation of time for delivery by mail. (1) Documents are not 
deemed filed until received by the docket clerk. However, when documents 
are filed by mail, 5 days shall be added to the prescribed period.
    (2) Service of all documents is deemed effected at the time of 
mailing.
    (3) Whenever a party has the right or is required to take some 
action within a prescribed period after the service of a pleading, 
notice, or other document upon said party, and the pleading, notice, or 
document is served upon said party by mail, 5 days shall be added to the 
prescribed period.



Sec. 386.33  Extension of time.

    All requests for extensions of time shall be filed with the 
Associate Administrator or, if the matter has been called for a hearing, 
with the administrative law judge. All requests must state the reasons 
for the request. Only those requests showing good cause will be granted. 
No motion for continuance or postponement of a hearing date filed within 
7 days of the date set for a hearing will be granted unless it is 
accompanied by an affidavit showing that extraordinary circumstances 
warrant a continuance.



Sec. 386.34  Official notice.

    The Associate Administrator or administrative law judge may take 
official notice of any fact not appearing in evidence if he/she notifies 
all parties he/she intends to do so. Any party objecting to the official 
notice shall file an objection within 10 days after service of the 
notice.



Sec. 386.35  Motions.

    (a) General. An application for an order or ruling not otherwise 
covered by these rules shall be by motion. All motions filed prior to 
the calling of the matter for a hearing shall be to the Associate 
Administrator. All motions filed after the matter is called for hearing 
shall be to the administrative law judge.
    (b) Form. Unless made during hearing, motions shall be made in 
writing, shall state with particularity the grounds for relief sought, 
and shall be accompanied by affidavits or other evidence relied upon.
    (c) Answers. Except when a motion is filed during a hearing, any 
party may file an answer in support or opposition to a motion, 
accompanied by affidavits or other evidence relied upon. Such answers 
shall be served within 7 days after the motion is served or within such 
other time as the Associate Administrator or administrative law judge 
may set.
    (d) Argument. Oral argument or briefs on a motion may be ordered by 
the Associate Administrator or the administrative law judge.
    (e) Disposition. Motions may be ruled on immediately or at any other 
time specified by the administrative law judge or the Associate 
Administrator.
    (f) Suspension of time. The pendency of a motion shall not affect 
any time limits set in these rules unless expressly ordered by the 
Associate Administrator or administrative law judge.

[[Page 820]]



Sec. 386.36  Motions to dismiss and motions for a more definite statement.

    (a) Motions to dismiss must be made within the time set for reply or 
petition to review, except motions to dismiss for lack of jurisdiction, 
which may be made at any time.
    (b) Motions for a more definite statement may be made in lieu of a 
reply. The motion must point out the defects complained of and the 
details desired. If the motion is granted, the pleading complained of 
must be remedied within 15 days of the granting of the motion or it will 
be stricken. If the motion is denied, the party who requested the more 
definite statement must file his/her pleading within 10 days after the 
denial.



Sec. 386.37  Discovery methods.

    Parties may obtain discovery by one or more of the following 
methods: Depositions upon oral examination or written questions; written 
interrogatories; production of documents or other evidence for 
inspection and other purposes; physical and mental examinations; and 
requests for admission. Unless the Associate Administrator or, in cases 
that have been called for a hearing, the administrative law judge orders 
otherwise, the fequency or sequence of these methods is not limited.



Sec. 386.38  Scope of discovery.

    (a) Unless otherwise limited by order of the Associate Administrator 
or, in cases that have been called for a hearing, the administrative law 
judge, in accordance with these rules, the parties may obtain discovery 
regarding any matter, not privileged, which is relevant to the subject 
matter involved in the proceeding, including the existence, description, 
nature, custody, condition, and location of any books, documents, or 
other tangible things and the identity and location of persons having 
knowledge of any discoverable matter.
    (b) It is not ground for objection that information sought will not 
be admissible at the hearing if the information sought appears 
reasonably calculated to lead to the discovery of admissible evidence.
    (c) A party may obtain discovery of documents and tangible things 
otherwise discoverable under paragraph (a) of this section and prepared 
in anticipation of or for the hearing by or for another party's 
representative (including his or her attorney, consultant, surety, 
indemnitor, insurer, or agent) only upon a showing that the party 
seeking discovery has substantial need of the materials in the 
preparation of his or her case and that he or she is unable without 
undue hardship to obtain the substantial equivalent of the materials by 
other means. In ordering discovery of such materials when the required 
showing has been made, the Associate Administrator or the administrative 
law judge shall protect against disclosure of the mental impressions, 
conclusions, opinions, or legal theories of an attorney or other 
representative of a party concerning the proceeding.



Sec. 386.39  Protective orders.

    Upon motion by a party or other person from whom discovery is 
sought, and for good cause shown, the Associate Administrator or the 
administrative law judge, if one has been appointed, may make any order 
which justice requires to protect a party or person from annoyance, 
embarrassment, oppression, or undue burden or expense, including one or 
more of the following:
    (a) The discovery not be had;
    (b) The discovery may be had only on specified terms and conditions, 
including a designation of the time or place;
    (c) The discovery may be had only by a method of discovery other 
than that selected by the party seeking discovery;
    (d) Certain matters not relevant may not be inquired into, or that 
the scope of discovery be limited to certain matters;
    (e) Discovery be conducted with no one present except persons 
designated by the Associate Administrator or the administrative law 
judge; or
    (f) A trade secret or other confidential research, development, or 
commercial information may not be disclosed or be disclosed only in a 
designated way.



Sec. 386.40  Supplementation of responses.

    A party who has responded to a request for discovery with a response 
that was complete when made is under

[[Page 821]]

no duty to supplement his/her response to include information thereafter 
acquired, except as follows:
    (a) A party is under a duty to supplement timely his/her response 
with respect to any question directly addressed to:
    (1) The identity and location of persons having knowledge of 
discoverable matters; and
    (2) The identity of each person expected to be called as an expert 
witness at the hearing, the subject matter on which he or she is 
expected to testify and the substance of his or her testimony.
    (b) A party is under a duty to amend timely a prior response if he 
or she later obtains information upon the basis of which:
    (1) he or she knows the response was incorrect when made; or
    (2) he or she knows that the response though correct when made is no 
longer true and the circumstances are such that a failure to amend the 
response is in substance a knowing concealment.
    (c) A duty to supplement responses may be imposed by order of the 
Associate Administrator or the administrative law judge or agreement of 
the parties.



Sec. 386.41  Stipulations regarding discovery.

    Unless otherwise ordered, a written stipulation entered into by all 
the parties and filed with the Associate Administrator or the 
administrative law judge, if one has been appointed, may:
    (a) Provide that depositions be taken before any person, at any time 
or place, upon sufficient notice, and in any manner, and when so taken 
may be used like other depositions, and
    (b) Modify the procedures provided by these rules for other methods 
of discovery.



Sec. 386.42  Written interrogatories to parties.

    (a) Any party may serve upon any other party written interrogatories 
to be answered in writing by the party served, or if the party served is 
a public or private corporation or a partnership or association or 
governmental agency, by any authorized officer or agent, who shall 
furnish such information as is available to the party. A copy of the 
interrogatories, answers, and all related pleadings shall be served on 
the Associate Administrator or, in cases that have been called to a 
hearing, on the administrative law judge, and upon all parties to the 
proceeding.
    (b) Each interrogatory shall be answered separately and fully in 
writing under oath or affirmation, unless it is objected to, in which 
event the reasons for objection shall be stated in lieu of an answer. 
The answers and objections shall be signed by the person making them. 
The party upon whom the interrogatories were served shall serve a copy 
of the answer and objections upon all parties to the proceeding within 
30 days after service of the interrogatories, or within such shortened 
or longer period as the Associate Administrator or the administrative 
law judge may allow.
    (c) An interrogatory otherwise proper is not necessarily 
objectionable merely because an answer to the interrogatory involves an 
opinion or contention that relates to fact or the application of law to 
fact, but the Associate Administrator or administrative law judge may 
order that such an interrogatory need not be answered until after 
designated discovery has been completed or until a prehearing conference 
or other later time.



Sec. 386.43  Production of documents and other evidence; entry upon land for inspection and other purposes; and physical and mental examination.

    (a) Any party may serve on any other party a request to:
    (1) Produce and permit the party making the request, or a person 
acting on his or her behalf, to inspect and copy any designated 
documents, or to inspect and copy, test, or sample any tangible things 
which are in the possession, custody, or control of the party upon whom 
the request is served; or
    (2) Permit entry upon designated land or other property in the 
possession or control of the party upon whom the request is served for 
the purpose of inspection and measuring, photographing, testing, or for 
other purposes as stated in paragraph (a)(1) of this section.

[[Page 822]]

    (3) Submit to a physical or mental examination by a physician.
    (b) The request may be served on any party without leave of the 
Associate Administrator or administrative law judge.
    (c) The request shall:
    (1) Set forth the items to be inspected either by individual item or 
category;
    (2) Describe each item or category with reasonable particularity;
    (3) Specify a reasonable time, place, and manner of making the 
inspection and performing the related acts;
    (4) Specify the time, place, manner, conditions, and scope of the 
physical or mental examination and the person or persons by whom it is 
to be made. A report of examining physician shall be made in accordance 
with Rule 35(b) of the Federal Rules of Civil Procedure, title 28, U.S. 
Code, as amended.
    (d) The party upon whom the request is served shall serve on the 
party submitting the request a written response within 30 days after 
service of the request.
    (e) The response shall state, with respect to each item or category:
    (1) That inspection and related activities will be permitted as 
requested; or
    (2) That objection is made in whole or in part, in which case the 
reasons for objection shall be stated.
    (f) A copy of each request for production and each written response 
shall be served on all parties and filed with the Associate 
Administrator or the administrative law judge, if one has been 
appointed.



Sec. 386.44  Request for admissions.

    (a) Request for admission. (1) Any party may serve upon any other 
party a request for admission of any relevant matter or the authenticity 
of any relevant document. Copies of any document about which an 
admission is requested must accompany the request.
    (2) Each matter for which an admission is requested shall be 
separately set forth and numbered. The matter is admitted unless within 
15 days after service of the request, the party to whom the request is 
directed serves upon the party requesting the admission a written answer 
signed by the party or his/her attorney.
    (3) Each answer must specify whether the party admits or denies the 
matter. If the matter cannot be admitted or denied, the party shall set 
out in detail the reasons.
    (4) A party may not issue a denial or fail to answer on the ground 
that he/she lacks knowledge unless he/she has made reasonable inquiry to 
ascertain information sufficient to allow him/her to admit or deny.
    (5) A party may file an objection to a request for admission within 
10 days after service. Such motion shall be filed with the 
administrative law judge if one has been appointed, otherwise it shall 
be filed with the Associate Administrator. An objection must explain in 
detail the reasons the party should not answer. A reply to the objection 
may be served by the party requesting the admission within 10 days after 
service of the objection. It is not sufficient ground for objection to 
claim that the matter about which an admission is requested presents an 
issue of fact for hearing.
    (b) Effect of admission. Any matter admitted is conclusively 
established unless the Associate Administrator or administrative law 
judge permits withdrawal or amendment. Any admission under this rule is 
for the purpose of the pending action only and may not be used in any 
other proceeding.
    (c) If a party refuses to admit a matter or the authenticity of a 
document which is later proved, the party requesting the admission may 
move for an award of expenses incurred in making the proof. Such a 
motion shall be granted unless there was a good reason for failure to 
admit.



Sec. 386.45  Motion to compel discovery.

    (a) If a deponent fails to answer a question propounded or a party 
upon whom a request is made pursuant to Secs. 386.42 through 386.44, or 
a party upon whom interrogatories are served fails to respond adequately 
or objects to the request, or any part thereof, or fails to permit 
inspection as requested, the discovering party may move the Associate 
Administrator or the administrative law judge, if one has been 
appointed, for an order compelling a response or

[[Page 823]]

inspection in accordance with the request.
    (b) The motion shall set forth:
    (1) The nature of the questions or request;
    (2) The response or objections of the party upon whom the request 
was served; and
    (3) Arguments in support of the motion.
    (c) For purposes of this section, an evasive answer or incomplete 
answer or response shall be treated as a failure to answer or respond.
    (d) In ruling on a motion made pursuant to this section, the 
Associate Administrator or the administrative law judge, if one has been 
appointed, may make and enter a protective order such as he or she is 
authorized to enter on a motion made pursuant to Sec. 386.39(a).



Sec. 386.46  Depositions.

    (a) When, how, and by whom taken. The deposition of any witness may 
be taken at any stage of the proceeding at reasonable times. Depositions 
may be taken by oral examination or upon written interrogatories before 
any person having power to administer oaths.
    (b) Application. Any party desiring to take the deposition of a 
witness shall indicate to the witness and all other parties the time 
when, the place where, and the name and post office address of the 
person before whom the deposition is to be taken; the name and address 
of each witness; and the subject matter concerning which each such 
witness is expected to testify.
    (c) Notice. Notice shall be given for the taking of a deposition, 
which shall be not less than 5 days written notice when the deposition 
is to be taken within the continental United States and not less than 20 
days written notice when the deposition is to be taken elsewhere.
    (d) Taking and receiving in evidence. Each witness testifying upon 
deposition shall be sworn, and any other party shall have the right to 
cross-examine. The questions propounded and the answers thereto, 
together with all objections made, shall be reduced to writing; read by 
or to, and subscribed by the witness; and certified by the person 
administering the oath. Thereafter, such officer shall seal the 
deposition in an envelope and mail the same by certified mail to the 
Associate Administrator or the administrative law judge, if one has been 
appointed. Subject to such objections to the questions and answers as 
were noted at the time of taking the deposition and which would have 
been valid if the witness were personally present and testifying, such 
deposition may be read and offered in evidence by the party taking it as 
against any party who was present or represented at the taking of the 
deposition or who had due notice thereof.
    (e) Motion to terminate or limit examination. During the taking of a 
deposition, a party or deponent may request suspension of the deposition 
on grounds of bad faith in the conduct of the examination, oppression of 
a deponent or party or improper questions propounded. The deposition 
will then be adjourned. However, the objecting party or deponent must 
immediately move the Associate Administrator or administrative law judge 
for a ruling on his or her objections to the deposition conduct or 
proceedings. The Associate Administrator or administrative law judge may 
then limit the scope or manner of the taking of the deposition.



Sec. 386.47  Use of deposition at hearings.

    (a) Generally. At the hearing, any part or all of a deposition, so 
far as admissible under the rules of evidence, may be used against any 
party who was present or represented at the taking of the deposition or 
who had due notice thereof in accordance with any one of the following 
provisions:
    (1) Any deposition may be used by any party for the purpose of 
contradicting or impeaching the testimony of the deponent as a witness.
    (2) The deposition of expert witnesses, particularly the deposition 
of physicians, may be used by any party for any purpose, unless the 
Associate Administrator or administrative law judge rules that such use 
would be unfair or a violation of due process.
    (3) The deposition of a party or of anyone who at the time of taking 
the deposition was an officer, director, or duly authorized agent of a 
public or private organization, partnership, or association which is a 
party, may be

[[Page 824]]

used by any other party for any purpose.
    (4) The deposition of a witness, whether or not a party, may be used 
by any party for any purpose if the presiding officer finds:
    (i) That the witness is dead; or
    (ii) That the witness is out of the United States or more than 100 
miles from the place of hearing unless it appears that the absence of 
the witness was procured by the party offering the deposition; or
    (iii) That the witness is unable to attend to testify because of 
age, sickness, infirmity, or imprisonment; or
    (iv) That the party offering the deposition has been unable to 
procure the attendance of the witness by subpoena; or
    (v) Upon application and notice, that such exceptional circumstances 
exist as to make it desirable, in the interest of justice and with due 
regard to the importance of presenting the testimony of witnesses orally 
in open hearing, to allow the deposition to be used.
    (5) If only part of a deposition is offered in evidence by a party, 
any other party may require him or her to introduce all of it which is 
relevant to the part introduced, and any party may introduce any other 
parts.
    (b) Objections to admissibility. Except as provided in this 
paragraph, objection may be made at the hearing to receiving in evidence 
any deposition or part thereof for any reason which would require the 
exclusion of the evidence if the witness were then present and 
testifying.
    (1) Objections to the competency of a witness or to the competency, 
relevancy or materiality of testimony are not waived by failure to make 
them before or during the taking of the deposition, unless the ground of 
the objection is one which might have been obviated or removed if 
presented at that time.
    (2) Errors and irregularities occurring at the oral examination in 
the manner of taking the deposition, in the form of the questions or 
answers, in the oath or affirmation, or in the conduct of parties and 
errors of any kind which might be obviated, removed, or cured if 
promptly presented, are waived unless reasonable objection thereto is 
made at the taking of the deposition.
    (3) Objections to the form or written interrogatories are waived 
unless served in writing upon the party propounding them.
    (c) Effect of taking using depositions. A party shall not be deemed 
to make a person his or her own witness for any purpose by taking his or 
her deposition. The introduction in evidence of the deposition or any 
part thereof for any purpose other than that of contradicting or 
impeaching the deponent makes the deponent the witness of the party 
introducing the deposition, but this shall not apply to the use by any 
other party of a deposition as described in paragraph (a)(2) of this 
section. At the hearing, any party may rebut any relevant evidence 
contained in a deposition whether introduced by him or her or by any 
other party.



Sec. 386.48  Medical records and physicians' reports.

    In cases involving the physical qualifications of drivers, copies of 
all physicians' reports, test results, and other medical records that a 
party intends to rely upon shall be served on all other parties at least 
30 days prior to the date set for a hearing. Except as waived by the 
Director, Office of Motor Carrier Standards, reports, test results and 
medical records not served under this rule shall be excluded from 
evidence at any hearing.

[50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988]



Sec. 386.49  Form of written evidence.

    All written evidence shall be submitted in the following forms:
    (a) An affidavit of a person having personal knowledge of the facts 
alleged, or
    (b) Documentary evidence in the form of exhibits attached to an 
affidavit identifying the exhibit and giving its source.



Sec. 386.50  Appearances and rights of witnesses.

    (a) Any party to a proceeding may appear and be heard in person or 
by attorney. A regular employee of a party who appears on behalf of the 
party may be required by the administrative law judge to show his or her 
authority to so appear.

[[Page 825]]

    (b) Any person submits data or evidence in a proceeding governed by 
this part may, upon timely request and payment of costs, procure a copy 
of any document submitted by him/her or of any transcript. Original 
documents, data or evidence may be retained upon permission of the 
administrative law judge or Associate Administrator upon substitution of 
copy therefor.



Sec. 386.51  Amendment and withdrawal of pleadings.

    (a) Except in instances covered by other rules, anytime more than 15 
days prior to the hearing, a party may amend his/her pleadings by 
serving the amended pleading on the Associate Administrator or the 
administrative law judge, if one has been appointed, and on all parties. 
Within 15 days prior to the hearing, an amendment shall be allowed only 
at the discretion of the Administrative law judge. When an amended 
pleading is filed, other parties may file a response and objection 
within 10 days.
    (b) A party may withdraw his/her pleading only on approval of the 
administrative law judge or Associate Administrator.



Sec. 386.52  Appeals from interlocutory rulings.

    Rulings of the administrative law judge may not be appealed to the 
Associate Administrator prior to his/her consideration of the entire 
proceeding except under exceptional circumstances and with the consent 
of the administrative law judge. In deciding whether to allow appeals, 
the administrative law judge shall determine whether the appeal is 
necessary to prevent undue prejudice to a party or to prevent 
substantial detriment to the public interest.



Sec. 386.53  Subpoenas, witness fees.

    (a) Applications for the issuance of subpoenas must be submitted to 
the Associate Administrator, or in cases that have been called for a 
hearing, to the administrative law judge. The application must show the 
general relevance and reasonable scope of the evidence sought. Any 
person served with a subpoena may, within 7 days after service, file a 
motion to quash or modify. The motion must be filed with the official 
who approved the subpoena. The filing of a motion shall stay the effect 
of the subpoena until a decision is reached.
    (b) Witnesses shall be entitled to the same fees and mileage as are 
paid witnesses in the courts of the United States. The fees shall be 
paid by the party at whose instance the witness is subpoenaed or 
appears.
    (c) Paragraph (a) of this section shall not apply to the 
Administrator or employees of the FHWA or to the production of documents 
in their custody. Applications for the attendance of such persons or the 
production of such documents at a hearing shall be made to the Associate 
Administrator or administrative law judge, if one is appointed, and 
shall set forth the need for such evidence and its relevancy.



Sec. 386.54  Administrative law judge.

    (a) Appointment. After the matter is called for hearing, the 
Associate Administrator shall appoint an administrative law judge.
    (b) Power and duties. Except as provided in paragraph (c) of this 
section, the administrative law judge has power to take any action and 
to make all needful rules and regulations to govern the conduct of the 
proceedings to ensure a fair and impartial hearing, and to avoid delay 
in the disposition of the proceedings. his/her powers include the 
following:
    (1) To administer oaths and affirmations;
    (2) To issue orders permitting inspection and examination of lands, 
buildings, equipment, and any other physical thing and the copying of 
any document;
    (3) To issue subpoenas for the attendance of witnesses and the 
production of evidence as authorized by law;
    (4) To rule on offers of proof and receive evidence;
    (5) To regulate the course of the hearing and the conduct of 
participants in it;
    (6) To consider and rule upon all procedural and other motions, 
including motions to dismiss, except motions which, under this part, are 
made directly to the Associate Administrator;

[[Page 826]]

    (7) To hold conferences for settlement, simplification of issues, or 
any other proper purpose;
    (8) To make and file decisions; and
    (9) To take any other action authorized by these rules and permitted 
by law.

[50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988]



Sec. 386.55  Prehearing conferences.

    (a) Convening. At any time before the hearing begins, the 
administrative law judge, on his/her own motion or on motion by a party, 
may direct the parties or their counsel to participate with him/her in a 
prehearing conference to consider the following:
    (1) Simplification and clarification of the issues;
    (2) Necessity or desirability of amending pleadings;
    (3) Stipulations as to the facts and the contents and authenticity 
of documents;
    (4) Issuance of and responses to subpoenas;
    (5) Taking of depositions and the use of depositions in the 
proceedings;
    (6) Orders for discovery, inspection and examination of premises, 
production of documents and other physical objects, and responses to 
such orders;
    (7) Disclosure of the names and addresses of witnesses and the 
exchange of documents intended to be offered in evidence; and
    (8) Any other matter that will tend to simplify the issues or 
expedite the proceedings.
    (b) Order. The administrative law judge shall issue an order which 
recites the matters discussed, the agreements reached, and the rulings 
made at the prehearing conference. The order shall be served on the 
parties and filed in the record of the proceedings.



Sec. 386.56  Hearings.

    (a) As soon as practicable after his/her appointment, the 
administrative law judge shall issue an order setting the date, time, 
and place for the hearing. The order shall be served on the parties and 
become a part of the record of the proceedings. The order may be amended 
for good cause shown.
    (b) Conduct of hearing. The administrative law judge presides over 
the hearing. Hearings are open to the public unless the administrative 
law judge orders otherwise.
    (c) Evidence. Except as otherwise provided in these rules and the 
Administrative Procedure Act, 5 U.S.C. 551 et seq., the Federal Rules of 
Evidence shall be followed.
    (d) Information obtained by investigation. Any document, physical 
exhibit, or other material obtained by the Administration in an 
investigation under its statutory authority may be disclosed by the 
Administration during the proceeding and may be offered in evidence by 
counsel for the Administration.
    (e) Record. The hearing shall be stenographically transcribed and 
reported. The transcript, exhibits, and other documents filed in the 
proceedings shall constitute the official record of the proceedings. A 
copy of the transcript and exhibits will be made available to any person 
upon payment of prescribed costs.



Sec. 386.57  Proposed findings of fact, conclusions of law.

    The administrative law judge shall afford the parties reasonable 
opportunity to submit proposed findings of fact, conclusions of law, and 
supportng reasons therefor. If the administrative law judge orders 
written proposals and arguments, each proposed finding must include a 
citation to the specific portion of the record relied on to support it. 
Written submissions, if any, must be served within the time period set 
by the administrative law judge.



Sec. 386.58  Burden of proof.

    (a) Enforcement cases. The burden of proof shall be on the 
Administration in enforcement cases.
    (b) Conflict of medical opinion. The burden of proof in cases 
arising under Sec. 391.47 of this chapter shall be on the party 
petitioning for review under Sec. 386.13(a).



                           Subpart E--Decision



Sec. 386.61  Decision.

    After receiving the proposed findings of fact, conclusions of law, 
and arguments of the parties, the administrative law judge shall issue a 
decision. If

[[Page 827]]

the proposed findings of fact, conclusions of law, and arguments were 
oral, he/she may issue an oral decision. The decision of the 
administrative law judge becomes the final decision of the Associate 
Administrator 45 days after it is served unless a petition or motion for 
review is filed under Sec. 386.62. The decision shall be served on all 
parties and on the Associate Administrator.



Sec. 386.62  Review of administrative law judge's decision.

    (a) All petitions to review must be accompanied by exceptions and 
briefs. Each petition must set out in detail objections to the initial 
decision and shall state whether such objections are related to alleged 
errors of law or fact. It shall also state the relief requested. Failure 
to object to any error in the initial decision shall waive the right to 
allege such error in subsequent proceedings.
    (b) Reply briefs may be filed within 30 days after service of the 
appeal brief.
    (c) No other briefs shall be permitted except upon request of the 
Associate Administrator.
    (d) Copies of all briefs must be served on all parties.
    (e) No oral argument will be permitted except on order of the 
Associate Administrator.



Sec. 386.63  Decision on review.

    Upon review of a decision, the Associate Administrator may adopt, 
modify, or set aside the administrative law judge's findings of fact and 
conclusions of law. He/she may also remand proceedings to the 
administrative law judge with instructions for such further proceedings 
as he/she deems appropriate. If not remanded, the Associate 
Administrator shall issue a final order disposing of the proceedings, 
and serve it on all parties.



Sec. 386.64  Reconsideration.

    Within 20 days after the Associate Administrator's final order is 
issued, any party may petition the Associate Administrator for 
reconsideration of his/her findings of fact, conclusions of law, or 
final order. The filing of a petition for reconsideration does not stay 
the effectiveness of the final order unless the Associate Administrator 
so orders.



Sec. 386.65  Failure to comply with final order.

    If, within 30 days of receipt of a final agency order issued under 
this part, the respondent does not submit in writing his/her acceptance 
of the terms of an order directing compliance, or, where appropriate, 
pay a civil penalty, or file an appeal under Sec. 386.67, the case may 
be referred to the Attorney General with a request that an action be 
brought in the appropriate United States District Court to enforce the 
terms of a compliance order or collect the civil penalty.



Sec. 386.66  Motions for rehearing or for modification.

    (a) No motion for rehearing or for modification of an order shall be 
entertained for 1 year following the date the Associate Administrator's 
order goes into effect. After 1 year, any party may file a motion with 
the Associate Administrator requesting a rehearing or modification of 
the order. The motion must contain the following:
    (1) A copy of the order about which the change is requested;
    (2) A statement of the changed circumstances justifying the request; 
and
    (3) Copies of all evidence intended to be relied on by the party 
submitting the motion.
    (b) Upon receipt of the motion, the Associate Administrator may make 
a decision denying the motion or modifying the order in whole or in 
part. He/she may also, prior to making his/her decision, order such 
other proceedings under these rules as he/she deems necessary and may 
request additional information from the party making the motion.



Sec. 386.67  Appeal.

    Any aggrieved person, who, after a hearing, is adversely affected by 
a final order issued under 49 U.S.C. 521 may, within 30 days, petition 
for review of the order in the United States Court of Appeals in the 
circuit wherein the violation is alleged to have occurred or where the 
violator has his/her principal place of business or residence, or in the 
United States Court of Appeals for the

[[Page 828]]

District of Columbia Circuit. Review of the order shall be based on a 
determination of whether the Associate Administrator's findings and 
conclusions were supported by substantial evidence, or were otherwise 
not in accordance with law. No objection that has not been urged before 
the Associate Administrator shall be considered by the court, unless 
reasonable grounds existed for failure or neglect to do so. The 
commencement of proceedings under this section shall not, unless ordered 
by the court, operate as a stay of the order of the Associate 
Administrator.



               Subpart F--Injunctions and Imminent Hazards



Sec. 386.71  Injunctions.

    Whenever it is determined that a person has engaged, or is about to 
engage, in any act or practice constituting a violation of section 3102 
of title 49, United States Code, or the Motor Carrier Safety Act of 
1984, or the Hazardous Materials Transportation Act, or any regulation 
or order issued under that section or those Acts for which the Federal 
Highway Administrator exercises enforcement responsibility, the Chief 
Counsel or the Assistant Chief Counsel for Motor Carrier and Highway 
Safety Law may request the United States Attorney General to bring an 
action in the appropriate United States District Court for such relief 
as is necessary or appropriate, including mandatory or prohibitive 
injunctive relief, interim equitable relief, and punitive damages, as 
provided by section 213(c) of the Motor Carrier Safety Act of 1984 and 
section 111(a) of the Hazardous Materials Transportation Act (49 U.S.C. 
507(c), 1810).



Sec. 386.72  Imminent hazard.

    (a) Whenever it is determined that there is substantial likelihood 
that death, serious illness, or severe personal injury, will result from 
the transportation by motor vehicle of a particular hazardous material 
before a notice of investigation proceeding, or other administrative 
hearing or formal proceeding to abate the risk of harm can be completed, 
the Chief Counsel or the Assistant Chief Counsel for Motor Carrier and 
Highway Safety Law may bring, or request the United States Attorney 
General to bring, an action in the appropriate United States District 
Court for an order suspending or restricting the transportation by motor 
vehicle of the hazardous material or for such other order as is 
necessary to eliminate or ameliorate the imminent hazard, as provided by 
section 111(b) of the Hazardous Materials Transportation Act (49 U.S.C. 
1810).
    (b)(1) Whenever it is determined that a violation of 49 U.S.C. 3102 
or the Motor Carrier Safety Act of 1984 or the Commercial Motor Vehicle 
Safety Act of 1986 or a regulation issued under such section or Acts, or 
combination of such violations, poses an imminent hazard to safety, the 
Director, Motor Carrier Safety Field Operations or the Regional Director 
of Motor Carriers, or his or her delegate, shall order a vehicle or 
employee operating such vehicle out of service, or order an employer to 
cease all or part of the employer's commercial motor vehicle operations 
as provided by section 213(b) of the Motor Carrier Safety Act of 1984 
and section 12012(d) of the Commercial Motor Vehicle Safety Act of 1986. 
(49 U.S.C. 521(b)(5)). In making any such order, no restrictions shall 
be imposed on any employee or employer beyond that required to abate the 
hazard. In this paragraph, ``imminent hazard'' means any condition of 
vehicle, employee, or commercial motor vehicle operations which is 
likely to result in serious injury or death if not discontinued 
immediately.
    (2) Upon the issuance of an order under paragraph (b)(1) of this 
section, the motor carrier employer or driver employee shall comply 
immediately with such order. Opportunity for review shall be provided in 
accordance with 5 U.S.C. 554, except that such review shall occur not 
later than 10 days after issuance of such order, as provided by section 
213(b) of the Motor Carrier Safety Act of 1984 (49 U.S.C. 521(b)(5)). An 
order to an employer to cease all or part of its operations shall not 
prevent vehicles in transit at the time the order is served from 
proceeding to their immediate destinations, unless any such vehicle or 
its driver is specifically ordered out of

[[Page 829]]

service forthwith. However, vehicles and drivers proceeding to their 
immediate destination shall be subject to compliance upon arrival.
    (3) For purposes of this section the term ``immediate destination'' 
is the next scheduled stop of the vehicle already in motion where the 
cargo on board can be safely secured.
    (4) Failure to comply immediately with an order issued under this 
section shall subject the motor carrier employer or driver to penalties 
prescribed in subpart G of this part.

[50 FR 40306, Oct. 2, 1985, as amended at 53 FR 2036, Jan. 26, 1988; 53 
FR 50970, Dec. 19, 1988; 56 FR 10184, Mar. 11, 1991]



                          Subpart G--Penalties

    Source: 56 FR 10184, Mar. 11, 1991, unless otherwise noted.



Sec. 386.81  General.

    (a) The maximum amounts of civil penalties that can be imposed for 
regulatory violations subject to the civil forfeiture proceedings in 
this part are set in the statutes authorizing the regulations. The 
determination of the actual civil penalties assessed in each proceeding 
is based on those defined limits and consideration of information 
available at the time the claim is made concerning the nature, 
circumstances, extent, and gravity of the violation and, with respect to 
the violator, the degree of culpability, history of prior offenses, 
ability to pay, effect on ability to continue to do business, and such 
other matters as justice and public safety may require. In adjudicating 
the claims and notices under the administrative procedures herein, 
additional information may be developed regarding those factors that may 
affect the final amount of the claim.
    (b) When assessing penalties for violations of notices and orders or 
settling claims based on these assessments, consideration will be given 
to good faith efforts to achieve compliance with the terms of the 
notices and orders.



Sec. 386.82  Civil penalties for violations of notices and orders.

    (a) Additional civil penalties are chargeable for violations of 
notices and orders which are issued under civil forfeiture proceedings 
pursuant to 49 U.S.C. 521(b). These notices and orders are as follows:
    (1) Notice to abate--Sec. 386.11 (b)(2) and (c)(1)(iv);
    (2) Notice to post--Sec. 386.11(b)(3);
    (3) Final order--Sec. 386.14(f); and
    (4) Out-of-service order--Sec. 386.72(b)(3).
    (b) A schedule of these additional penalties is provided in the 
appendix A to this part. All the penalties are maximums, and discretion 
will be retained to meet special circumstances by setting penalties for 
violations of notices and orders, in some cases, at less than the 
maximum.
    (c) Claims for penalties provided in this section and in the 
appendix A to this part shall be made through the civil forfeiture 
proceedings contained in this part. The issues to be decided in such 
proceedings will be limited to whether violations of notices and orders 
occurred as claimed and the appropriate penalty for such violations. 
Nothing contained herein shall be construed to authorize the reopening 
of a matter already finally adjudicated under this part.

  Appendix A to Part 386--Penalty Schedule; Violations of Notices and 
                                 Orders

                           I. Notice to Abate

    a. Violation--failure to cease violations of the regulations in the 
time prescribed in the notice.

(The time within which to comply with a notice to abate shall not begin 
to run with respect to contested violations, i.e., where there are 
material issues in dispute under Sec. 386.14, until such time as the 
violation has been established.)

    Penalty--reinstatement of any deferred assessment or payment of a 
penalty or portion thereof.
    b. Violation--failure to comply with specific actions prescribed in 
a notice of investigation, compliance order or consent order, other than 
cessation of violations of the regulations, which were determined to be 
essential to abatement of future violations.
    Penalty--$1,100 per violation per day.
    Maximum--$11,000.

                           II. Notice to Post

    Violation-- Failure to post notice of violation (i.e., notice of 
investigation) as prescribed.

[[Page 830]]

    Penalty--$550 (A separate violation may be charged each time a 
failure to post as ordered is discovered.)

                            III. Final Order

    Violation-- Failure to comply with final agency order, i.e., failure 
to pay the penalty assessed therein after notice and opportunity for 
hearing within time prescribed in the order.
    Penalty-- Automatic waiver of any reduction in the original claim 
found to be valid, and immediate restoration to the full amount assessed 
in the Claim Letter or Notice of Investigation.

                        IV. Out-of-Service Order

    a. Violation-- Operation of a commercial vehicle by a driver during 
the period the driver was placed out of service.
    Penalty-- Up to $1,100 per violation.

(For purposes of this violation, the term ``driver'' means an operator 
of a commercial motor vehicle, including an independent contractor who, 
while in the course of operating a commercial motor vehicle, is employed 
or used by another person.)

    b. Violation--Requiring or permitting a driver to operate a 
commercial vehicle during the period the driver was placed out of 
service.
    Penalty-- Up to $11,000 per violation.

(This violation applies to motor carriers, including an independent 
contractor who is not a ``driver,'' as defined under paragraph IVa 
above.)
    c. Violation-- Operation of a commercial motor vehicle by a driver 
after the vehicle was placed out of service and before the required 
repairs are made.
    Penalty--$1,100 each time the vehicle is so operated.

(This violation applies to drivers as defined in IVa above.)

    d. Violation-- Requiring or permitting the operation of a commercial 
motor vehicle placed out of service before the required repairs are 
made.
    Penalty-- Up to $11,000 each time the vehicle is so operated after 
notice of the defect is received.

(This violation applies to motor carriers, including an independent 
owner-operator who is not a ``driver,'' as defined in IVa above.)

    e. Violation-- Failure to return written certification of correction 
as required by the out-of-service order.
    Penalty-- Up to $550 per violation.
    f. Violation-- Knowingly falsifies written certification of 
correction required by the out-of-service order.
    Penalty-- Considered the same as the violations described in 
paragraphs IVc and IVd above, and subject to the same penalties.

    Note: Falsification of certification may also result in criminal 
prosecution under 18 U.S.C. 1001.

    g. Violation-- Operating in violation of an order issued under 
Sec. 386.72(b) to cease all or part of the employer's commercial motor 
vehicle operations, i.e., failure to cease operations as ordered.
    Penalty-- Up to $11,000 per day the operation continues after the 
effective date and time of the order to cease.

[56 FR 10184, Mar. 11, 1991, as amended at 63 FR 12414, Mar. 13, 1998]

    Appendix B to Part 386--Penalty Schedule; Violations and Maximum 
                           Monetary Penalties

    The Debt Collection Improvement Act of 1996 [Public Law 104-134, 
title III, chapter 10, Sec. 31001, par. (s), 110 Stat. 1321-373] amended 
the Federal Civil Penalties Inflation Adjustment Act of 1990 to require 
agencies to adjust for inflation ``each civil monetary penalty provided 
by law within the jurisdiction of the Federal agency * * *'' and to 
publish that regulation in the Federal Register. Pursuant to that 
authority, the inflation-adjusted civil penalties listed below supersede 
the corresponding civil penalty amounts listed in title 49, United 
States Code.
    What are the types of violations and maximum monetary penalties?
    (a) Violations of the Federal Motor Carrier Safety Regulations 
(FMCSRs).
    (1) Recordkeeping. A person or entity that fails to prepare or 
maintain a record required by Parts 385 and 390-399 of this subchapter, 
or prepares or maintains a required record that is incomplete, 
inaccurate, or false, is subject to a maximum civil penalty of $550 for 
each day the violation continues, up to $2,750.
    (2) Serious Pattern of safety violations. These violations of Parts 
385 and 390-399 of this subchapter constitute a middle range of 
violations. They do not include noncompliance with recordkeeping 
requirements, while substantial health or safety violations are subject 
to heavier civil penalties. Serious patterns of safety violations are 
subject to a maximum civil penalty of $1,100 for each violation in a 
pattern, up to a maximum of $11,000 for each pattern.
    (3) Substantial Health or Safety Violations. These are violations of 
Parts 385 and 390-399 of this subchapter which could reasonably lead to, 
or have resulted in, serious personal injury or death. Substantial 
health or safety violations are subject to a maximum civil penalty of 
$11,000, provided the driver's actions constituted gross negligence or 
reckless disregard for safety.
    (4) Non-recordkeeping violations by drivers. A driver who violates 
Parts 385 or 390-399 of

[[Page 831]]

this subchapter, except a recordkeeping requirement, is subject to a 
civil penalty not to exceed $1,100, provided the driver's actions 
constituted gross negligence or reckless disregard for safety.
    (5) Violation of 49 CFR 392.5. A driver placed out of service for 24 
hours for violating the alcohol prohibitions of 49 CFR 392.5(a) or (b) 
who drives during that period is subject to a civil penalty not to 
exceed $2,750 for each violation.
    (b) Commercial driver's license (CDL) violations. Any person who 
violates 49 CFR Subparts B, C, E, F, G, or H is subject to a civil 
penalty of $2,750.
    (c) Special penalties pertaining to violations of out-of-service 
orders by CDL-holders. A CDL-holder who is convicted of violating an 
out-of-service order shall be subject to a civil penalty of not less 
than $1,100 nor more than $2,750. An employer of a CDL-holder who 
knowingly allows, requires, permits, or authorizes that employee to 
operate a CMV during any period in which the CDL-holder is subject to an 
out-of-service order, is subject to a civil penalty of not less than 
$2,750 or more than $11,000.
    (d) Financial responsibility violations. A motor carrier that fails 
to maintain the levels of financial responsibility prescribed by Part 
387 of this subchapter is subject to a maximum penalty of $11,000 for 
each violation. Each day of a continuing violation constitutes a 
separate offense.
    (e) Violations of the Hazardous Materials Regulations (HMRs). This 
paragraph applies to violations by motor carriers, drivers, shippers and 
other persons who transport hazardous materials on the highway in 
commercial motor vehicles or cause hazardous materials to be so 
transported.
    (1) All knowing violations of 49 U.S.C. chapter 51 or orders or 
regulations issued under the authority of that chapter applicable to the 
transportation or shipment of hazardous materials by commercial motor 
vehicle on highways are subject to a civil penalty of not less than $250 
and not more than $27,500 for each violation. Each day of a continuing 
violation constitutes a separate offense.
    (2) All knowing violations of 49 U.S.C. chapter 51 or orders, 
regulations, or exemptions issued under the authority of that chapter 
applicable to the manufacture, fabrication, marking, maintenance, 
reconditioning, repair or testing of a packaging or container which is 
represented, marked, certified or sold as being qualified for use in the 
transportation or shipment of hazardous materials by commercial motor 
vehicle on highways, are subject to a civil penalty of not less than 
$250 and not more than $27,500 for each violation.
    (3) Whenever regulations issued under the authority of 49 U.S.C. 
chapter 51 require compliance with the FMCSRs while transporting 
hazardous materials, any violations of the FMCSRs will be considered a 
violation of the HMRs and subject to a civil penalty of not less than 
$250 and not more than $27,500.
    (f) Operating with an unsatisfactory safety rating. A motor carrier 
knowingly transporting hazardous materials in quantities requiring 
placarding, or passengers in a vehicle designed or used to transport 
more than 15 passengers, on the 46th or any subsequent day after 
receiving an unsatisfactory safety rating, is subject to a civil penalty 
of not less than $250 and not more than $27,500. Each day the 
transportation of hazardous materials continues constitutes a separate 
violation.

[63 FR 12414, Mar. 13, 1998]



PART 387--MINIMUM LEVELS OF FINANCIAL RESPONSIBILITY FOR MOTOR CARRIERS--Table of Contents




                  Subpart A--Motor Carriers of Property

Sec.
387.1  Purpose and scope.
387.3  Applicability.
387.5  Definitions.
387.7  Financial responsibility required.
387.9  Financial responsibility, minimum levels.
387.11  State authority and designation of agent.
387.13  Fiduciaries.
387.15  Forms.
387.17  Violation and penalty.

                 Subpart B--Motor Carriers of Passengers

387.25  Purpose and scope.
387.27  Applicability.
387.29  Definitions.
387.31  Financial responsibility required.
387.33  Financial responsibility, minimum levels.
387.35  State authority and designation of agent.
387.37  Fiduciaries.
387.39  Forms.
387.41  Violation and penalty.

Subpart C--Surety Bonds and Policies of Insurance for Motor Carriers and 
                            Property Brokers

387.301  Surety bond, certificate of insurance, or other securities.
387.303  Security for the protection of the public: Minimum limits.
387.305  Combination vehicles.
387.307  Property broker surety bond or trust fund.
387.309  Qualifications as a self-insurer and other securities or 
          agreements.
387.311  Bonds and certificates of insurance.
387.313  Forms and procedures.

[[Page 832]]

387.315  Insurance and surety companies.
387.317  Refusal to accept, or revocation by the FHWA of surety bonds, 
          etc.
387.319  Fiduciaries.
387.321  Operations in foreign commerce.
387.323  Electronic filing of surety bonds, trust fund agreements, 
          certificates of insurance and cancellations.

Subpart D--Surety Bonds and Policies of Insurance for Freight Forwarders

387.401  Definitions.
387.403  General requirements.
387.405  Limits of liability.
387.407  Surety bonds and certificates of insurance.
387.409  Insurance and surety companies.
387.411  Qualifications as a self-insurer and other securities or 
          agreements.
387.413  Forms and procedure.
387.415  Acceptance and revocation by the FHWA.
387.417  Fiduciaries.
387.419  Electronic filing of surety bonds, certificates of insurance 
          and cancellations.

    Authority: 49 U.S.C. 13101, 13301, 13906, 14701, 31138, and 31139; 
and 49 CFR 1.48.



                  Subpart A--Motor Carriers of Property



Sec. 387.1  Purpose and scope.

    This subpart prescribes the minimum levels of financial 
responsibility required to be maintained by motor carriers of property 
operating motor vehicles in interstate, foreign, or intrastate commerce. 
The purpose of these regulations is to create additional incentives to 
motor carriers to maintain and operate their vehicles in a safe manner 
and to assure that motor carriers maintain an appropriate level of 
financial responsibility for motor vehicles operated on public highways.

[46 FR 30982, June 11, 1981, as amended at 48 FR 52683, Nov. 21, 1983]



Sec. 387.3  Applicability.

    (a) This subpart applies to for-hire motor carriers operating motor 
vehicles transporting property in interstate or foreign commerce.
    (b) This subpart applies to motor carriers operating motor vehicles 
transporting hazardous materials, hazardous substances, or hazardous 
wastes in interstate, foreign, or intrastate commerce.
    (c) Exception. (1) The rules in this part do not apply to a motor 
vehicle that has a gross vehicle weight rating (GVWR) of less than 
10,000 pounds. This exception does not apply if the vehicle is used to 
transport any quantity of a Division 1.1, 1.2, or 1.3 material, any 
quantity of a Division 2.3, Hazard Zone A, or Division 6.1, Packing 
Group I, Hazard Zone A, or to a highway route controlled quantity of a 
Class 7 material as it is defined in 49 CFR 173.403, in interstate or 
foreign commerce.
    (2) The rules in this part do not apply to the transportation of 
non-bulk oil, non-bulk hazardous materials, substances, or wastes in 
intrastate commerce, except that the rules in this part do apply to the 
transportation of a highway route controlled quantity of a Class 7 
material as defined in 49 CFR 173.403, in intrastate commerce.

[46 FR 30982, June 11, 1981; 46 FR 45612, Sept. 14, 1981, as amended at 
48 FR 5559, Feb. 7, 1983; 48 FR 52683, Nov. 21, 1983; 49 FR 38290, Sept. 
28, 1984; 59 FR 63923, Dec. 12, 1994]



Sec. 387.5  Definitions.

    As used in this subpart--
    Accident includes continuous or repeated exposure to the same 
conditions resulting in public liability which the insured neither 
expected nor intended.
    Bodily injury means injury to the body, sickness, or disease 
including death resulting from any of these.
    Cancellation of insurance the withdrawal of insurance coverage by 
either the insurer or the insured.
    Endorsement an amendment to an insurance policy.
    Environmental restoration restitution for the loss, damage, or 
destruction of natural resources arising out of the accidental 
discharge, dispersal, release or escape into or upon the land, 
atmosphere, watercourse, or body of water of any commodity transported 
by a motor carrier. This shall include the cost of removal and the cost 
of necessary measure taken to minimize or mitigate damage to human 
health, the natural environment, fish, shellfish, and wildlife.
    Evidence of security a surety bond or a policy of insurance with the 
appropriate endorsement attached.

[[Page 833]]

    Financial responsibility the financial reserves (e.g., insurance 
policies or surety bonds) sufficient to satisfy liability amounts set 
forth in this subpart covering public liability.
    For-hire carriage means the business of transporting, for 
compensation, the goods or property of another.
    In bulk--the transportation, as cargo, of property, except Division 
1.1, 1.2, or 1.3 materials, and Division 2.3, Hazard Zone A gases, in 
containment systems with capacities in excess of 3500 water gallons.
    In bulk (Division 1.1, 1.2, and 1.3 explosives)--the transportation, 
as cargo, of any Division 1.1, 1.2, or 1.3 materials in any quantity.
    In bulk (Division 2.3, Hazard Zone A or Division 6.1, Packing Group 
I, Hazard Zone A materials)--the transportation, as cargo, of any 
Division 2.3, Hazard Zone A, or Division 6.1, packing Group I, Hazard 
Zone A material, in any quantity.
    Insured and principal-- the motor carrier named in the policy of 
insurance, surety bond, endorsement, or notice of cancellation, and also 
the fiduciary of such motor carrier.
    Insurance premium the monetary sum an insured pays an insurer for 
acceptance of liability for public liability claims made against the 
insured.
    Motor carrier means a for-hire motor carrier or a private motor 
carrier. The term includes, but is not limited to, a motor carrier's 
agent, officer, or representative; an employee responsible for hiring, 
supervising, training, assigning, or dispatching a driver; or an 
employee concerned with the installation, inspection, and maintenance of 
motor vehicle equipment and/or accessories.
    Property damage means damage to or loss of use of tangible property.
    Public liability liability for bodily injury or property damage and 
includes liability for environmental restoration.
    State means a State of the United States, the District of Columbia, 
Puerto Rico, the Virgin Islands, American Samoa, Guam, and the Northern 
Mariana Islands.

[46 FR 30982, June 11, 1981; 46 FR 45612, Sept. 14, 1981; 47 FR 12801, 
Mar. 25, 1982, as amended at 48 FR 52683, Nov. 21, 1983; 51 FR 33856, 
Sept. 23, 1986; 53 FR 12160, Apr. 13, 1988; 59 FR 63923, Dec. 12, 1994; 
62 FR 16709, Apr. 8, 1997; 63 FR 33275, June 18, 1998]



Sec. 387.7  Financial responsibility required.

    (a) No motor carrier shall operate a motor vehicle until the motor 
carrier has obtained and has in effect the minimum levels of financial 
responsibility as set forth in Sec. 387.9 of this subpart.
    (b)(1) Policies of insurance, surety bonds, and endorsements 
required under this section shall remain in effect continuously until 
terminated. Cancellation may be effected by the insurer or the insured 
motor carrier giving 35 days' notice in writing to the other. The 35 
days' notice shall commence to run from the date the notice is mailed. 
Proof of mailing shall be sufficient proof of notice.
    (2) Exception. Policies of insurance and surety bonds may be 
obtained for a finite period of time to cover any lapse in continuous 
compliance.
    (3) Exception. Mexican motor carriers may meet the minimum financial 
responsibility requirements of this subpart by obtaining insurance 
coverage, in the required amounts, for periods of 24 hours or longer, 
from insurers that meet the requirements of Sec. 387.11 of this subpart. 
A Mexican motor carrier so insured must have available for inspection in 
each of its vehicles copies of the following documents:
    (i) The Certificate of Registration;
    (ii) The required insurance endorsement (Form MCS-90); and
    (iii) An insurance identification card, binder, or other document 
issued by an authorized insurer which specifies both the effective date 
and the expiration date of the temporary insurance coverage authorized 
by this exception.

Mexician motor carriers insured under this exception are also exempt 
from the notice of cancellation requirements stated on Form MCS-90.

[[Page 834]]

    (c) Policies of insurance and surety bonds required under this 
section may be replaced by other policies of insurance or surety bonds. 
The liability of the retiring insurer or surety, as to events after the 
termination date, shall be considered as having terminated on the 
effective date of the replacement policy of insurance or surety bond or 
at the end of the 35 day cancellation period required in paragraph (b) 
of this section, whichever is sooner.
    (d) Proof of the required financial responsibility shall be 
maintained at the motor carrier's principal place of business. The proof 
shall consist of--
    (1) ``Endorsement(s) for Motor Carrier Policies of Insurance for 
Public Liability Under Sections 29 and 30 of the Motor Carrier Act of 
1980'' (Form MCS-90) issued by an insurer(s);
    (2) A ``Motor Carrier Surety Bond for Public Liability Under Section 
30 of the Motor Carrier Act of 1980'' (Form MCS-82) issued by a surety; 
or
    (3) A written decision, order, or authorization of the Interstate 
Commerce Commission authorizing a motor carrier to self-insure under 
Sec. 1043.5 of this title, provided the motor carrier maintains a 
satisfactory safety rating as determined by the Federal Highway 
Administration under part 385 of this title.
    (e) The proof of minimum levels of financial responsibility required 
by this section shall be considered public information and be produced 
for review upon reasonable request by a member of the public.
    (f) All vehicles operated within the United States by motor carriers 
domiciled in a contiguous foreign country, shall have on board the 
vehicle a legible copy, in English, of the proof of the required 
financial responsibility (Form MCS-90 or MCS-82) used by the motor 
carrier to comply with paragraph (d) of this section.
    (g) Any motor vehicle in which there is no evidence of financial 
responsibility required by paragraph (f) of this section shall be denied 
entry into the United States.

[46 FR 30982, June 11, 1981; 46 FR 45612, Sept. 14, 1981, as amended at 
48 FR 5559, Feb. 7, 1983; 48 FR 52683, Nov. 21, 1983; 51 FR 22083, June 
18, 1986; 54 FR 49092, Nov. 29, 1989; 59 FR 63923, Dec. 12, 1994]



Sec. 387.9  Financial responsibility, minimum levels.

    The minimum levels of financial responsibility referred to in 
Sec. 387.7 of this subpart are hereby prescribed as follows:

                                      Schedule of Limits--Public Liability
----------------------------------------------------------------------------------------------------------------
               Type of carriage                               Commodity transported                Jan. 1, 1985
----------------------------------------------------------------------------------------------------------------
(1) For-hire (In interstate or foreign          Property (nonhazardous).........................        $750,000
 commerce, with a gross vehicle weight rating
 of 10,000 or more pounds).
(2) For-hire and Private (In interstate,        Hazardous substances, as defined in 49 CFR             5,000,000
 foreign, or intrastate commerce, with a gross   171.8, transported in cargo tanks, portable
 vehicle weight rating of 10,000 or more         tanks, or hopper-type vehicles with capacities
 pounds).                                        in excess of 3,500 water gallons; or in bulk
                                                 Division 1.1, 1.2, and 1.3 materials, Division
                                                 2.3, Hazard Zone A, or Division 6.1, Packing
                                                 Group I, Hazard Zone A material; in bulk
                                                 Division 2.1 or 2.2; or highway route
                                                 controlled quantities of a Class 7 material, as
                                                 defined in 49 CFR 173.403.
(3) For-hire and Private (In interstate or      Oil listed in 49 CFR 172.101; hazardous waste,         1,000,000
 foreign commerce, in any quantity; or in        hazardous materials, and hazardous substances
 intrastate commerce, in bulk only; with a       defined in 49 CFR 171.8 and listed in 49 CFR
 gross vehicle weight rating of 10,000 or more   172.101, but not mentioned in (2) above or (4)
 pounds).                                        below.
(4) For-hire and Private (In interstate or      Any quantity of Division 1.1, 1.2, or 1.3              5,000,000
 foreign commerce, with a gross vehicle weight   material; any quantity of a Division 2.3,
 rating of less than 10,000 pounds).             Hazard Zone A, or Division 6.1, Packing Group
                                                 I, Hazard Zone A material; or highway route
                                                 controlled quantities of a Class 7 material as
                                                 defined in 49 CFR 173.403.
----------------------------------------------------------------------------------------------------------------



[[Page 835]]


[59 FR 63923, Dec. 12, 1994]



Sec. 387.11  State authority and designation of agent.

    A policy of insurance or surety bond does not satisfy the financial 
responsibility requirements of this subpart unless the insurer or surety 
furnishing the policy or bond is--
    (a) Legally authorized to issue such policies or bonds in each State 
in which the motor carrier operates; or
    (b) Legally authorized to issue such policies or bonds in the State 
in which the motor carrier has its principal place of business or 
domicile, and is willing to designate a person upon whom process, issued 
by or under the authority of any court having jurisdiction of the 
subject matter, may be served in any proceeding at law or equity brought 
in any State in which the motor carrier operates; or
    (c) Legally authorized to issue such policies or bonds in any State 
of the United States and eligible as an excess or surplus lines insurer 
in any State in which business is written, and is willing to designate a 
person upon whom process, issued by or under the authority of any court 
having jurisdiction of the subject matter, may be served in any 
proceeding at law or equity brought in any State in which the motor 
carrier operates.

[46 FR 30982, June 11, 1981, as amended at 48 FR 52683, Nov. 21, 1983]



Sec. 387.13  Fiduciaries.

    The coverage of fiduciaries shall attach at the moment of succession 
of such fiduciaries.

[46 FR 30982, June 11, 1981]



Sec. 387.15  Forms.

    Endorsements for policies of insurance (Illustration I) and surety 
bonds (Illustration II) must be in the form prescribed by the FHWA and 
approved by the OMB. Endorsements to policies of insurance and surety 
bonds shall specify that coverage thereunder will remain in effect 
continuously until terminated, as required in Sec. 387.7 of this 
subpart. The continuous coverage requirement does not apply to Mexican 
motor carriers insured under Sec. 387.7(b)(3) of this subpart. The 
endorsement and surety bond shall be issued in the exact name of the 
motor carrier.

                             Illustration I

Form MCS-90 (3/82)
Form Approved
OMB No. 2125-0074

Endorsement for Motor Carrier Policies of Insurance for Public Liability 
        Under Sections 29 and 30 of the Motor Carrier Act of 1980

Issued to_______________________________________________________________
of______________________________________________________________________
Dated at________________________________________________________________

this ____ day of ____________________, 19____

Amending Policy No._____________________________________________________
Effective Date__________________________________________________________
Name of Insurance Company_______________________________________________
    Countersigned by____________________________________________________
                                       Authorized Company Representative

The policy to which this endorsement is attached provides primary or 
excess insurance, as indicated by ``X'', for the limits shown:
{time}  This insurance is primary and the company shall not be liable 
for amounts in excess of $__________ for each accident.
{time}  This insurance is excess and the company shall not be liable for 
amounts in excess of $__________ for each accident in excess of the 
underlying limit of $__________ for each accident.

    Whenever required by the FHWA or the ICC the company agrees to 
furnish the FHWA or the ICC a duplicate of said policy and all its 
endorsements. The company also agrees, upon telephone request by an 
authorized representative of the FHWA or the ICC, to verify that the 
policy is in force as of a particular date. The telephone number to call 
is: ____________

Cancellation of this endorsement may be effected by the company or the 
insured by giving (1) thirty-five (35) days notice in writing to the 
other party (said 35 days notice to commence from the date the notice is 
mailed, proof of mailing shall be sufficient proof of notice), and (2) 
if the insured is subject to the ICC's jurisdiction, by providing thirty 
(30) days notice to the ICC (said 30 days notice to commence from the 
date the notice is received by the ICC at its office in Washington, DC).

                 definitions as used in this endorsement

Accident includes continuous or repeated exposure to conditions which 
results in bodily injury, property damage, or environmental damage which 
the insured neither expected or intended.
Motor Vehicle means a land vehicle, machine, truck, tractor, trailer, or 
semitrailer propelled or drawn by mechanical power and

[[Page 836]]

used on a highway for transporting property, or any combination thereof.
Bodily Injury means injury to the body, sickness, or disease to any 
person, including death resulting from any of these.
Environmental Restoration means restitution for the loss, damage, or 
destruction of natural resources arising out of the accidental 
discharge, dispersal, release or escape into or upon the land, 
atmosphere, watercourse, or body of water, of any commodity transported 
by a motor carrier. This shall include the cost of removal and the cost 
of necessary measures taken to minimize or mitigate damage to human 
health, the natural environment, fish, shellfish, and wildlife.
Property Damage means damage to or loss of use of tangible property.
Public Liability means liability for bodily injury, property damage, and 
environmental restoration.

    The insurance policy to which this endorsement is attached provides 
automobile liability insurance and is amended to assure compliance by 
the insured, within the limits stated herein, as a motor carrier of 
property, with sections 29 and 30 of the Motor Carrier Act of 1980 and 
the rules and regulations of the Federal Highway Administration and the 
Interstate Commerce Commission (ICC).
    In consideration of the premium stated in the policy to which this 
endorsement is attached, the insurer (the company) agrees to pay, within 
the limits of liability described herein, any final judgment recovered 
against the insured for public liability resulting from negligence in 
the operation, maintenance or use of motor vehicles subject to the 
financial responsibility requirements of sections 29 and 30 of the Motor 
Carrier Act of 1980 regardless of whether or not each motor vehicle is 
specifically described in the policy and whether or not such negligence 
occurs on any route or in any territory authorized to be served by the 
insured or elsewhere. Such insurance as is afforded, for public 
liability, does not apply to injury to or death of the insured's 
employees while engaged in the course of their employment, or property 
transported by the insured, designated as cargo. It is understood and 
agreed that no condition, provision, stipulation, or limitation 
contained in the policy, this endorsement, or any other endorsement 
thereon, or violation thereof, shall relieve the company from liability 
or from the payment of any final judgment, within the limits of 
liability herein described, irrespective of the financial condition, 
insolvency or bankruptcy of the insured. However, all terms, conditions, 
and limitations in the policy to which the endorsement is attached shall 
remain in full force and effect as binding between the insured and the 
company. The insured agrees to reimburse the company for any payment 
made by the company on account of any accident, claim, or suit involving 
a breach of the terms of the policy, and for any payment that the 
company would not have been obligated to make under the provisions of 
the policy except for the agreement contained in this endorsement.
    It is further understood and agreed that, upon failure of the 
company to pay any final judgment recovered against the insured as 
provided herein, the judgment creditor may maintain an action in any 
court of competent jurisdiction against the company to compel such 
payment.
    The limits of the company's liability for the amounts prescribed in 
this endorsement apply separately to each accident and any payment under 
the policy because of any one accident shall not operate to reduce the 
liability of the company for the payment of final judgments resulting 
from any other accident.

                             Illustration II

Form MCS-82 (4/83)
(Form approved by Office of Management and Budget under control no. 
2125-0075)

      Motor Carrier Public Liability Surety Bond Under Sections 29 and 30 of the Motor Carrier Act of 1980
 
                                                                     Motor carrier
                                          Surety company and     principal, ICC Docket
               Parties                    principal place of    No. and principal place
                                           business address           of business
 
                                       .......................  .......................  .......................
                                       .......................  .......................  .......................
                                       .......................  .......................  .......................
                                       .......................  .......................  .......................
 

    Purpose-- This is an agreement between the Surety and the Principal 
under which the Surety, its successors and assigness, agree to be 
responsible for the payment of any final judgment or judgments against 
the Principal for public liability, property damage, and environmental 
restoration liability claims in the sums prescribed herein; subject to 
the governing provisions and the following conditions.
    Governing provisions--(1) Sections 29 and 30 of the Motor Carrier 
Act of 1980 (49 U.S.C. 10927 note).
    (2) Rules and regulations of the Federal Highway Administration.
    (3) Rules and regulations of the Interstate Commerce Commission 
(ICC).
    Conditions-- The Principal is or intends to become a motor carrier 
of property subject to the applicable governing provisions relating to 
financial responsibility for the protection of the public.
    This bond assures compliance by the Principal with the applicable 
governing provisions, and shall inure to the benefit of any person or 
persons who shall recover a final judgment or judgments against the 
Principal

[[Page 837]]

for public liability, property damage, or environmental restoration 
liability claims (excluding injury to or death of the Principal's 
employees while engaged in the course of their employment, and loss of 
or damange to property of the principal, and the cargo transported by 
the Principal). If every final judgment shall be paid for such claims 
resulting from the negligent operation, maintenance, or use of motor 
vehicles in transportation subject to the applicable governing 
provisions, then this obligation shall be void, otherwise it will remain 
in full effect.
    Within the limits described herein, the Surety extends to such 
losses regardless of whether such motor vehicles are specifically 
described herein and whether occurring on the route or in the territory 
authorized to be served by the Principal or elsewhere.
    The liability of the Surety on each motor vehicle subject to the 
financial responsibility requirements of Section's 29 and 30 of the 
Motor Carrier Act of 1980 for each accident shall not exceed 
$__________, and shall be a continuing one notwithstanding any recovery 
hereunder.
    The surety agrees, upon telephone request by an authorized 
representative of the FHWA or the ICC, to verify that the surety bond is 
in force as of a particular date. The telephone number is: ____________
    This bond is effective from ______ (12:01 a.m., standard time, at 
the address of the Principal as stated herein) and shall countine in 
force until terminated as described herein. The principal or the Surety 
may at any time terminate this bond by giving (1) thirty five (35) days 
notice in writing to the other party (said 35 day notice to commence 
from the date the notice is mailed, proof of mailing shall be sufficient 
proof of notice), and (2) if the Principal is subject to the ICC's 
jurisdiction, by providing thirty (30) days notice to the ICC (said 30 
days notice to commence from the date notice is received by the ICC at 
its office in Washington, DC). The Surety shall not be liable for the 
payment of any judgment or judgments against the Principal for public 
liability, property damage, or environmental restoration claims 
resulting from accidents which occur after the termination of this bond 
as described herein, but such termination shall not affect the liability 
of the Surety for the payment of any such judgment or judgments 
resulting from accidents which occur during the time the bond is in 
effect.
(AFFIX CORPORATE SEAL)
Date____________________________________________________________________
Surety__________________________________________________________________
City____________________________________________________________________
State___________________________________________________________________
By______________________________________________________________________

                        Acknowledgement of Surety

State of________________________________________________________________
County of_______________________________________________________________

    On this ______ day of ______, 19____, before me personally came 
__________, who, being by me duly sworn, did depose and say that he/she 
resides in __________; that he/she is the __________ of the __________, 
the corporation described in and which executed the foregoing 
instrument; that he/she knows the seal of said corporation, that the 
seal affixed to said instrument is such corporate seal, that it was so 
affixed by order of the board of directors of said corporation, that he/
she signed his/her name thereto by like order, and he/she duly 
acknowledged to me that he/she executed the same for and on behalf of 
said corporation.
(OFFICIAL SEAL)
_______________________________________________________________________
Title of official administering oath____________________________________
Surety Company File No._________________________________________________

[46 FR 30982, June 11, 1981, as amended at 48 FR 52683, Nov. 21, 1983; 
49 FR 27292, July 2, 1984; 49 FR 38290, Sept. 28, 1984; 51 FR 33856, 
Sept. 23, 1986; 53 FR 12160, Apr. 13, 1988; 54 FR 49092, Nov. 29, 1989; 
59 FR 63924, Dec. 12, 1994]



Sec. 387.17  Violation and penalty.

    Any person (except an employee who acts without knowledge) who 
knowingly violates the rules of this subpart shall be liable to the 
United States for civil penalty of no more than $10,000 for each 
violation, and if any such violation is a continuing one, each day of 
violation will constitute a separate offense. The amount of any such 
penalty shall be assessed by the FHWA's Associate Administrator for the 
Office of Motor Carriers, by written notice. In determining the amount 
of such penalty, the Associate Administrator, or his/her authorized 
delegate shall take into account the nature, circumstances, extent, the 
gravity of the violation committed and, with respect to the person found 
to have committed such violation, the degree of culpability, any history 
of prior offenses, ability to pay, effect on ability to continue to do 
business, and such other matters as justice may require.

[59 FR 63924, Dec. 12, 1994]



                 Subpart B--Motor Carriers of Passengers

    Source: 48 FR 52683, Nov. 21, 1983, unless otherwise noted.

[[Page 838]]



Sec. 387.25  Purpose and scope.

    This subpart prescribes the minimum levels of financial 
responsibility required to be maintained by for-hire motor carriers of 
passengers operating motor vehicles in interstate or foreign commerce. 
The purpose of these regulations is to create additional incentives to 
carriers to operate their vehicles in a safe manner and to assure that 
they maintain adequate levels of financial responsibility.



Sec. 387.27  Applicability.

    (a) This subpart applies to for-hire motor carriers transporting 
passengers in interstate or foreign commerce.
    (b) Exception. The rules in this subpart do not apply to--
    (1) A motor vehicle transporting only school children and teachers 
to or from school;
    (2) A motor vehicle providing taxicab service and having a seating 
capacity of less than 7 passengers and not operated on a regular route 
or between specified points;
    (3) A motor vehicle carrying less than 16 individuals in a single 
daily round trip to commute to and from work; and
    (4) A motor vehicle operated by a motor carrier under contract 
providing transportation of preprimary, primary, and secondary students 
for extracurricular trips organized, sponsored, and paid by a school 
district.

[48 FR 52683, Nov. 21, 1983, as amended at 63 FR 33275, June 18, 1998]



Sec. 387.29  Definitions.

    As used in this subpart--
    Accident includes continuous or repeated exposure to the same 
conditions resulting in public liability which the insured neither 
expected nor intended.
    Bodily injury means injury to the body, sickness, or disease 
including death resulting from any of these.
    Endorsement an amendment to an insurance policy.
    Financial responsibility the financial reserves (e.g., insurance 
policies or surety bonds) sufficient to satisfy liability amounts set 
forth in this subpart covering public liability.
    For-hire carriage means the business of transporting, for 
compensation, passengers and their property, including any compensated 
transportation of the goods or property or another.
    Insured and principal the motor carrier named in the policy of 
insurance, surety bond, endorsement, or notice of cancellation, and also 
the fiduciary of such motor carrier.
    Insurance premium the monetary sum an insured pays an insurer for 
acceptance of liability for public liability claims made against the 
insured.
    Motor carrier means a for-hire motor carrier. The term includes, but 
is not limited to, a motor carrier's agent, officer, or representative; 
an employee responsible for hiring, supervising, training, assigning, or 
dispatching a driver; or an employee concerned with the installation, 
inspection, and maintenance of motor vehicle equipment and/or 
accessories.
    Property damage means damage to or loss of use of tangible property.
    Public liability liability for bodily injury or property damage.
    Seating capacity any plan view location capable of accommodating a 
person at least as large as a 5th percentile adult female, if the 
overall seat configuration and design and vehicle design is such that 
the position is likely to be used as a seating position while the 
vehicle is in motion, except for auxiliary seating accommodations such 
as temporary or folding jump seats. Any bench or split bench seat in a 
passenger car, truck or multi-purpose passenger vehicle with a gross 
vehicle weight rating less than 10,000 pounds, having greater than 50 
inches of hip room (measured in accordance with SEA Standards J1100(a)) 
shall have not less than three designated seating positions, unless the 
seat design or vehicle design is such that the center position cannot be 
used for seating.

[48 FR 52683, Nov. 21, 1983, as amended at 63 FR 33276, June 18, 1998]



Sec. 387.31  Financial responsibility required.

    (a) No motor carrier shall operate a motor vehicle transporting 
passengers until the motor carrier has obtained and has in effect the 
minimum levels of financial responsibility as set forth in Sec. 387.33 
of this subpart.

[[Page 839]]

    (b) Policies of insurance, surety bonds, and endorsements required 
under this section shall remain in effect continuously until terminated.
    (1) Cancellation may be effected by the insurer or the insured motor 
carrier giving 35 days notice in writing to the other. The 35 days 
notice shall commence to run from the date the notice is mailed. Proof 
of mailing shall be sufficient proof of notice.
    (2) Exception. Policies of insurance and surety bonds may be 
obtained for a finite period of time to cover any lapse in continuous 
compliance.
    (3) Exception. Mexican motor carriers may meet the minimum financial 
responsibility requirements of this subpart by obtaining insurance 
coverage, in the required amounts, for periods of 24 hours or longer, 
from insurers that meet the requirements of Sec. 387.35 of this subpart. 
A Mexican motor carrier so insured must have available for inspection in 
each of its vehicles copies of the following documents:
    (i) The required insurance endorsement (Form MCS-90B); and
    (ii) An insurance identification card, binder, or other document 
issued by an authorized insurer which specifies both the effective date 
and the expiration date of the temporary insurance coverage authorized 
by this exception.

Mexican motor carriers insured under this exception are also exempt from 
the notice of cancellation requirements stated on Form MCS-90B.
    (c) Policies of insurance and surety bonds required under this 
section may be replaced by other policies of insurance or surety bonds. 
The liability of retiring insurer or surety, as to events after the 
termination date, shall be considered as having terminated on the 
effective date of the replacement policy of insurance or surety bond or 
at the end or the 35 day cancellation period required in paragraph (b) 
of this section, whichever is sooner.
    (d) Proof of the required financial responsibility shall be 
maintained at the motor carrier's principal place of business. The proof 
shall consist of--
    (1) ``Endorsement(s) for Motor Carriers of Passengers Policies of 
Insurance for Public Liability Under Section 18 of the Bus Regulatory 
Reform Act of 1982'' (Form MCS-90B) issued by an insurer(s); or
    (2) A ``Motor Carrier of Passengers Surety Bond for Public Liability 
Under Section 18 of the Bus Regulatory Reform Act of 1982'' (Form MCS-
82B) issued by a surety.
    (e) The proof of minimum levels of financial responsibility required 
by this section shall be considered public information and be produced 
for review upon reasonable request by a member of the public.
    (f) All passenger carrying vehicles operated within the United 
States by motor carriers domiciled in a contiguous foreign country, 
shall have on board the vehicle a legible copy, in English, of the proof 
of the required financial responsibility (Forms MCS-90B or MCS-82B) used 
by the motor carrier to comply with paragraph (d) of this section.
    (g) Any motor vehicle in which there is no evidence of financial 
responsibility required by paragraph (f) of this section shall be denied 
entry into the United States.

[48 FR 52683, Nov. 21, 1983, as amended at 50 FR 7062, Feb. 20, 1985; 54 
FR 49092, Nov. 29, 1989; 60 FR 38743, July 28, 1995]



Sec. 387.33  Financial responsibility, minimum levels.

    The minimum levels of financial responsibility referred to in 
Sec. 387.31 of this subpart are hereby prescribed as follows:

                           Schedule of Limits

                            Public Liability

For-hire motor carriers of passengers operating in interstate or foreign 
commerce.

------------------------------------------------------------------------
                                                      Effective dates
                                                 -----------------------
            Vehicle seating capacity               Nov. 19,    Nov. 19,
                                                     1983        1985
------------------------------------------------------------------------
(1) Any vehicle with a seating capacity of 16     $2,500,000  $5,000,000
 passengers or more.............................
(2) Any vehicle with a seating capacity of 15        750,000   1,500,000
 passengers or less \1\.........................
------------------------------------------------------------------------
\1\ Except as provided in Sec.  387.27(b).


[[Page 840]]



Sec. 387.35  State authority and designation of agent.

    A policy of insurance or surety bond does not satisfy the financial 
responsibility requirements of this subpart unless the insurer or surety 
furnishing the policy or bond is--
    (a) Legally authorized to issue such policies or bonds in each State 
in which the motor carrier operates, or
    (b) Legally authorized to issue such policies or bonds in the State 
in which the motor carrier has its principal place of business or 
domicile, and is willing to designate a person upon whom process, issued 
by or under the authority of any court having jurisdiction of the 
subject matter, may be served in any proceeding at law or equity brought 
in any State in which the motor carrier operates; or
    (c) Legally authorized to issue such policies or bonds in any State 
of the United States and eligible as an excess or surplus lines insurer 
in any State in which business is written, and is willing to designate a 
person upon whom process, issued by or under the authority of any court 
having jurisdiction of the subject matter, may be served in any 
proceeding at law or equity brought in any State in which the motor 
carrier operates..



Sec. 387.37  Fiduciaries.

    The coverage of fiduciaries shall attach at the moment of succession 
of such fiduciaries.



Sec. 387.39  Forms.

    Endorsements for policies of insurance (Illustration I) and surety 
bonds (Illustration II) must be in the form prescribed by the FHWA and 
approved by the OMB. Endorsements to policies of insurance and surety 
bonds shall specify that coverage thereunder will remain in effect 
continuously until terminated, as required in Sec. 387.31 of this 
subpart. The continuous coverage requirement does not apply to Mexican 
motor carriers insured under Sec. 387.31(b)(3) of this subpart. The 
endorsement and surety bond shall be issued in the exact name of the 
motor carrier.

[[Page 841]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.015


[[Page 842]]


[GRAPHIC] [TIFF OMITTED] TC01AP91.016

(Approved by the Office of Management and Budget under control number 
2125-0518)
[48 FR 52683, Nov. 21, 1983, as amended at 49 FR 22326, May 29, 1984; 54 
FR 49093, Nov. 29, 1989]

[[Page 843]]



Sec. 387.41  Violation and penalty.

    Any person (except an employee who acts without knowledge) who 
knowingly violates the rules of this subpart shall be liable to the 
United States for civil penalty of no more than $10,000 for each 
violation, and if any such violation is a continuing one, each day of 
violation will constitute a separate offense. The amount of any such 
penalty shall be assessed by the Associate Administrator for Motor 
Carriers or his/her designee, by written notice. In determining the 
amount of such penalty, the Associate Administrator or his/her designee 
shall take into account the nature, circumstances, extent, the gravity 
of the violation committed and, with respect to the person found to have 
committed such violation, the degree of culpability, any history of 
prior offenses, ability to pay, effect on ability to continue to do 
business, and such other matters as justice may require.

[53 FR 47543, Nov. 23, 1988]



Subpart C--Surety Bonds and Policies of Insurance for Motor Carriers and 
                            Property Brokers

    Authority 49 U.S.C. 10101, 10321, 11701, 10927; 5 U.S.C. 553.

    Cross Reference: Prescribed forms relating to this part are listed 
in 49 CFR part 1003.

    Source: 32 FR 20032, Dec. 20, 1967, unless otherwise noted. 
Redesignated at 61 FR 54709, Oct. 21, 1996.



Sec. 387.301  Surety bond, certificate of insurance, or other securities.

    (a) Public liability. (1) No common or contract carrier or foreign 
(Mexican) motor private carrier or foreign motor carrier transporting 
exempt commodities subject to subchapter II, chapter 105, subtitle IV of 
title 49 of the U.S. Code shall engage in interstate or foreign 
commerce, and no certificate or permit shall be issued to such a carrier 
or remain in force unless and until there shall have been filed with and 
accepted by the Commission surety bonds, certificates of insurance, 
proof of qualifications as self-insurer, or other securities or 
agreements, in the amounts prescribed in Sec. 387.303, conditioned to 
pay any final judgment recovered against such motor carrier for bodily 
injuries to or the death of any person resulting from the negligent 
operation, maintenance or use of motor vehicles in transportation 
subject to subchapter II, chapter 105, subtitle IV of title 49 of the 
U.S. Code, or for loss of or damage to property of others, or, in the 
case of motor carriers of property operating freight vehicles described 
in Sec. 387.303(b)(2) of this part, for environmental restoration.
    (2) Motor Carriers of property which are subject to the conditions 
set forth in paragraph (a)(1) of this section and transport the 
commodities described in Sec. 387.303(b)(2), are required to obtain 
security in the minimum limits prescribed in Sec. 387.303(b)(2).
    (b) Common carriers-cargo insurance; exempt commodities. No common 
carrier by motor vehicle subject to subchapter II, chapter 105, subtitle 
IV of title 49 of the U.S. Code nor any foreign (Mexican) common carrier 
of exempt commodities shall engage in interstate or foreign commerce, 
nor shall any certificate be issued to such a carrier or remain in force 
unless and until there shall have been filed with and accepted by the 
Commission, a surety bond, certificate of insurance, proof of 
qualifications as a self-insurer, or other securities or agreements in 
the amounts prescribed in Sec. 387.303, conditioned upon such carrier 
making compensation to shippers or consignees for all property belonging 
to shippers or consignees and coming into the possession of such carrier 
in connection with its transportation service: Provided, That the 
requirements of this paragraph shall not apply in connection with the 
transportation of the following commodities:

Agricultural ammonium nitrate.
Agricultural nitrate of soda.
Anhydrous ammonia--used as a fertilizer only.
Ashes, wood or coal.
Bituminous concrete (also known as blacktop or amosite), including 
mixtures of asphalt paving.
Cement, dry, in containers or in bulk.
Cement, building blocks.
Charcoal.
Chemical fertilizer.
Cinder blocks.
Cinders, coal.
Coal.
Coke.

[[Page 844]]

Commercial fertilizer.
Concrete materials and added mixtures.
Corn cobs.
Cottonseed hulls.
Crushed stone.
Drilling salt.
Dry fertilizer.
Fish scrap.
Fly ash.
Forest products; viz: Logs, billets, or bolts, native woods, Canadian 
wood or Mexican pine; pulpwood, fuel wood, wood kindling; and wood 
sawdust or shavings (shingle tow) other than jewelers' or paraffined.
Foundry and factory sweepings.
Garbage.
Gravel, other than bird gravel.
Hardwood and parquet flooring.
Haydite.
Highway construction materials, when transported in dump trucks and 
unloaded at destination by dumping.
Ice.
Iron ore.
Lime and limestone.
Liquid fertilizer solutions, in bulk, in tank vehicles.
Lumber.
Manure.
Meat scraps.
Mud drilling salt.
Ores, in bulk, including ore concentrates.
Paving materials, unless contain oil hauled in tank vehicles.
Peat moss.
Peeler cores.
Plywood.
Poles and piling, other than totem poles.
Potash, used as commercial fertilizer.
Pumice stone, in bulk in dump vehicles.
Salt, in bulk or in bags.
Sand, other than asbestos, bird, iron, monazite, processed, or tobacco 
sand.
Sawdust.
Scoria stone.
Scrap iron.
Scrap steel.
Shells, clam, mussel, or oyster.
Slag, other than slag with commercial value for the further extraction 
of metals.
Slag, derived aggregates--cinders.
Slate, crushed or scrap.
Slurry, as waste material.
Soil, earth or marl, other than infusorial, diatomaceous, tripoli, or 
inoculated soil or earth.
Stone, unglazed and unmanufactured, including ground agricultural 
limestone.
Sugar beet pulp.
Sulphate of ammonia, bulk, used as fertilizer.
Surfactants.
Trap rock.
Treated poles.
Veneer.
Volcanic scoria.
Waste, hazardous and nonhazardous, transported solely for purposes of 
disposal.
Water, other than mineral or prepared--water.
Wood chips, not processed.
Wooden pallets, unassembled.
Wreck or disabled motor vehicles.
Other materials or commodities of low value, upon specific application 
to and approval by the Commission.

    (c) Continuing compliance required. Such security as is accepted by 
the Commission in accordance with the requirements of section 10927, 
subchapter II, chapter 109, subtitle IV of title 49 of the U.S. Code, 
shall remain in effect at all times.

[48 FR 51780, Nov. 14, 1983, as amended at 60 FR 63981, Dec. 13, 1995; 
62 FR 49941, Sept. 24, 1997]



Sec. 387.303  Security for the protection of the public: Minimum limits.

    (a) Definitions. (1) Primary security means public liability 
coverage provided by the insurance or surety company responsible for the 
first dollar of coverage.
    (2) Excess security means public liability coverage above the 
primary security, or above any additional underlying security, up to and 
including the required minimum limits set forth in paragraph (b)(2) of 
this section.
    (b)(1) Motor carriers subject to Sec. 387.301(a)(1) are required to 
have security for the required minimum limits as follows:
    (i) Small freight vehicles:

------------------------------------------------------------------------
                                          Transportation        Minimum
          Kind of equipment                  provided           limits
------------------------------------------------------------------------
Fleet including only vehicles under   Commodities not           $300,000
 10,000 pounds GVWR.                   subject to Sec.
                                       387.303(b)(2).
------------------------------------------------------------------------

    (ii) Passenger carriers

                            Kind of Equipment
------------------------------------------------------------------------
                                                     Effective dates
                                               -------------------------
           Vehicle seating capacity               Nov. 19,     Nov. 19,
                                                    1983         1985
------------------------------------------------------------------------
(1) Any vehicle with a seating capacity of 16    $2,500,000   $5,000,000
 passengers or more...........................
(2) Any vehicle with a seating capacity of 15       750,000    1,500,000
 passengers or less...........................
------------------------------------------------------------------------


[[Page 845]]

    (2) Motor carriers subject to Sec. 387.301(a)(2) are required to 
have security for the required minimum limits as follows:

----------------------------------------------------------------------------------------------------------------
                                                                                            July 1,     July 1,
             Kind of equipment                          Commodity transported                1983*       1984*
----------------------------------------------------------------------------------------------------------------
(a) Freight Vehicles of 10,000 Pounds or    Property (non-hazardous)....................    $500,000    $750,000
 More GVWR.
(b) Freight Vehicles of 10,000 Pounds or    Hazardous substances, as defined in Sec.       1,000,000   5,000,000
 More GVWR.                                  171.8, transported in cargo tanks, portable
                                             tanks, or hopper-type vehicles with
                                             capacities in excess of 3,500 water
                                             gallons, or in bulk Class A or B
                                             explosives, poison gas (Poison A) liquefied
                                             compressed gas or compressed gas, or
                                             highway route controlled quantity
                                             radioactive materials as defined in Sec.
                                             173.455.
(c) Freight Vehicles of 10,000 Pounds or    Oil listed in Sec.  172.101; hazardous           500,000   1,000,000
 More GVWR.                                  waste, hazardous materials and hazardous
                                             substances defined in Sec.  171.8 and
                                             listed in Sec.  172.101, but not mentioned
                                             in (b) above or (d) below.
(d) Freight Vehicles Under 10,000 Pounds    Any quantity of Class A or B explosives; any   1,000,000   5,000,000
 GVWR.                                       quantity of poison gas (Poison A); or
                                             highway route controlled quantity
                                             radioactive materials as defined in Sec.
                                             173.455.
----------------------------------------------------------------------------------------------------------------
*Note: The effective date of the current required minimum limit in Sec.  387.303(b)(2) was January 6, 1983, in
  accordance with the requirements of Pub. L. 97-424, 96 Stat. 2097.

    (3) Motor carriers subject to the minimum limits governed by this 
section, which are also subject to Department of Transportation limits 
requirements, are at no time required to have security for more than the 
required minimum limits established by the Secretary of Transportation 
in the applicable provisions of 49 CFR Part 387--Minimum Levels of 
Financial Responsibility for Motor Carriers.
    (4) Foreign motor carriers and foreign motor private carriers. 
Foreign motor carriers and foreign motor private carriers (Mexican), 
subject to the requirements of 49 U.S.C. 13902(c) and 49 CFR part 368 
regarding obtaining certificates of registration from the Commission, 
must meet our minimum financial responsibility requirements by obtaining 
insurance coverage, in the required amounts, for periods of 24 hours or 
longer, from insurance or surety companies, that meet the requirements 
of 49 CFR 387.315. These carriers must have available for inspection, in 
each vehicle operating in the United States, copies of the following 
documents:
    (i) The certificate of registration;
    (ii) The required insurance endorsement (Form MCS-90); and
    (iii) An insurance identification card, binder, or other document 
issued by an authorized insurer which specifies both the effective date 
and the expiration date of the insurance coverage.

Notwithstanding the provisions of Sec. 387.301(a)(1), the filing of 
evidence of insurance is not required as a condition to the issuance of 
a certificate of registration. Further, the reference to continuous 
coverage at Sec. 387.313(a)(6) and the reference to cancellation notice 
at Sec. 387.313(d) are not applicable to these carriers.
    (c) Motor common carriers: Cargo liability. Security required to 
compensate shippers or consignees for loss or damage to property 
belonging to shippers or consignees and coming into the possession of 
motor carriers in connection with their transportation service, (1) for 
loss of or damage to property carried on any one motor vehicle--$5,000, 
(2) for less of or damage to or aggregate of losses or damages of or to 
property occurring at any one time and place--$10,000.

[47 FR 55944, Dec. 14, 1982, as amended at 48 FR 43333, Sept. 23, 1983; 
48 FR 45775, Oct. 7, 1983; 48 FR 51780, Nov. 14, 1983; 49 FR 1991, Jan. 
17, 1984; 49 FR 27767, July 6, 1984; 50 FR 40030, Oct. 1, 1985; 53 FR 
36984, Sept. 23, 1988; 54 FR 52034, Dec. 20, 1989; 55 FR 47338, Nov. 13, 
1990; 62 FR 49941, Sept. 24, 1997]



Sec. 387.305  Combination vehicles.

    The following combinations will be regarded as one motor vehicle for 
purposes of this part, (a) a tractor and trailer or semitrailer when the 
tractor is engaged solely in drawing the trailer or semitrailer, and (b) 
a truck and trailer when both together bear a single load.

[[Page 846]]



Sec. 387.307  Property broker surety bond or trust fund.

    (a) Security. A property broker must have a surety bond or trust 
fund in effect for $10,000. The Commission will not issue a property 
broker license until a surety bond or trust fund for the full limits of 
liability prescribed herein is in effect. The broker license shall 
remain valid or effective only as long as a surety bond or trust fund 
remains in effect and shall ensure the financial responsibility of the 
broker.
    (b) Evidence of Security. Evidence of a surety bond must be filed 
using the Commission's prescribed Form BMC 84. Evidence of a trust fund 
with a financial institution must be filed using the Commission's 
prescribed Form BMC 85. The surety bond or the trust fund shall ensure 
the financial responsibility of the broker by providing for payments to 
shippers or motor carriers if the broker fails to carry out its 
contracts, agreements, or arrangements for the supplying of 
transportation by authorized motor carriers.
    (c) Financial Institution--when used in this section and in forms 
prescribed under this section, where not otherwise distinctly expressed 
or manifestly incompatible with the intent thereof, shall mean--Each 
agent, agency, branch or office within the United States of any person, 
as defined by the Interstate Commerce Act, doing business in one or more 
of the capacities listed below:
    (1) An insured bank (as defined in section 3(h) of the Federal 
Deposit Insurance Act (12 U.S.C. 1813(h));
    (2) A commercial bank or trust company;
    (3) An agency or branch of a foreign bank in the United States;
    (4) An insured institution (as defined in section 401(a) of the 
National Housing Act (12 U.S.C. 1724(a));
    (5) A thrift institution (savings bank, building and loan 
association, credit union, industrial bank or other);
    (6) An insurance company;
    (7) A loan or finance company; or
    (8) A person subject to supervision by any state or federal bank 
supervisory authority.
    (d) Forms and Procedures--(1) Forms for broker surety bonds and 
trust agreements. Form BMC-84 broker surety bond will be filed with the 
Commission for the full security limits under subsection (a); or Form 
BMC-85 broker trust fund agreement will be filed with the Commission for 
the full security limits under paragraph (a) of this section.
    (2) Broker surety bonds and trust fund agreements in effect 
continuously. Surety bonds and trust fund agreements shall specify that 
coverage thereunder will remain in effect continuously until terminated 
as herein provided.
    (i) Cancellation notice. The surety bond and the trust fund 
agreement may be cancelled as only upon 30 days' written notice to the 
Commission, on prescribed Form BMC 36, by the principal or surety for 
the surety bond, and on prescribed Form BMC 85, by the trustor/broker or 
trustee for the trust fund agreement. The notice period commences upon 
the actual receipt of the notice at the Commission's Washington, DC 
office.
    (ii) Termination by replacement. Broker surety bonds or trust fund 
agreements which have been accepted by the Commission under these rules 
may be replaced by other surety bonds or trust fund agreements, and the 
liability of the retiring surety or trustee under such surety bond or 
trust fund agreements shall be considered as having terminated as of the 
effective date of the replacement surety bond or trust fund agreement. 
However, such termination shall not affect the liability of the surety 
or the trustee hereunder for the payment of any damages arising as the 
result of contracts, agreements or arrangements made by the broker for 
the supplying of transportation prior to the date such termination 
becomes effective.
    (3) Filing and copies. Broker surety bonds and trust fund agreements 
must be filed with the Commission in duplicate.

[53 FR 10396, Mar. 31, 1988]



Sec. 387.309  Qualifications as a self-insurer and other securities or agreements.

    (a) As a self-insurer. The Commission will consider and will 
approve, subject to appropriate and reasonable conditions, the 
application of a motor carrier to qualify as a self-insurer, if the

[[Page 847]]

carrier furnishes a true and accurate statement of its financial 
condition and other evidence that establishes to the satisfaction of the 
Commission the ability of the motor carrier to satisfy its obligation 
for bodily injury liability, property damage liability, or cargo 
liability. Application Guidelines: In addition to filing Form B.M.C. 40, 
applicants for authority to self-insure against bodily injury and 
property damage claims should submit evidence that will allow the 
Commission to determine:
    (1) The adequacy of the tangible net worth of the motor carrier in 
relation to the size of operations and the extent of its request for 
self-insurance authority. Applicant should demonstrate that it will 
maintain a net worth that will ensure that it will be able to meet its 
statutory obligations to the public to indemnify all claimants in the 
event of loss.
    (2) The existence of a sound self-insurance program. Applicant 
should demonstrate that it has established, and will maintain, an 
insurance program that will protect the public against all claims to the 
same extent as the minimum security limits applicable to applicant under 
Sec. 387.303 of this part. Such a program may include, but not be 
limited to, one or more of the following: Irrevocable letters of credit; 
irrevocable trust funds; reserves; sinking funds; third-party financial 
guarantees, parent company or affiliate sureties; excess insurance 
coverage; or other similar arrangements.
    (3) The existence of an adequate safety program. Applicant must 
submit evidence of a current ``satisfactory'' safety rating by the 
United States Department of Transportation. Non-rated carriers need only 
certify that they have not been rated. Applications by carriers with a 
less than satisfactory rating will be summarily denied. Any self-
insurance authority granted by the Commission will automatically expire 
30 days after a carrier receives a less than satisfactory rating from 
DOT.
    (4) Additional information. Applicant must submit such additional 
information to support its application as the Commission may require.
    (b) Other securities or agreements. The Commission also will 
consider applications for approval of other securities or agreements and 
will approve any such application if satisfied that the security or 
agreement offered will afford the security for protection of the public 
contemplated by 49 U.S.C. 13906.

[48 FR 51780, Nov. 14, 1983 and 51 FR 15008, Apr. 22, 1986, as amended 
at 52 FR 3815, Feb. 6, 1987; 62 FR 49941, Sept. 24, 1997]



Sec. 387.311  Bonds and certificates of insurance.

    (a) Public liability. Each Form BMC 82 surety bond filed with the 
Commission must be for the full limits of liability required under 
Sec. 387.303(b)(1). Form MCS-82 surety bonds and other forms of similar 
import prescribed by the Department of Transportation, may be aggregated 
to comply with the minimum security limits required under 
Sec. 387.303(b)(1) or Sec. 387.303(b)(2). Each Form BMC 91 certificate 
of insurance filed with the Commission will always represent the full 
security minimum limits required for the particular carrier, while it 
remains in force, under Sec. 387.303(b)(1) or Sec. 387.303(b)(2), 
whichever is applicable. Any previously executed Form BMC 91 filed 
before the current revision which is left on file with the Commission 
after the effective date of this regulation, and not canceled within 30 
days of that date will be deemed to certify the same coverage limits as 
would the filing of a revised Form BMC 91. Each Form BMC 91X certificate 
of insurance filed with the Commission will represent the full security 
limits under Sec. 387.303(b)(1) or Sec. 387.303(b)(2) or the specific 
security limits of coverage as indicated on the face of the form. If the 
filing reflects aggregation, the certificate must show clearly whether 
the insurance is primary or, if excess coverage, the amount of 
underlying coverage as well as amount of the maximum limits of 
coverage.* Each Form BMC 91MX certificate of insurance filed with the 
Commission will represent the security limits of coverage as indicated 
on the

[[Page 848]]

face of the form. The Form BMC 91MX must show clearly whether the 
insurance is primary or, if excess coverage, the amount of underlying 
coverage as well as amount of the maximum limits of coverage.
---------------------------------------------------------------------------

    *Note: Aggregation to meet the requirement of Sec. 387.303(b)(1) 
will not be allowed until the completion of our rulemaking in Ex Parte 
No. MC-5 (Sub-No. 2), Motor Carrier and Freight Forwarder Insurance 
Procedures and Minimum Amounts of Liability.
---------------------------------------------------------------------------

    (b) Cargo Liability. Each form B.M.C. 83 surety bond filed with the 
Commission must be for the full limits of liability required under 
Sec. 387.303(c). Each Form B.M.C. 34 certificate of insurance filed with 
the Commission will represent the full security limits under 
Sec. 387.303(c) or the specific security limits of coverage as indicated 
on the face of the form. If the filing reflects aggregation, the 
certificate must show clearly whether the insurance is primary or, if 
excess coverage, the amount of underlying coverage as well as amount of 
the maximum limits of coverage.
    (c) Each policy of insurance in connection with the certificate of 
insurance which is filed with the Commission, shall be amended by 
attachment of the appropriate endorsement prescribed by the Commission 
or the Department of Transportation and the certificate of insurance 
filed must accurately reflect that endorsement.

[47 FR 55944, Dec. 14, 1982, as amended at 48 FR 43332, Sept. 23, 1983; 
48 FR 51781, Nov. 14, 1983; 50 FR 40030, Oct. 1, 1985; 62 FR 49941, 
Sept. 24, 1997]



Sec. 387.313  Forms and procedures.

    (a) Forms for endorsements, certificates of insurance and others. 
(1) In form prescribed. Endorsements for policies of insurance and 
surety bonds, certificates of insurance, applications to qualify as a 
self-insurer, or for approval of other securities or agreements, and 
notices of cancellation must be in the form prescribed and approved by 
the Commission.
    (2) Aggregation of Insurance.** When insurance is provided by more 
than one insurer in order to aggregate security limits for carriers 
operating only freight vehicles under 10,000 pounds Gross Vehicle Weight 
Rating, as defined in Sec. 387.303(b)(1), a separate Form BMC 90, with 
the specific amounts of underlying and limits of coverage shown thereon 
or appended thereto, and Form BMC 91X certificate is required of each 
insurer.
---------------------------------------------------------------------------

    **Note: See Note for Rule 387.311. Also, it should be noted that DOT 
is considering prescribing adaptations of the Form MCS 90 endorsement 
and the Form MCS 82 surety bond for use by passenger carriers and Rules 
Secs. 387.311 and 387.313 have been written sufficiently broad to 
provide for this contingency when new forms are prescribed by that 
Agency.

For aggregation of insurance for all other carriers to cover security 
limits under Sec. 387.303 (b)(1) or (b)(2), a separate Department of 
Transportation prescribed form endorsement and Form BMC 91X certificate 
is required of each insurer. When insurance is provided by more than one 
insurer to aggregate coverage for security limits under Sec. 387.303(c) 
a separate Form BMC 32 endorsement and Form BMC 34 certificate of 
---------------------------------------------------------------------------
insurance is required for each insurer.

For aggregation of insurance for foreign motor private carriers of 
nonhazardous commodities to cover security limits under 
Sec. 387.303(b)(4), a separate Form BMC 90 with the specific amounts of 
underlying and limits of coverage shown thereon or appended thereto, or 
Department of Transportation prescribed form endorsement, and Form BMC 
91MX certificate is required for each insurer.

    (3) Use of Certificates and Endorsements in BMC Series. Form BMC 91 
certificates of insurance will be filed with the Commission for the full 
security limits under Sec. 387.303 (b)(1) or (b)(2).

Form BMC 91X certificate of insurance will be filed to represent full 
coverage or any level of aggregation for the security limits under 
Sec. 387.303 (b)(1) or (b)(2).

Form BMC 90 endorsement will be used with each filing of Form BMC 91 or 
Form 91X certificate with the Commission which certifies to coverage not 
governed by the requirements of the Department of Transportation. Form 
BMC 32 endorsement and Form BMC 34 certificate of insurance and Form BMC 
83 surety bonds are used for the limits of cargo liability under 
Sec. 1043.2(c).

Form BMC 91MX certificate of insurance will be filed to represent any 
level of aggregation for the security limits under Sec. 387.303(b)(4).

    (4) Use of Endorsements in MCS Series. When Security limits 
certified under

[[Page 849]]

Sec. 387.303 (b)(1) or (b)(2) involves coverage also required by the 
Department of Transportation a Form MCS endorsement prescribed by the 
Department of Transportation such as, and including, the Form MCS 90 
endorsement is required.
    (5) Surety bonds. When surety bonds are used rather than 
certificates of insurance, Form BMC 82 is required for the security 
limits under Sec. 1043.2(b)(1) not subject to regulation by the 
Department of Transportation, and Form MCS 82, or any form of similar 
import prescribed by the Department of Transportation, is used for the 
security limits subject also to minimum coverage requirements of the 
Department of Transportation.
    (6) Surety bonds and certificates in effect continuously. Surety 
bonds and certificates of insurance shall specify that coverage 
thereunder will remain in effect continuously until terminated as herein 
provided, except: (1) When filed expressly to fill prior gaps or lapses 
in coverage or to cover grants of emergency temporary authority of 
unusually short duration and the filing clearly so indicates, or (2) in 
special or unusual circumstances, when special permission is obtained 
for filing certificates of insurance or surety bonds on terms meeting 
other particular needs of the situation.
    (b) Filing and copies. Certificates of insurance, surety bonds, and 
notices of cancellation must be filed with the Commission in triplicate.
    (c) Name of insured. Certificates of insurance and surety bonds 
shall be issued in the full and correct name of the individual, 
partnership, corporation or other person to whom the certificate, 
permit, or license is, or is to be, issued. In the case of a 
partnership, all partners shall be named.
    (d) Cancellation notice. Except as provided in paragraph (e) of this 
section, surety bonds, certificates of insurance and other securities or 
agreements shall not be cancelled or withdrawn until 30 days after 
written notice has been submitted to the Commission at its offices in 
Washington, DC, on the prescribed form (Form BMC-35, Notice of 
Cancellation Motor Carrier Policies of Insurance under 49 U.S.C. 13906, 
and BMC-36, Notice of Cancellation Motor Carrier and Broker Surety 
Bonds, as appropriate) by the insurance company, surety or sureties, 
motor carrier, broker or other party thereto, as the case may be, which 
period of thirty (30) days shall commence to run from the date such 
notice on the prescribed form is actually received by the Commission.
    (e) Termination by replacement. Certificates of insurance or surety 
bonds which have been accepted by the Commission under these rules may 
be replaced by other certificates of insurance, surety bonds or other 
security, and the liability of the retiring insurer or surety under such 
certificates of insurance or surety bonds shall be considered as having 
terminated as of the effective date of the replacement certificate of 
insurance, surety bond or other security, provided the said replacement 
certificate, bond or other security is acceptable to the Commission 
under the rules and regulations in this part.

    Cross Reference: For list of forms prescribed, see Sec. 1003.1(b) of 
this chapter.

[47 FR 55944, Dec. 14, 1982, as amended at 48 FR 43334, Sept. 23, 1983; 
48 FR 51781, Nov. 14, 1983; 50 FR 40030, Oct. 1, 1985; 51 FR 34623, 
Sept. 30, 1986; 62 FR 49941, Sept. 24, 1997]



Sec. 387.315  Insurance and surety companies.

    A certificate of insurance or surety bond will not be accepted by 
the Commission unless issued by an insurance or surety company that is 
authorized (licensed or admitted) to issue bonds or underlying insurance 
policies:
    (a) In each state in which the motor carrier is authorized by the 
Commission to operate, or
    (b) In the state in which the motor carrier has its principal place 
of business or domicile, and will designate in writing upon request by 
the Commission, a person upon whom process, issued by or under the 
authority of a court of competent jurisdiction, may be served in any 
proceeding at law or equity brought in any state in which the carrier 
operates, or
    (c) In any state, and is eligible as an excess or surplus lines 
insurer in any state in which business is written, and will make the 
designation of process

[[Page 850]]

agent described in paragraph (b) of this section.

[56 FR 28111, June 19, 1991]



Sec. 387.317  Refusal to accept, or revocation by the FHWA of surety bonds, etc.

    The Commission may, at any time, refuse to accept or may revoke its 
acceptance of any surety bond, certificate of insurance, qualifications 
as a self-insurer, or other securities or agreements if, in its judgment 
such security does not comply with these sections or for any reason 
fails to provide satisfactory or adequate protection for the public. 
Revocation of acceptance of any certificate of insurance, surety bond or 
other security shall not relieve the motor carrier from compliance with 
Sec. 387.301(d).

[47 FR 55945, Dec. 14, 1982, as amended at 62 FR 49942, Sept. 24, 1997]



Sec. 387.319  Fiduciaries.

    (a) Definitions. The terms ``insured'' and ``principal'' as used in 
a certificate of insurance, surety bond, and notice of cancellation, 
filed by or for a motor carrier, include the motor carrier and its 
fiduciary as of the moment of succession. The term ``fiduciary'' means 
any person authorized by law to collect and preserve property of 
incapacitated, financially disabled, bankrupt, or deceased holders of 
operating rights, and assignees of such holders.
    (b) Insurance coverage in behalf of fiduciaries to apply 
concurrently. The coverage furnished under the provisions of this 
section on behalf of fiduciaries shall not apply subsequent to the 
effective date of other insurance, or other security, filed with and 
approved by the Commission in behalf of such fiduciaries. After the 
coverage provided in this section shall have been in effect thirty (30) 
days, it may be cancelled or withdrawn within the succeeding period of 
thirty (30) days by the insurer, the insured, the surety, or the 
principal upon ten (10) days' notice in writing to the Commission at its 
office in Washington, DC, which period of ten (10) days shall commence 
to run from the date such notice is actually received by the Commission. 
After such coverage has been in effect for a total of sixty (60) days, 
it may be cancelled or withdrawn only in accordance with Sec. 1043.7.

[32 FR 20032, Dec. 20, 1967, as amended at 47 FR 49596, Nov. 1, 1982; 47 
FR 55945, Dec. 14, 1982; 55 FR 11197, Mar. 27, 1990]



Sec. 387.321  Operations in foreign commerce.

    No motor carrier may operate in the United States in the course of 
transportation between places in a foreign country or between a place in 
one foreign country and a place in another foreign country unless and 
until there shall have been filed with and accepted by the Commission a 
certificate of insurance, surety bond, proof of qualifications as a 
self-insurer, or other securities or agreements in the amount prescribed 
in Sec. 387.303(b), conditioned to pay any final judgment recovered 
against such motor carrier for bodily injuries to or the death of any 
person resulting from the negligent operation, maintenance, or use of 
motor vehicles in transportation between places in a foreign country or 
between a place in one foreign country and a place in another foreign 
country, insofar as such transportation takes place in the United 
States, or for loss of or damage to property of others. The security for 
the protection of the public required by this section shall be 
maintained in effect at all times and shall be subject to the provisions 
of Secs. 387.309 through 387.319. The requirements of Sec. 387.315(a) 
shall be satisfied if the insurance or surety company, in addition to 
having been approved by this Commission, is legally authorized to issue 
policies or surety bonds in at least one of the States in the United 
States, or one of the Provinces in Canada, and has filed with this 
Commission the name and address of a person upon whom legal process may 
be served in each State in or through which the motor carrier operates. 
Such designation may from time to time be changed by like designation 
similarly filed, but shall be maintained during the effectiveness of any 
certificate of insurance or surety bond issued by the company, and 
thereafter with respect to any claims arising during the effectiveness 
of such certificate or bond. The term ``motor carrier'' as used in this 
section shall not include

[[Page 851]]

private carriers or carriers operating under the partial exemption from 
regulation in 49 U.S.C. 13503 and 13506.

[47 FR 55945, Dec. 14, 1982, as amended at 62 FR 49942, Sept. 24, 1997]



Sec. 387.323  Electronic filing of surety bonds, trust fund agreements, certificates of insurance and cancellations.

    (a) Insurers may, at their option and in accordance with the 
requirements and procedures set forth in paragraphs (a) through (d) of 
this section, file forms BMC 34, BMC 35, BMC 36, BMC 82, BMC 83, BMC 84, 
BMC 85, BMC 91, and BMC 91X electronically, in lieu of using the 
prescribed printed forms.
    (b) Each insurer must obtain authorization to file electronically by 
registering with the Commission. An individual account number and 
password for computer access will be issued to each registered insurer.
    (c) All files to be transmitted must be in an ASCII fixed format, 
i.e., all records must have the same number of fields and same length. 
The record layouts for electronic filing transactions are as described 
in the following table:

                                    Electronic Insurance Filing Transactions
----------------------------------------------------------------------------------------------------------------
                                                                                Required
           Field name             Number of positions      Description          F=filing        Start      End
                                                                            C=cancel  B=both    field     field
----------------------------------------------------------------------------------------------------------------
Record type.....................  1 Numeric..........  1=Filing             B                        1         1
                                                       2=Cancellation.....
Insurer number..................  8 Text.............  ICC Assigned         B                        2         9
                                                        Insurer Number
                                                        (Home Office) With
                                                        Suffix (Issuing
                                                        Office), If
                                                        Different, e.g.
                                                        12345-01.
Filing type.....................  1 Numeric..........  1 = BI&PD            B                       10        10
                                                       2 = Cargo..........
                                                       3 = Bond...........
                                                       4 = Trust Fund.....
ICC docket number...............  8 Text.............  ICC Assigned MC or   B                       11        18
                                                        FF Number, e.g.,
                                                        MC000045.
Insured legal name..............  120 Text...........  Legal Name.........  B                       19       138
Insured d/b/a name..............  60 Text............  Doing Business As    B                      139       198
                                                        Name If Different
                                                        From Legal Name.
Insured address.................  35 Text............  Either street or     B                      199       233
                                                        mailing address.
Insured city....................  30 Text............  ...................  B                      234       263
Insured state...................  2 Text.............  ...................  B                      264       265
Insured zip code................  9 Numeric            (Do not include      B                      266       274
                                                        dash if using 9
                                                        digit code).
Insured country.................  2 Text.............  (Will default to     B                      275       276
                                                        US).
Form code.......................  10 Text............  BMC-91, BMC-91X,     B                      277       286
                                                        BMC-34, BMC-35,
                                                        etc.
Full, primary or excess coverage  1 Text.............  If BMC-91X, P or E   F                      287       287
                                                        = indicator of
                                                        primary or excess
                                                        policy; 1 = Full
                                                        under Sec.
                                                        387.303(b)(1); 2 =
                                                        Full under Sec.
                                                        387.303(b)(2).
Limit of liability..............  5 Numeric..........  $ in Thousands.....  F                      288       292
Underlying limit of liability...  5 Numeric..........  $ in Thousands       F                      293       297
                                                        (will default to
                                                        $000 if Primary).
Effective date..................  8 Text.............  MM/DD/YY Format for  B                      298       305
                                                        both Filing or
                                                        Cancellation.
Policy number...................  25 Text............  Surety companies     B                      306       330
                                                        may enter bond
                                                        number.
----------------------------------------------------------------------------------------------------------------

    (d) All registered insurers agree to furnish upon request to the 
Commission a duplicate original of any policy (or policies) and all 
endorsements, surety bond, trust fund agreement, or other filing.

[60 FR 16810, Apr. 3, 1995, as amended at 62 FR 49942, Sept. 24, 1997]



Subpart D--Surety Bonds and Policies of Insurance for Freight Forwarders

    Authority: 49 U.S.C. 10102, 10321, and 10927; 5 U.S.C. 553.

[[Page 852]]


    Source: 55 FR 11201, Mar. 27, 1990, unless otherwise noted. 
Redesignated at 61 FR 54710, Oct. 21, 1996.



Sec. 387.401  Definitions.

    (a) Freight forwarder means a person holding itself out to the 
general public (other than as an express, pipeline, rail, sleeping car, 
motor, or water carrier) to provide transportation of property for 
compensation in interstate commerce, and in the ordinary course of its 
business:
    (1) Performs or provides for assembling, consolidating, break-bulk, 
and distribution of shipments; and
    (2) Assumes responsibility for transportation from place of receipt 
to destination; and
    (3) Uses for any part of the transportation a carrier subject to 
Commission jurisdiction.
    (b) Household goods freight forwarder (HHGFF) means a freight 
forwarder of household goods, unaccompanied baggage, or used 
automobiles.
    (c) Motor vehicle means any vehicle, machine, tractor, trailer, or 
semitrailer propelled or drawn by mechanical power and used to transport 
property, but does not include any vehicle, locomotive, or car operated 
exclusively on a rail or rails. The following combinations will be 
regarded as one motor vehicle:
    (1) A tractor that draws a trailer or semitrailer; and
    (2) A truck and trailer bearing a single load.



Sec. 387.403  General requirements.

    (a) Cargo. A freight forwarder (including a HHGFF) may not operate 
until it has filed with the Commission an approriate surety bond, 
certificate of insurance, qualifications as a self-insurer, or other 
securities or agreements, in the amounts prescribed at Sec. 387.405, for 
loss of or damage to property.
    (b) Public liability. A HHGFF may not perform transfer, collection, 
and delivery service until it has filed with the Commission an 
appropriate surety bond, certificate of insurance, qualifications as a 
self-insurer, or other securities or agreements, in the amounts 
prescribed at Sec. 387.405, conditioned to pay any final judgment 
recovered against such HHGFF for bodily injury to or the death of any 
person, or loss of or damage to property (except cargo) of others, or, 
in the case of freight vehicles described at 49 CFR 387.303(b)(2), for 
environmental restoration, resulting from the negligent operation, 
maintenance, or use of motor vehicles operated by or under its control 
in performing such service.

[55 FR 11201, Mar. 27, 1990. Redesignated at 61 FR 54710, Oct. 21, 1996, 
as amended at 62 FR 49942, Sept. 24, 1997]



Sec. 387.405  Limits of liability.

    The minimum amounts for cargo and public liability security are 
identical to those prescribed for motor carriers at 49 CFR 387.303.

[55 FR 11201, Mar. 27, 1990. Redesignated at 61 FR 54710, Oct. 21, 1996, 
as amended at 62 FR 49942, Sept. 24, 1997]



Sec. 387.407  Surety bonds and certificates of insurance.

    (a) The limits of liability under Sec. 387.405 may be provided by 
aggregation under the procedures at 49 CFR part 387, subpart C.
    (b) Each policy of insurance used in connection with a certificate 
of insurance filed with the Commission shall be amended by attachment of 
the appropriate endorsement prescribed by the Commission (or the 
Department of Transportation, where applicable).

[55 FR 11201, Mar. 27, 1990. Redesignated at 61 FR 54710, Oct. 21, 1996, 
as amended at 62 FR 49942, Sept. 24, 1997]



Sec. 387.409  Insurance and surety companies.

    A certificate of insurance or surety bond will not be accepted by 
the Commission unless issued by an insurance or surety company that is 
authorized (licensed or admitted) to issue bonds or underlying insurance 
policies:
    (a) In each state in which the freight forwarder is authorized by 
the Commission to perform service, or
    (b) In the state in which the freight forwarder has its principal 
place of business or domicile, and will designate in writing upon 
request by the Commission, a person upon whom process, issued by or 
under the authority of a court of competent jurisdiction, may

[[Page 853]]

be served in any proceeding at law or equity brought in any state in 
which the freight forwarder performs service; or
    (c) In any state, and is eligible as an excess or surplus lines 
insurer in any state in which business is written, and will make the 
designation of process agent prescribed in paragraph (b) of this 
section.

[56 FR 28111, June 19, 1991]



Sec. 387.411  Qualifications as a self-insurer and other securities or agreements.

    (a) Self-insurer. The Commission will approve the application of a 
freight fowarder to qualify as a self-insurer if it is able to meet its 
obligations for bodily-injury, property-damage, and cargo liability 
without adversely affecting its business.
    (b) Other securities and agreements. The Commission will grant 
applications for approval of other securities and agreements if the 
public will be protected as contemplated by 49 U.S.C. 13906(c).

[55 FR 11201, Mar. 27, 1990. Redesignated at 61 FR 54710, Oct. 21, 1996, 
as amended at 62 FR 49942, Sept. 24, 1997]



Sec. 387.413  Forms and procedure.

    (a) Forms. Endorsements for policies of insurance, surety bonds, 
certificates of insurance, applications to qualify as a self-insurer or 
for approval of other securities or agreements, and notices of 
cancellation must be in the form prescribed at 49 CFR part 387, subpart 
C.
    (b) Procedure. Certificates of insurance, surety bonds, and notices 
of cancellation must be filed with the Commission in triplicate.
    (c) Names. Certificates of insurance and surety bonds shall be 
issued in the full name (including any trade name) of the individual, 
partnership (all partners named), corporation, or other person holding 
or to be issued the permit.
    (d) Cancellation. Except as provided in paragraph (e) of this 
section, certificates of insurance, surety bonds, and other securities 
and agreements shall not be cancelled or withdrawn until 30 days after 
the Commission receives written notice from the insurance company, 
surety, freight forwarder, or other party, as the case may be.
    (e) Termination by replacement. Certificates of insurance or surety 
bonds may be replaced by other certificates of insurance, surety bonds, 
or other security, and the liability of the retiring insurer or surety 
shall be considered as having terminated as of the replacement's 
effective date, if acceptable to the Commission.

[55 FR 11201, Mar. 27, 1990. Redesignated at 61 FR 54710, Oct. 21, 1996, 
as amended at 62 FR 49942, Sept. 24, 1997]



Sec. 387.415  Acceptance and revocation by the FHWA.

    The Commission may at any time refuse to accept or may revoke its 
acceptance of any surety bond, certificate of insurance, qualifications 
as a self-insurer, or other security or agreement that does not comply 
with these rules or fails to provide adequate public protection.



Sec. 387.417  Fiduciaries.

    (a) Interpretations. The terms ``insured'' and ``principal'' as used 
in a certificate of insurance, surety bond, and notice of cancellation, 
filed by or for a freight forwarder, include the freight forwarder and 
its fiduciary (as defined at 49 CFR 387.319(a)) as of the moment of 
succession.
    (b) Span of security coverage. The coverage furnished for a 
fiduciary shall not apply after the effective date of other insurance or 
security, filed with and accepted by the Commission for such fiduciary. 
After the coverage shall have been in effect 30 days, it may be 
cancelled or withdrawn within the succeeding 30 days by the insurer, the 
insured, the surety, or the principal 10 days after the Commission 
receives written notice. After such coverage has been in effect 60 days, 
it may be cancelled or withdrawn only in accordance with 
Sec. 387.413(d).

[55 FR 11201, Mar. 27, 1990. Redesignated at 61 FR 54710, Oct. 21, 1996, 
as amended at 62 FR 49942, Sept. 24, 1997]



Sec. 387.419  Electronic filing of surety bonds, certificates of insurance and cancellations.

    Insurers may, at their option and in accordance with the 
requirements and

[[Page 854]]

procedures set forth at 49 CFR 387.323, file certificates of insurance, 
surety bonds, and other securities and agreements electronically.

[60 FR 16811, Apr. 3, 1995, as amended at 62 FR 49942, Sept. 24, 1997]



PART 388--COOPERATIVE AGREEMENTS WITH STATES--Table of Contents




Sec.
388.1  Eligibility.
388.2  Extent of acceptance.
388.3  Cancellation.
388.4  Exchange of information.
388.5  Requests for assistance.
388.6  Joint investigation, inspection, or examination.
388.7  Joint administrative activities related to enforcement of safety 
          and hazardous materials laws and regulations.
388.8  Supplemental agreements.

    Authority: 49 U.S.C. 104 and 502; 49 CFR 1.48.

    Source: 33 FR 19725, Dec. 25, 1968, unless otherwise noted.



Sec. 388.1  Eligibility.

    Any State may agree with the Federal Highway Administration to 
enforce the safety laws and regulations of said State and the United 
States concerning motor carrier transportation by filing with the 
Administrator at Washington, DC 20591, a written acceptance of the terms 
herein.



Sec. 388.2  Extent of acceptance.

    The written acceptance may be in letter form, signed by competent 
authority of said State charged with regulations of motor carrier saftey 
and hazardous materials transportation and shall specify the terms 
herein pertaining to the obligations of a State in which said State will 
participate. To the extent that a State agrees to participate in the 
terms herein, officials of the Federal Highway Administration will 
reciprocate.



Sec. 388.3  Cancellation.

    Cancellation or withdrawal, in whole or in part, from any agreement 
made under this chapter may be effected by written notice from either 
party indicating the effective date of said cancellation or withdrawal.



Sec. 388.4  Exchange of information.

    (a) Federal Highway Administration furnishing information to State. 
Information that comes to the attention of an employee of the Federal 
Highway Administration in the course of his/her official duties of 
investigation, inspection, or examination of the property, equipment, 
and records of a motor carrier or others, pursuant to 49 U.S.C. 504(c), 
and that is believed to be a violation of any law or regulation of the 
State pertaining to unsafe motor carrier operations and practices, shall 
be communicated to the appropriate State authority by an official of the 
Federal Highway Administration.
    (b) State furnishing information to Federal Highway Administration. 
Information that comes to the attention of a duly authorized agent of 
the State in the course of his/her official duties of investigation, 
inspection, or examination of the property, equipment, and records of a 
motor carrier or others, and that is believed to be a violation of any 
provision of the safety or hazardous materials laws of the United States 
concerning highway transportation or the regulations of the Federal 
Highway Administration thereunder, shall be communicated to the Regional 
Director of Motor Carriers.

[51 FR 12621, Apr. 14, 1986]



Sec. 388.5  Requests for assistance.

    (a) State request for Federal Highway Administration assistance. 
Upon written request of the appropriate State authority, the Office of 
Motor Carriers officials of the Federal Highway Administration for that 
State shall, as time, personnel, and funds permit, obtain evidence for 
use by said State in the enforcement of its laws and regulations 
concerning unsafe motor carrier operations. Evidence obtained in this 
manner shall be transmitted to the appropriate State authority together 
with the name and address of an agent or employee, if any, having 
knowledge of the facts, who shall be made available when necessary to 
testify as a witness in an enforcement proceeding or other action.
    (b) Federal Highway Administration request for State assistance. 
Upon written request from a Regional Director of

[[Page 855]]

Motor Carriers, the appropriate State authority, shall, as time, 
personnel, and funds permit, obtain evidence in the State for use by the 
Federal Highway Administration in its enforcement of the safety and 
hazardous materials laws and regulations of the United States concerning 
highway transportation. Evidence obtained in this manner shall be 
transmitted to the Regional Director of Motor Carriers, together with 
the name and address of an agent or employee, if any, having knowledge 
of the facts, who shall be made available when necessary to testify as a 
witness in an enforcement proceeding or other action.

[33 FR 19725, Dec. 25, 1968, as amended at 51 FR 12621, Apr. 14, 1986; 
60 FR 38743, July 28, 1995]



Sec. 388.6  Joint investigation, inspection, or examination.

    Upon agreement by the Regional Director of Motor Carriers and the 
appropriate State authority, there will be conducted a joint 
investigation, inspection, or examination of the property, equipment, or 
records of motor carriers or others, for the enforcement of the safety 
and hazardous materials laws and regulations of the United States and 
the State concerning highway transportation. The said Regional Director 
of Motor Carriers and the appropriate State authority shall decide as to 
the location and time, the objectives sought, and the identity of the 
person who will supervise the joint effort and make the necessary 
decisions. Any agent or employee of either agency who has personal 
knowledge of pertinent facts shall be made available when necessary to 
testify as a witness in an enforcement proceeding or other action.

[33 FR 19725, Dec. 25, 1968, as amended at 51 FR 12621, Apr. 14, 1986]



Sec. 388.7  Joint administrative activities related to enforcement of safety and hazardous materials laws and regulations.

    To facilitate the interchange of information and evidence, and the 
conduct of joint investigation and administrative action, the Regional 
Director of Motor Carriers and the appropriate State authority shall, 
when warranted, schedule joint conferences of staff members of both 
agencies. Information shall be exchanged as to the nature and extent of 
the authority and capabilities of the respective agencies to enforce the 
safety and hazardous materials laws and regulations of the State or of 
the United States concerning motor carrier transportation. The Federal 
Highway Administration and the State (or appropriate State authority) 
shall use their best efforts to inform each other of changes in their 
rules and regulations and cooperate with and assist each other in 
conducting training schools for Federal and State enforcement officials 
engaged in such duties.

[33 FR 19725, Dec. 25, 1968, as amended at 51 FR 12621, Apr. 14, 1986]



Sec. 388.8  Supplemental agreements.

    The terms specified in this part may be supplemented from time to 
time by specific agreement between the Federal Highway Administration 
and the appropriate State authority in order to further implement the 
provisions of 49 U.S.C. 502.

[51 FR 12621, Apr. 14, 1986]



PART 389--RULEMAKING PROCEDURES--FEDERAL MOTOR CARRIER SAFETY REGULATIONS--Table of Contents




                           Subpart A--General

Sec.
389.1  Applicability.
389.3  Definitions.
389.5  Regulatory docket.
389.7  Records.

               Subpart B--Procedures for Adoption of Rules

389.11  General.
389.13  Initiation of rule making.
389.15  Contents of notices of proposed rule making.
389.17  Participation by interested persons.
389.19  Petitions for extension of time to comment.
389.21  Contents of written comments.
389.23  Consideration of comments received.
389.25  Additional rule making proceedings.
389.27  Hearings.
389.29  Adoption of final rules.
389.31  Petitions for rule making.
389.33  Processing of petition.
389.35  Petitions for reconsideration.

[[Page 856]]

389.37  Proceedings on petitions for reconsideration.

    Authority: 49 U.S.C. 104, 501 et seq., 31101 et seq., 31138, 31139, 
31301 et seq., and 31502; 42 U.S.C. 4917; and 49 CFR 1.48.

    Source: 35 FR 9209, June 12, 1970, unless otherwise noted.



                           Subpart A--General



Sec. 389.1  Applicability.

    This part prescribes rulemaking procedures that apply to the 
issuance, amendment and revocation of rules under an Act.

[62 FR 37152, July 11, 1997]



Sec. 389.3  Definitions.

    Act means statutes granting the Secretary authority to regulate 
motor carrier safety.
    Administrator means the Federal Highway Administrator.

[62 FR 37152, July 11, 1997]



Sec. 389.5  Regulatory docket.

    (a) Information and data deemed relevant by the Administrator 
relating to rule making actions, including notices of proposed rule 
making; comments received in response to notices; petitions for rule 
making and reconsideration; denials of petitions for rule making and 
reconsideration; records of additional rule making proceedings under 
Sec. 389.25; and final rules are maintained at Headquarters, Federal 
Highway Administration, Nassif Building, 400 Seventh Street, SW., 
Washington, DC 20590.
    (b) Any person may examine docketed material, at any time during 
regular business hours after the docket is established, except material 
ordered withheld from the public under section 552(b) of title 5 of the 
United States Code, and may obtain a copy of it upon payment of a fee.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



Sec. 389.7  Records.

    Records of the Administrator relating to rule making proceedings are 
available for inspection as provided in section 552(b) of title 5 of the 
United States Code and part 7 of the regulations of the Secretary of 
Transportation (part 7 of this title; 32 FR 9284 et seq.).

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



               Subpart B--Procedures for Adoption of Rules



Sec. 389.11  General.

    Unless the Administrator, for good cause, finds a notice is 
impractical, unnecessary, or contrary to the public interest, and 
incorporates such a finding and a brief statement of the reasons for it 
in the rule, a notice of proposed rulemaking must be issued, and 
interested persons are invited to participate in the rulemaking 
proceedings involving rules under an Act.

[62 FR 37152, July 11, 1997]



Sec. 389.13  Initiation of rule making.

    The Administrator initiates rule making on his/her own motion. 
However, in so doing, he/she may, in his/her discretion, consider the 
recommendations of his/her staff or other agencies of the United States 
or of other interested persons.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



Sec. 389.15  Contents of notices of proposed rule making.

    (a) Each notice of proposed rule making is published in the Federal 
Register, unless all persons subject to it are named and are personally 
served with a copy of it.
    (b) Each notice, whether published in the Federal Register or 
personally served, includes:
    (1) A statement of the time, place, and nature of the proposed rule 
making proceeding;
    (2) A reference to the authority under which it is issued;
    (3) A description of the subjects and issues involved or the 
substance and terms of the proposed rule;
    (4) A statement of the time within which written comments must be 
submitted; and
    (5) A statement of how and to what extent interested persons may 
participate in the proceeding.

[[Page 857]]



Sec. 389.17  Participation by interested persons.

    (a) Any interested person may participate in rule making proceedings 
by submitting comments in writing containing information, views, or 
arguments.
    (b) In his/her discretion, the Administrator may invite any 
interested person to participate in the rule making procedures described 
in Sec. 389.25.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



Sec. 389.19  Petitions for extension of time to comment.

    A petition for extension of the time to submit comments must be 
received in duplicate not later than three (3) days before expiration of 
the time stated in the notice. The filing of the petition does not 
automatically extend the time for petitioner's comments. Such a petition 
is granted only if the petitioner shows good cause for the extension, 
and if the extension is consistent with the public interest. If an 
extension is granted, it is granted to all persons, and it is published 
in the Federal Register.



Sec. 389.21  Contents of written comments.

    All written comments must be in English and submitted in five (5) 
legible copies, unless the number of copies is specified in the notice. 
Any interested person must submit as part of his/her written comments 
all material that he/she considers relevant to any statement of fact 
made by him/her. Incorporation of material by reference is to be 
avoided. However, if such incorporation is necessary, the incorporated 
material shall be identified with respect to document and page.



Sec. 389.23  Consideration of comments received.

    All timely comments are considered before final action is taken on a 
rule making proposal. Late filed comments may be considered as far as 
practicable.



Sec. 389.25  Additional rule making proceedings.

    The Administrator may initiate any further rule making proceedings 
that he/she finds necessary or desirable. or example, interested persons 
may be invited to make oral arguments, to participate in conferences 
between the Administrator or his/her representative at which minutes of 
the conference are kept, to appear at informal hearings presided over by 
officials designated by the Administrator at which a transcript or 
minutes are kept, or participate in any other proceeding to assure 
informed administrative action and to protect the public interest.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



Sec. 389.27  Hearings.

    (a) Sections 556 and 557 of title 5, United States Code, do not 
apply to hearings held under this part. Unless otherwise specified, 
hearings held under this part are informal, nonadversary, fact-finding 
procedures at which there are no formal pleadings or adverse parties. 
Any rule issued in a case in which an informal hearing is held is not 
necessarily based exclusively on the record of the hearing.
    (b) The Administrator designates a representative to conduct any 
hearing held under this part. The Chief Counsel of the Federal Highway 
Administration designates a member of his/her staff to serve as legal 
officer at the hearing.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



Sec. 389.29  Adoption of final rules.

    Final rules are prepared by representatives of the office concerned 
and the Office of the Chief Counsel. The rule is then submitted to the 
Administrator for his/her consideration. If the Administrator adopts the 
rule, it is published in the Federal Register, unless all persons 
subject to it are named and are personally served with a copy of it.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



Sec. 389.31  Petitions for rule making.

    (a) Any interested person may petition the Administrator to 
establish, amend, or repeal a rule.
    (b) Each petition filed under this section must:

[[Page 858]]

    (1) Be submitted in duplicate to the Administrator, Federal Highway 
Administration, 400 Seventh Street, SW., Washington, DC 20590;
    (2) Set forth the text or substance of the rule or amendment 
proposed, or specify the rule that the petitioner seeks to have 
repealed, as the case may be;
    (3) Explain the interest of the petitioner in the action requested;
    (4) Contain any information and arguments available to the 
petitioner to support the action sought.

[35 FR 9209, June 12, 1970, as amended at 45 FR 46424, July 10, 1980; 53 
FR 2036, Jan. 26, 1988]



Sec. 389.33  Processing of petition.

    (a) Unless the Administrator otherwise specifies, no public hearing, 
argument, or other proceeding is held directly on a petition before its 
disposition under this section.
    (b) Grants. If the Administrator determines that the petition 
contains adequate justification, he/she initiates rule making action 
under this Subpart B.
    (c) Denials. If the Administrator determines that the petition does 
not justify rule making, he/she denies the petition.
    (d) Notification. Whenever the Administrator determines that a 
petition should be granted or denied, the Office of the Chief Counsel 
prepares a notice of that grant or denial for issuance to the 
petitioner, and the Administrator issues it to the petitioner.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



Sec. 389.35  Petitions for reconsideration.

    (a) Any interested person may petition the Administrator for 
reconsideration of any rule issued under this part. The petition must be 
in English and submitted in five (5) legible copies to the 
Administrator, Federal Highway Administration, 400 Seventh Street, SW., 
Washington, DC 20590, and received not later than thirty (30) days after 
publication of the rule in the Federal Register. Petitions filed after 
that time will be considered as petitions filed under Sec. 389.31. The 
petition must contain a brief statement of the complaint and an 
explanation as to why compliance with the rule is not practicable, is 
unreasonable, or is not in the public interest.
    (b) If the petitioner requests the consideration of additional 
facts, he/she must state the reason they were not presented to the 
Administrator within the prescribed time.
    (c) The Administrator does not consider repetitious petitions.
    (d) Unless the Administrator otherwise provides, the filing of a 
petition under this section does not stay the effectiveness of the rule.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



Sec. 389.37  Proceedings on petitions for reconsideration.

    The Administrator may grant or deny, in whole or in part, any 
petition for reconsideration without further proceedings. In the event 
he/she determines to reconsider any rule, he/she may issue a final 
decision on reconsideration without further proceedings, or he/she may 
provide such opportunity to submit comment or information and data as 
he/she deems appropriate. Whenever the Administrator determines that a 
petition should be granted or denied, he/she prepares a notice of the 
grant or denial of a petition for reconsideration, for issuance to the 
petitioner, and issues it to the petitioner. The Administrator may 
consolidate petitions relating to the same rule.

[35 FR 9209, June 12, 1970, as amended at 53 FR 2036, Jan. 26, 1988]



PART 390--FEDERAL MOTOR CARRIER SAFETY REGULATIONS; GENERAL--Table of Contents




            Subpart A--General Applicability and Definitions

Sec.
390.1  Purpose.
390.3  General applicability.
390.5  Definitions.
390.7  Rules of construction.

             Subpart B--General Requirements and Information

390.9  State and local laws, effect on.
390.11  Motor carrier to require observance of driver regulations.

[[Page 859]]

390.13  Aiding or abetting violations.
390.15  Assistance in investigations and special studies.
390.16-390.17  [Reserved]
390.19  Additional equipment and accessories.
390.21  Marking of commercial motor vehicles.
390.23  Relief from regulations.
390.25  Extension of relief from regulations--emergencies.
390.27  Locations of regional offices of motor carriers.
390.29  Location of records or documents.
390.31  Copies of records or documents.
390.33  Commercial motor vehicles used for purposes other than defined.
390.35  Certificates, reports, and records: Falsification, reproduction, 
          or alteration.
390.37  Violation and penalty.

Subpart C  [Reserved]

                  Subpart D--Identification of Vehicles

390.401  Applicability.
390.403  Method of identification.
390.405  Size, shape, and color.
390.407  Driveaway service.

    Authority: 49 U.S.C. 13301, 13902, 31132, 31133, 31136, 31502, and 
31504; sec. 204, Pub. L. 104-88, 109 Stat. 803, 941 (49 U.S.C. 701 
note); and 49 CFR 1.48.

    Source: 53 FR 18052, May 19, 1988, unless otherwise noted.



            Subpart A--General Applicability and Definitions



Sec. 390.1  Purpose.

    This part establishes general applicability, definitions, general 
requirements and information as they pertain to persons subject to this 
chapter.



Sec. 390.3  General applicability.

    (a) The rules in subchapter B of this chapter are applicable to all 
employers, employees, and commercial motor vehicles, which transport 
property or passengers in interstate commerce.
    (b) The rules in Part 383, Commercial Driver's License Standards; 
Requirements and Penalties, are applicable to every person who operates 
a commercial motor vehicle, as defined in Sec. 383.5 of this subchapter, 
in interstate or intrastate commerce and to all employers of such 
persons.
    (c) The rules in Part 387, Minimum Levels of Financial 
Responsibility for Motor Carriers, are applicable to motor carriers as 
provided in Sec. 387.3 or 387.27 of this subchapter.
    (d) Additional requirements. Nothing in subchapter B of this chapter 
shall be construed to prohibit an employer from requring and enforcing 
more stringent requirements relating to safety of operation and employee 
safety and health.
    (e) Knowledge of and compliance with the regulations.
    (1) Every employer shall be knowledgeable of and comply with all 
regulations contained in this subchapter which are applicable to that 
motor carrier's operations.
    (2) Every driver and employee shall be instructed regarding, and 
shall comply with, all applicable regulations contained in this 
subchapter.
    (3) All motor vehicle equipment and accessories required by this 
subchapter shall be maintained in compliance with all applicable 
performance and design criteria set forth in this subchapter.
    (f) Exceptions. Unless otherwise specifically provided, the rules in 
this subchapter do not apply to--
    (1) All school bus operations as defined in Sec. 390.5;
    (2) Transportation performed by the Federal government, a State, or 
any political subdivision of a State, or an agency established under a 
compact between States that has been approved by the Congress of the 
United States;
    (3) The occasional transportation of personal property by 
individuals not for compensation nor in the furtherance of a commercial 
enterprise;
    (4) The transportation of human corpses or sick and injured persons;
    (5) The operation of fire trucks and rescue vehicles while involved 
in emergency and related operations;
    (6) The operation of commercial motor vehicles designed to transport 
less than 16 passengers (including the driver) until March 6, 2000.

[53 FR 18052, May 19, 1988, as amended at 54 FR 12202, Mar. 24, 1989; 58 
FR 33776, June 21, 1993; 59 FR 8752, Feb. 23, 1994; 59 FR 67554, Dec. 
29, 1994; 62 FR 1296, Jan. 9, 1997; 63 FR 33276, June 18, 1998; 64 FR 
48516, Sept. 3, 1999]



Sec. 390.5  Definitions.

    Unless specifically defined elsewhere, in this subchapter:
    Accident means--

[[Page 860]]

    (1) Except as provided in paragraph (2) of this definition, an 
occurrence involving a commercial motor vehicle operating on a highway 
in interstate or intrastate commerce which results in:
    (i) A fatality;
    (ii) Bodily injury to a person who, as a result of the injury, 
immediately receives medical treatment away from the scene of the 
accident; or
    (iii) One or more motor vehicles incurring disabling damage as a 
result of the accident, requiring the motor vehicle(s) to be transported 
away from the scene by a tow truck or other motor vehicle.
    (2) The term accident does not include:
    (i) An occurrence involving only boarding and alighting from a 
stationary motor vehicle; or
    (ii) An occurrence involving only the loading or unloading of cargo.
    Alcohol concentration (AC) means the concentration of alcohol in a 
person's blood or breath. When expressed as a percentage it means grams 
of alcohol per 100 milliliters of blood or grams of alcohol per 210 
liters of breath.
    Bus means any motor vehicle designed, constructed, and or used for 
the transportation of passengers, including taxicabs.
    Business district means the territory contiguous to and including a 
highway when within any 600 feet along such highway there are buildings 
in use for business or industrial purposes, including but not limited to 
hotels, banks, or office buildings which occupy at least 300 feet of 
frontage on one side or 300 feet collectively on both sides of the 
highway.
    Charter transportation of passengers means transportation, using a 
bus, of a group of persons who pursuant to a common purpose, under a 
single contract, at a fixed charge for the motor vehicle, have acquired 
the exclusive use of the motor vehicle to travel together under an 
itinerary either specified in advance or modified after having left the 
place of origin.
    Commercial motor vehicle means any self-propelled or towed motor 
vehicle used on a highway in interstate commerce to transport passengers 
or property when the vehicle--
    (1) Has a gross vehicle weight rating or gross combination weight 
rating, or gross vehicle weight or gross combination weight, of 4,536 kg 
(10,001 pounds) or more, whichever is greater; or
    (2) Is designed or used to transport more than 8 passengers 
(including the driver) for compensation; or
    (3) Is designed or used to transport more than 15 passengers, 
including the driver, and is not used to transport passengers for 
compensation; or
    (4) Is used in transporting material found by the Secretary of 
Transportation to be hazardous under 49 U.S.C. 5103 and transported in a 
quantity requiring placarding under regulations prescribed by the 
Secretary under 49 CFR, subtitle B, chapter I, subchapter C.
    Conviction means an unvacated adjudication of guilt, or a 
determination that a person has violated or failed to comply with the 
law in a court of original jurisdiction or by an authorized 
administrative tribunal, an unvacated forfeiture of bail or collateral 
deposited to secure the person's appearance in court, a plea of guilty 
or nolo contendere accepted by the court, the payment of a fine or court 
cost, or violation of a condition of release without bail, regardless of 
whether or not the penalty is rebated, suspended, or probated.
    Direct assistance means transportation and other relief services 
provided by a motor carrier or its driver(s) incident to the immediate 
restoration of essential services (such as, electricity, medial care, 
sewer, water, telecommunications, and telecommunication transmissions) 
or essential supplies (such as, food and fuel). It does not include 
transportation related to long-term rehabilitation of damaged physical 
infrastructure or routine commercial deliveries after the initial threat 
to life and property has passed.
    Disabling damage means damage which precludes departure of a motor 
vehicle from the scene of the accident in its usual manner in daylight 
after simple repairs.

    (1) Inclusions. Damage to motor vehicles that could have been 
driven, but would have been further damaged if so driven.
    (2) Exclusions.

[[Page 861]]

    (i) Damage which can be remedied temporarily at the scene of the 
accident without special tools or parts.
    (ii) Tire disablement without other damage even if no spare tire is 
available.
    (iii) Headlamp or taillight damage.
    (iv) Damage to turn signals, horn, or windshield wipers which makes 
them inoperative.
    Driveaway-towaway operation means any operation in which a motor 
vehicle constitutes the commodity being transported and one or more set 
of wheels of the motor vehicle being transported are on the surface of 
the roadway during transportation.
    Driver means any person who operates any commercial motor vehicle.
    Driving a commercial motor vehicle while under the influence of 
alcohol means committing any one or more of the following acts in a CMV: 
Driving a CMV while the person's alcohol concentration is 0.04 percent 
or more; driving under the influence of alcohol, as prescribed by State 
law; or refusal to undergo such testing as is required by any State or 
jurisdiction in the enforcement of Sec. 383.51(b)(2)(i)(A) or (B), or 
Sec. 392.5(a)(2).
    Emergency means any hurricane, tornado, storm (e.g. thunderstorm, 
snowstorm, icestorm, blizzard, sandstorm, etc.), high water, wind-driven 
water, tidal wave, tsunami, earthquake, volcanic eruption, mud slide, 
drought, forest fire, explosion, blackout or other occurrence, natural 
or man-made, which interrupts the delivery of essential services (such 
as, electricity, medical care, sewer, water, telecommunications, and 
telecommunication transmissions) or essential supplies (such as, food 
and fuel) or otherwise immediately threatens human life or public 
welfare, provided such hurricane, tornado, or other event results in:
    (1) A declaration of an emergency by the President of the United 
States, the Governor of a State, or their authorized representatives 
having authority to declare emergencies; by the Regional Director of 
Motor Carriers for the region in which the occurrence happens; or by 
other Federal, State or local government officials having authority to 
declare emergencies, or
    (2) A request by a police officer for tow trucks to move wrecked or 
disabled motor vehicles.
    Emergency relief means an operation in which a motor carrier or 
driver of a commercial motor vehicle is providing direct assistance to 
supplement State and local efforts and capabilities to save lives or 
property or to protect public health and safety as a result of an 
emergency as defined in this section.
    Employee means any individual, other than an employer, who is 
employed by an employer and who in the course of his or her employment 
directly affects commercial motor vehicle safety. Such term includes a 
driver of a commercial motor vehicle (including an independent 
contractor while in the course of operating a commercial motor vehicle), 
a mechanic, and a freight handler. Such term does not include an 
employee of the United States, any State, any political subdivision of a 
State, or any agency established under a compact between States and 
approved by the Congress of the United States who is acting within the 
course of such employment.
    Employer means any person engaged in a business affecting interstate 
commerce who owns or leases a commercial motor vehicle in connection 
with that business, or assigns employees to operate it, but such terms 
does not include the United States, any State, any political subdivision 
of a State, or an agency established under a compact between States 
approved by the Congress of the United States.
    Exempt intracity zone means the geographic area of a municipality or 
the commercial zone of that municipality described by the FHWA in 49 CFR 
part 372, subpart B. The descriptions are printed in appendix F to 
subchapter B of this chapter. The term ``exempt intracity zone'' does 
not include any municipality or commercial zone in the State of Hawaii. 
For purposes of Sec. 391.2(d), a driver may be considered to operate a 
commercial motor vehicle wholly within an exempt intracity zone 
notwithstanding any common control, management, or arrangement for a 
continuous carriage or shipment to or from a point without such zone.

[[Page 862]]

    Exempt motor carrier means a person engaged in transportation exempt 
from economic regulation by the Interstate Commerce Commission (ICC) 
under 49 U.S.C. 10526. ``Exempt motor carriers'' are subject to the 
safety regulations set forth in this subchapter.
    Farm vehicle driver means a person who drives only a commercial 
motor vehicle that is--
    (a) Controlled and operated by a farmer as a private motor carrier 
of property;
    (b) Being used to transport either--
    (1) Agricultural products, or
    (2) Farm machinery, farm supplies, or both, to or from a farm;
    (c) Not being used in the operation of a for-hire motor carrier;
    (d) Not carrying hazardous materials of a type or quantity that 
requires the commercial motor vehicle to be placarded in accordance with 
Sec. 177.823 of this subtitle; and
    (e) Being used within 150 air-miles of the farmer's farm.
    Farmer means any person who operates a farm or is directly involved 
in the cultivation of land, crops, or livestock which--
    (a) Are owned by that person; or
    (b) Are under the direct control of that person.
    Fatality means any injury which results in the death of a person at 
the time of the motor vehicle accident or within 30 days of the 
accident.
    Federal Highway Administrator means the chief executive of the 
Federal Highway Administration, an agency within the Department of 
Transportation.
    For-hire motor carrier means a person engaged in the transportation 
of goods or passengers for compensation.
    Gross combination weight rating (GCWR) means the value specified by 
the manufacturer as the loaded weight of a combination (articulated) 
motor vehicle. In the absence of a value specified by the manufacturer, 
GCWR will be determined by adding the GVWR of the power unit and the 
total weight of the towed unit and any load thereon.
    Gross vehicle weight rating (GVWR) means the value specified by the 
manufacturer as the loaded weight of a single motor vehicle.
    Hazardous material means a substance or material which has been 
determined by the Secretary of Transportation to be capable of posing an 
unreasonable risk to health, safety, and property when transported in 
commerce, and which has been so designated.
    Hazardous substance means a material, and its mixtures or solutions, 
that is identified in the appendix to Sec. 172.101, List of Hazardous 
Substances and Reportable Quantities, of this title when offered for 
transportation in one package, or in one transport motor vehicle if not 
packaged, and when the quantity of the material therein equals or 
exceeds the reportable quantity (RQ). This definition does not apply to 
petroleum products that are lubricants or fuels, or to mixtures or 
solutions of hazardous substances if in a concentration less than that 
shown in the table in Sec. 171.8 of this title, based on the reportable 
quantity (RQ) specified for the materials listed in the appendix to 
Sec. 172.101.
    Hazardous waste means any material that is subject to the hazardous 
waste manifest requirements of the EPA specified in 40 CFR part 262 or 
would be subject to these requirements absent an interim authorization 
to a State under 40 CFR part 123, subpart F.
    Highway means any road, street, or way, whether on public or private 
property, open to public travel. ``Open to public travel'' means that 
the road section is available, except during scheduled periods, extreme 
weather or emergency conditions, passable by four-wheel standard 
passenger cars, and open to the general public for use without 
restrictive gates, prohibitive signs, or regulation other than 
restrictions based on size, weight, or class of registration. Toll 
plazas of public toll roads are not considered restrictive gates.
    Interstate commerce means trade, traffic, or transportation in the 
United States--
    (1) Between a place in a State and a place outside of such State 
(including a place outside of the United States);
    (2) Between two places in a State through another State or a place 
outside of the United States; or
    (3) Between two places in a State as part of trade, traffic, or 
transportation

[[Page 863]]

originating or terminating outside the State or the United States.
    Intrastate commerce means any trade, traffic, or transportation in 
any State which is not described in the term ``interstate commerce.''
    Medical examiner means a person who is licensed, certified, and/or 
registered, in accordance with applicable State laws and regulations, to 
perform physical examinations. The term includes but is not limited to, 
doctors of medicine, doctors of osteopathy, physician assistants, 
advanced practice nurses, and doctors of chiropractic.
    Motor carrier means a for-hire motor carrier or a private motor 
carrier. The term includes a motor carrier's agents, officers and 
representatives as well as employees responsible for hiring, 
supervising, training, assigning, or dispatching of drivers and 
employees concerned with the installation, inspection, and maintenance 
of motor vehicle equipment and/or accessories. For purposes of 
subchapter B, this definition includes the terms employer, and exempt 
motor carrier.
    Motor vehicle means any vehicle, machine, tractor, trailer, or 
semitrailer propelled or drawn by mechanical power and used upon the 
highways in the transportation of passengers or property, or any 
combination thereof determined by the Federal Highway Administration, 
but does not include any vehicle, locomotive, or car operated 
exclusively on a rail or rails, or a trolley bus operated by electric 
power derived from a fixed overhead wire, furnishing local passenger 
transportation similar to street-railway service.
    Multiple-employer driver means a driver, who in any period of 7 
consecutive days, is employed or used as a driver by more than one motor 
carrier.
    Operator -- See driver.
    Other terms -- Any other term used in this subchapter is used in its 
commonly accepted meaning, except where such other term has been defined 
elsewhere in this subchapter. In that event, the definition therein 
given shall apply.
    Out-of-service order means a declaration by an authorized 
enforcement officer of a Federal, State, Canadian, Mexican, or local 
jurisdiction that a driver, a commercial motor vehicle, or a motor 
carrier operation, is out-of-service pursuant to Secs. 386.72, 392.5, 
395.13, 396.9, or compatible laws, or the North American Uniform Out-of-
Service Criteria.
    Person means any individual, partnership, association, corporation, 
business trust, or any other organized group of individuals.
    Principal place of business means the single location designated by 
the motor carrier, normally its headquarters, for purposes of 
identification under this subchapter. The motor carrier must make 
records required by parts 382, 387, 390, 391, 395, 396, and 397 of this 
subchapter available for inspection at this location within 48 hours 
(Saturdays, Sundays, and Federal holidays excluded) after a request has 
been made by a special agent or authorized representative of the Federal 
Highway Administration.
    Private motor carrier means a person who provides transportation of 
property or passengers, by commercial motor vehicle, and is not a for-
hire motor carrier.
    Private motor carrier of passengers (business) means a private motor 
carrier engaged in the interstate transportation of passengers which is 
provided in the furtherance of a commercial enterprise and is not 
available to the public at large.
    Private motor carrier of passengers (nonbusiness) means private 
motor carrier involved in the interstate transportation of passengers 
that does not otherwise meet the definition of a private motor carrier 
of passengers (business).
    Radar detector means any device or mechanism to detect the emission 
of radio microwaves, laser beams or any other future speed measurement 
technology employed by enforcement personnel to measure the speed of 
commercial motor vehicles upon public roads and highways for enforcement 
purposes. Excluded from this definition are radar detection devices that 
meet both of the following requirements:
    (1) Transported outside the driver's compartment of the commercial 
motor vehicle. For this purpose, the driver's compartment of a 
passenger-carrying CMV shall include all space designed to

[[Page 864]]

accommodate both the driver and the passengers; and
    (2) Completely inaccessible to, inoperable by, and imperceptible to 
the driver while operating the commercial motor vehicle.
    Regional Director of Motor Carriers means the Director of the Office 
of Motor Carriers, Federal Highway Administration, for a given 
geographical region of the United States.
    Residential district means the territory adjacent to and including a 
highway which is not a business district and for a distance of 300 feet 
or more along the highway is primarily improved with residences.
    School bus means a passenger motor vehicle which is designed or used 
to carry more than 10 passengers in addition to the driver, and which 
the Secretary determines is likely to be significantly used for the 
purpose of transporting preprimary, primary, or secondary school 
students to such schools from home or from such schools to home.
    School bus operation means the use of a school bus to transport only 
school children and/or school personnel from home to school and from 
school to home.
    Secretary means the Secretary of Transportation.
    Single-employer driver means a driver who, in any period of 7 
consecutive days, is employed or used as a driver solely by a single 
motor carrier. This term includes a driver who operates a commercial 
motor vehicle on an intermittent, casual, or occasional basis.
    Special agent See appendix B to subchapter B -- Special agents.
    State means a State of the United States and the District of 
Columbia and includes a political subdivision of a State.
    Trailer includes:
    (a) Full trailer means any motor vehicle other than a pole trailer 
which is designed to be drawn by another motor vehicle and so 
constructed that no part of its weight, except for the towing device, 
rests upon the self-propelled towing motor vehicle. A semitrailer 
equipped with an auxiliary front axle (converter dolly) shall be 
considered a full trailer.
    (b) Pole trailer means any motor vehicle which is designed to be 
drawn by another motor vehicle and attached to the towing motor vehicle 
by means of a ``reach'' or ``pole,'' or by being ``boomed'' or otherwise 
secured to the towing motor vehicle, for transporting long or 
irregularly shaped loads such as poles, pipes, or structural members, 
which generally are capable of sustaining themselves as beams between 
the supporting connections.
    (c) Semitrailer means any motor vehicle, other than a pole trailer, 
which is designed to be drawn by another motor vehicle and is 
constructed so that some part of its weight rests upon the self-
propelled towing motor vehicle.
    Truck means any self-propelled commercial motor vehicle except a 
truck tractor, designed and/or used for the transportation of property.
    Truck tractor means a self-propelled commercial motor vehicle 
designed and/or used primarily for drawing other vehicles.
    United States means the 50 States and the District of Columbia.

[53 FR 18052, May 19, 1988]

    Editorial Note: For Federal Register citations affecting Sec. 390.5, 
see the List of CFR Sections Affected in the Finding Aids section of 
this volume.



Sec. 390.7  Rules of construction.

    (a) In part 325 of subchapter A and in this subchapter, unless the 
context requires otherwise:
    (1) Words imparting the singular include the plural;
    (2) Words imparting the plural include the singular;
    (3) Words imparting the present tense include the future tense.
    (b) In this subchapter the word--
    (1) Officer includes any person authorized by law to perform the 
duties of the office;
    (2) Writing includes printing and typewriting;
    (3) Shall is used in an imperative sense;
    (4) Must is used in an imperative sense;
    (5) Should is used in a recommendatory sense;
    (6) May is used in a permissive sense; and

[[Page 865]]

    (7) Includes is used as a word of inclusion, not limitation.

[53 FR 18052, May 19, 1988, as amended at 60 FR 38744, July 28, 1995]



             Subpart B--General Requirements and Information



Sec. 390.9  State and local laws, effect on.

    Except as otherwise specifically indicated, subchapter B of this 
chapter is not intended to preclude States or subdivisions thereof from 
establishing or enforcing State or local laws relating to safety, the 
compliance with which would not prevent full compliance with these 
regulations by the person subject thereto.



Sec. 390.11  Motor carrier to require observance of driver regulations.

    Whenever in part 325 of subchapter A or in this subchapter a duty is 
prescribed for a driver or a prohibition is imposed upon the driver, it 
shall be the duty of the motor carrier to require observance of such 
duty or prohibition. If the motor carrier is a driver, the driver shall 
likewise be bound.



Sec. 390.13  Aiding or abetting violations.

    No person shall aid, abet, encourage, or require a motor carrier or 
its employees to violate the rules of this chapter.



Sec. 390.15  Assistance in investigations and special studies.

    (a) A motor carrier shall make all records and information 
pertaining to an accident available to an authorized representative or 
special agent of the Federal Highway Administration upon request or as 
part of any inquiry within such time as the request or inquiry may 
specify. A motor carrier shall give an authorized representative of the 
Federal Highway Administration all reasonable assistance in the 
investigation of any accident including providing a full, true and 
correct answer to any question of the inquiry.
    (b) Motor carriers shall maintain for a period of one year after an 
accident occurs, an accident register containing at least the following 
information:
    (1) A list of accidents containing for each accident:
    (i) Date of accident,
    (ii) City or town in which or most near where the accident occurred 
and the State in which the accident occurred,
    (iii) Driver name,
    (iv) Number of injuries,
    (v) Number of fatalities, and
    (vi) Whether hazardous materials, other than fuel spilled from the 
fuel tanks of motor vehicles involved in the accident, were released.
    (2) Copies of all accident reports required by State or other 
governmental entities or insurers.

(Approved by the Office of Management and Budget under control number 
2125-0526)

[58 FR 6729, February 2, 1993, as amended at 60 FR 38744, July 28, 1995; 
60 FR 44441, Aug. 28, 1995]



Secs. 390.16-390.17  [Reserved]



Sec. 390.19  Additional equipment and accessories.

    Nothing in this subchapter shall be construed to prohibit the use of 
additional equipment and accessories, not inconsistent with or 
prohibited by this subchapter, provided such equipment and accessories 
do not decrease the safety of operation of the commercial motor vehicles 
on which they are used.

[53 FR 18052, May 19, 1988, as amended at 60 FR 38744, July 28, 1995]



Sec. 390.21  Marking of commercial motor vehicles.

    (a) General. Every self-propelled commercial motor vehicle operated 
in interstate commerce and subject to the rules of subchapter B of this 
chapter must be marked as specified in paragraphs (b), (c) and (d) of 
this section. Self-propelled commercial motor vehicles operated by for-
hire motor carriers under authority issued by the Interstate Commercial 
Commission (ICC) may meet the requirements of this section by complying 
with the marking requirements set forth in 49 CFR part 390, subpart D.
    (b) Nature of marking. The marking must display the following 
information:
    (1) The name or trade name of the motor carrier operating the self-
propelled commercial motor vehicle.

[[Page 866]]

    (2) The city or community and State (name abbreviated), in which the 
carrier maintains its principal place of business or in which the 
commercial motor vehicle is customarily based.
    (3) The motor carrier identification number, if issued by the FHWA, 
preceded by the letters ``USDOT''.
    (4) If the name of any person other than the operating carrier 
appears on the commercial motor vehicle operated under its own power, 
either alone or in combination, the name of the operating carrier shall 
be followed by the information required by paragraphs (b)(1), (2), and 
(3) of this section, and be preceded by the words ``operated by.''
    (5) Other identifying information may be displayed on the commercial 
motor vehicle if it is not inconsistent with the information required by 
this paragraph.
    (c) Size, shape, location, and color of marking. The marking must--
    (1) Appear on both sides of the self-propelled commercial motor 
vehicle;
    (2) Be in letters that contrast sharply in color with the background 
on which the letters are placed;
    (3) Be readily legible, during daylight hours, from a distance of 50 
feet while the commercial motor vehicle is stationary; and
    (4) Be kept and maintained in a manner that retains the legibility 
required by paragraph (c)(3) of this section.
    (d) Construction and durability. The marking may be painted on the 
commercial motor vehicle or may consist of a removable device, if that 
device meets the identification and legibility requirements of this 
section, and such marking shall be maintained in such a manner as to 
remain legible as required by this section.
    (e) Rented commercial motor vehicles. A motor carrier operating a 
self-propelled commercial motor vehicle under a rental agreement having 
a term not in excess of 30 calendar days may meet the requirements of 
this section in either one of two ways:
    (1) The commercial motor vehicle is marked in accordance with the 
provisions of paragraphs (b) through (d) of this section; or
    (2) The commercial motor vehicle is marked as set forth below:
    (i) The name or trade name of the lessor is displayed in accordance 
with paragraphs (c) and (d) of this section;
    (ii) The city or community and State (name abbreviated), in which 
the lessor maintians its principal place of business or in which the 
commercial motor vehicle is customarily based is displayed in accordance 
with paragraphs (c) and (d) of this section;
    (iii) The lessor's identification number, issued by the FHWA, 
preceded by the letters ``USDOT'' is displayed in accordance with 
paragraphs (c) and (d) of this section; and
    (iv) The rental agreement entered into by the lessor and the renting 
motor carrier conspicuously contains the following information:
    (A) The name and complete physical address of the principal place of 
business of the renting motor carrier;
    (B) The identification number issued the renting motor carrier by 
the Federal Highway Administration, preceded by the letters ``USDOT,'' 
if the motor carrier has been issued such a number. In lieu of the 
identification number required in this paragraph, the following may be 
shown:
    (1) Information which will indicate if the motor carrier is engaged 
in ``interstate'' or ``intrastate'' commerce; and
    (2) Information which will indicate if the renting motor carrier is 
transporting hazardous materials in the rented commercial motor vehicle;
    (C) The sentence: ``This lessor cooperates with all federal, state, 
and local law enforcement officials nationwide to provide the identity 
of customers who operate this rental commercial motor vehicle;'' and
    (v) The rental agreement entered into by the lessor and the renting 
motor carrier is carried on the rental commercial motor vehicle during 
the full term of the rental agreement.

[53 FR 18052, May 19, 1988; 53 FR 27689, July 22, 1988, as amended at 53 
FR 47543, Nov. 23, 1988; 55 FR 6993, Feb. 28, 1990; 57 FR 3142, Jan. 28, 
1992; 60 FR 38744, July 28, 1995; 62 FR 49942, Sept. 24, 1997]



Sec. 390.23  Relief from regulations.

    (a) Parts 390 through 399 of this chapter shall not apply to any 
motor carrier or driver operating a commercial

[[Page 867]]

motor vehicle to provide emergency relief during an emergency, subject 
to the following time limits:
    (1) Regional emergencies. (i) The exemption provided by paragraph 
(a)(1) of this section is effective only when:
    (A) An emergency has been declared by the President of the United 
States, the Governor of a State, or their authorized representatives 
having authority to declare emergencies; or
    (B) The Regional Director of Motor Carriers has declared that a 
regional emergency exists which justifies an exemption from parts 390 
through 399 of this chapter.
    (ii) Except as provided in Sec. 390.25, this exemption shall not 
exceed the duration of the motor carrier's or driver's direct assistance 
in providing emergency relief, or 30 days from the date of the initial 
declaration of the emergency or the exemption from the regulations by 
the Regional Director of Motor Carriers, whichever is less.
    (2) Local emergencies. (i) The exemption provided by paragraph 
(a)(2) of this section is effective only when:
    (A) An emergency has been declared by a Federal, State or local 
government official having authority to declare an emergency; or
    (B) The Regional Director of Motor Carriers has declared that a 
local emergency exists which justifies an exemption from parts 390 
through 399 of this chapter.
    (ii) This exemption shall not exceed the duration of the motor 
carrier's or driver's direct assistance in providing emergency relief, 
or 5 days from the date of the initial declaration of the emergency or 
the exemption from the regulations by the Regional Director of Motor 
Carriers, whichever is less.
    (3) Tow trucks responding to emergencies. (i) The exemption provided 
by paragraph (a)(3) of this section is effective only when a request has 
been made by a Federal, State or local police officer for tow trucks to 
move wrecked or disabled motor vehicles.
    (ii) This exemption shall not exceed the length of the motor 
carrier's or driver's direct assistance in providing emergency relief, 
or 24 hours from the time of the initial request for assistance by the 
Federal, State or local police officer, whichever is less.
    (b) Upon termination of direct assistance to the regional or local 
emergency relief effort, the motor carrier or driver is subject to the 
requirements of parts 390 through 399 of this chapter, with the 
following exception: A driver may return empty to the motor carrier's 
terminal or the driver's normal work reporting location without 
complying with parts 390 through 399 of this chapter. However, a driver 
who informs the motor carrier that he or she needs immediate rest shall 
be permitted at least 8 consecutive hours off duty before the driver is 
required to return to such terminal or location. Having returned to the 
terminal or other location, the driver must be relieved of all duty and 
responsibilities. Direct assistance terminates when a driver or 
commercial motor vehicle is used in interstate commerce to transport 
cargo not destined for the emergency relief effort, or when the motor 
carrier dispatches such driver or commercial motor vehicle to another 
location to begin operations in commerce.
    (c) When the driver has been relieved of all duty and 
responsibilities upon termination of direct assistance to a regional or 
local emergency relief effort, no motor carrier shall permit or require 
any driver used by it to drive nor shall any such driver drive in 
commerce until:
    (1) The driver has met the requirements of Sec. 395.3(a) of this 
chapter; and
    (2) The driver has had at least 24 consecutive hours off-duty when:
    (A) The driver has been on duty for more than 60 hours in any 7 
consecutive days at the time the driver is relieved of all duty if the 
employing motor carrier does not operate every day in the week, or
    (B) The driver has been on duty for more than 70 hours in any 8 
consecutive days at the time the driver is relieved of all duty if the 
employing motor carrier operates every day in the week.

[57 FR 33647, July 30, 1992, as amended at 60 FR 38744, July 28, 1995]



Sec. 390.25  Extension of relief from regulations--emergencies.

    The Regional Director of Motor Carriers may extend the 30-day time 
period of the exemption contained in

[[Page 868]]

Sec. 390.23(a)(1), but not the 5-day time period contained in 
Sec. 390.23(a)(2) or the 24-hour period contained in Sec. 390.23(a)(3). 
Any motor carrier or driver seeking to extend the 30-day limit shall 
obtain approval from the Regional Director of Motor Carriers in the 
region in which the motor carrier's principal place of business is 
located before the expiration of the 30-day period. The motor carrier or 
driver shall give full details of the additional relief requested. The 
Regional Director of Motor Carriers shall determine if such relief is 
necessary taking into account both the severity of the ongoing emergency 
and the nature of the relief services to be provided by the carrier or 
driver. If the Regional Director of Motor Carriers approves an extension 
of the exemption, he or she shall establish a new time limit and place 
on the motor carrier or driver any other restrictions deemed necessary.

[57 FR 33647, July 30, 1992]

[[Page 869]]

Sec. 390.27
390.27  Locations of regional offices of motor carriers.

----------------------------------------------------------------------------------------------------------------
     Region No.                    Territory included                        Location of regional office
----------------------------------------------------------------------------------------------------------------
1...................  Connecticut, Maine, Massachusetts, New        Leo W. O'Brien Federal Office Building,
                       Jersey, New Hampshire, New York, Rhode        Clinton & Pearl Streets, Room 737, Albany,
                       Island, Vermont, Puerto Rico, and the         NY 12207-2334.
                       Virgin Islands. That part of Canada east of
                       Highways 19 and 8 from Port Burwell to
                       Goderich, thence a straight line running
                       north through Tobermory and Sudbury, and
                       thence due north to the Canadian border.
3...................  Delaware, District of Columbia, Maryland,     City Crescent Building, #10 South Howard
                       Pennsylvania, Virginia, and West Virginia.    Street, Suite 4000, Baltimore, MD 21201-
                                                                     2819.
4...................  Alabama, Florida, Georgia, Kentucky,          1720 Peachtree Road, NW., Suite 200,
                       Mississippi, North Carolina, South            Atlanta, GA 30367-2349.
                       Carolina, and Tennessee.
5...................  Illinois, Indiana, Michigan, Minnesota,       19900 Governors Drive, Suite 210, Olympia
                       Ohio, and Wisconsin. That part of Canada      Fields, IL 60461-1021.
                       west of Highways 19 and 8 from Port Burwell
                       to Goderich, thence a straight line running
                       north through Tobermory and Sudbury, and
                       thence due north to the Canadian border,
                       and east of the boundary between the
                       Provinces of Ontario and Manitoba to Hudson
                       Bay and thence a straight line north to the
                       Canadian border.
6...................  Arkansas, Louisiana, New Mexico, Oklahoma,    Room 8A00, Federal Building, 819 Taylor
                       and Texas. All of Mexico, except the States   Street, P.O. Box 902003, Fort Worth, TX
                       of Baja California and Sonora and the         76102.
                       Territory of Baja California Sur., Mexico.
                       All nations south of Mexico.
7...................  Iowa, Kansas, Missouri, and Nebraska........  6301 Rockhill Road, P.O. Box 419715, Kansas
                                                                     City, MO 64141-6715.
8...................  Colorado, Montana, North Dakota, South        555 Zang Street, room 190, Lakewood, CO
                       Dakota, Utah, Wyoming. That part of Canada    80228-1014.
                       west of the boundary between the Provinces
                       of Ontario and Manitoba to Hudson Bay and
                       thence a straight line due north to the
                       Canadian border, and east of Highway 95
                       from Kingsgate to Blaeberry and thence a
                       straight line due north to the Canadian
                       border.
9...................  Arizona, California, Hawaii, Nevada, Guam,    201 Mission Street, Suite 2100, San
                       American Samoa, and Mariana Islands. The      Francisco, CA 94105.
                       States of Baja California and Sonora,
                       Mexico, and the Territory of Baja
                       California Sur., Mexico.
10..................  Alaska, Idaho, Oregon and Washington. That    KOIN Center, suite 600, 222 SW Columbia
                       part of Canada west of Highway 95 from        Street, Portland, OR 97201-2491.
                       Kingsgate to Blaeberry and thence a
                       straight line due north to the Canadian
                       border, and all the Province of British
                       Columbia.
----------------------------------------------------------------------------------------------------------------


[61 FR 9566, Mar. 8, 1996]
 


[[Page 870]]



Sec. 390.29  Location of records or documents.

    (a) A motor carrier with multiple offices or terminals may maintain 
the records and documents required by this subchapter at its principal 
place of business, a regional office, or driver work-reporting location 
unless otherwise specified in this subchapter.
    (b) All records and documents required by this subchapter which are 
maintained at a regional office or driver work-reporting location shall 
be made available for inspection upon request by a special agent or 
authorized representative of the Federal Highway Administration at the 
motor carrier's principal place of business or other location specified 
by the agent or representative within 48 hours after a request is made. 
Saturdays, Sundays, and Federal holidays are excluded from the 
computation of the 48-hour period of time.

[63 FR 33276, June 18, 1998]



Sec. 390.31  Copies of records or documents.

    (a) All records and documents required to be maintained under this 
subchapter must be preserved in their original form for the periods 
specified, unless the records and documents are suitably photographed 
and the microfilm is retained in lieu of the original record for the 
required retention period.
    (b) To be acceptable in lieu of original records, photographic 
copies of records must meet the following minimum requirements:
    (1) Photographic copies shall be no less readily accessible than the 
original record or document as normally filed or preserved would be and 
suitable means or facilities shall be available to locate, identify, 
read, and reproduce such photographic copies.
    (2) Any significant characteristic, feature or other attribute of 
the original record or document, which photography in black and white 
will not preserve, shall be clearly indicated before the photograph is 
made.
    (3) The reverse side of printed forms need not be copied if nothing 
has been added to the printed matter common to all such forms, but an 
identified specimen of each form shall be on the film for reference.
    (4) Film used for photographing copies shall be of permanent record-
type meeting in all respects the minimum specifications of the National 
Bureau of Standards, and all processes recommended by the manufacturer 
shall be observed to protect it from deterioration or accidental 
destruction.
    (5) Each roll of film shall include a microfilm of a certificate or 
certificates stating that the photographs are direct or facsimile 
reproductions of the original records. Such certificate(s) shall be 
executed by a person or persons having personal knowledge of the 
material covered thereby.
    (c) All records and documents required to be maintained under this 
subchapter may be destroyed after they have been suitably photographed 
for preservation.
    (d) Exception. All records except those requiring a signature may be 
maintained through the use of computer technology provided the motor 
carrier can produce, upon demand, a computer printout of the required 
data.



Sec. 390.33  Commercial motor vehicles used for purposes other than defined.

    Whenever a commercial motor vehicle of one type is used to perform 
the functions normally performed by a commercial motor vehicle of 
another type, the requirements of this subchapter and part 325 of 
subchapter A shall apply to the commercial motor vehicle and to its 
operation in the same manner as though the commercial motor vehicle were 
actually a commercial motor vehicle of the latter type. Example: If a 
commercial motor vehicle other than a bus is used to perform the 
functions normally performed by a bus, the regulations pertaining to 
buses and to the transportation of passengers shall apply to that 
commercial motor vehicle.

[53 FR 18052, May 19, 1988, as amended at 60 FR 38744, July 28, 1995]

[[Page 871]]



Sec. 390.35  Certificates, reports, and records: Falsification, reproduction, or alteration.

    No motor carrier, its agents, officers, representatives, or 
employees shall make or cause to make--
    (a) A fraudulent or intentionally false statement on any 
application, certificate, report, or record required by part 325 of 
subchapter A or this subchapter;
    (b) A fraudulent or intentionally false entry on any application, 
certificate, report, or record required to be used, completed, or 
retained, to comply with any requirement of this subchapter or part 325 
of subchapter A; or
    (c) A reproduction, for fraudulent purposes, of any application, 
certificate, report, or record required by this subchapter or part 325 
of subchapter A.



Sec. 390.37  Violation and penalty.

    Any person who violates the rules set forth in this subchapter or 
part 325 of subchapter A may be subject to civil or criminal penalties.

Subpart C  [Reserved]



                  Subpart D--Identification of Vehicles

    Authority: 49 U.S.C. 10922, 10530, and 11106; 5 U.S.C. 553.

    Source: 55 FR 11199, Mar. 27, 1990, unless otherwise noted. 
Redesignated at 61 FR 54710, Oct. 21, 1996.



Sec. 390.401  Applicability.

    These rules govern all for-hire motor carriers except those 
providing:
    (a) Joint, through, regular-route passenger service under continuing 
lease or interchange arrangements, if the vehicle owner's name and 
``MC'' number are displayed as prescribed at Sec. 390.403, and if the 
carriers have filed with the Commission's appropriate Regional 
Director(s) and posted in each terminal and ticket agency on the 
involved routes a published schedule showing the points between which 
each joint carrier assumes control and responsibility for the vehicle's 
operation; and
    (b) Nonscheduled, charter, luxury-type passenger service using 
limousine-type vehicles with a capacity of six or fewer passengers.

[55 FR 11199, Mar. 27, 1990. Redesignated at 61 FR 54710, Oct. 21, 1996; 
62 FR 49942, Sept. 24, 1997]



Sec. 390.403  Method of identification.

    Each vehicle operated under its own power shall display on both 
sides the name (or trade name) and ``MC'' number(s) of the carrier under 
whose authority the vehicle is being operated. The ``MC'' number(s) 
shall be in the following form: ``I.C.C. MC-____________'' but shall not 
include any sub numbers. The name of any other person operating the 
vehicle shall appear on the vehicle following the words ``operated by'' 
in addition to the other information required by this section. 
Additional identification may be displayed if consistent with these 
rules.



Sec. 390.405  Size, shape, and color.

    The name(s) and number(s) prescribed above shall be displayed, by 
removable device if desired, in letters and figures in sharp color 
contrast to their background, and they shall be of a size, shape, and 
color readily legible in daylight from a distance of 50 feet while the 
vehicle is stationary.



Sec. 390.407  Driveaway service.

    In driveaway service, a removable device may be affixed on both 
sides or at the rear of the single driven vehicle. In a combination 
driveaway operation, the device may be affixed on both sides of any one 
unit or at the rear of the last unit.



PART 391--QUALIFICATIONS OF DRIVERS--Table of Contents




                           Subpart A--General

Sec.
391.1  Scope of the rules in this part; additional qualifications; 
          duties of carrier-drivers.
391.2  General exemptions.

        Subpart B--Qualification and Disqualification of Drivers

391.11  General qualifications of drivers.
391.13  Responsibilities of drivers.
391.15  Disqualification of drivers.

[[Page 872]]

                   Subpart C--Background and Character

391.21  Application for employment.
391.23  Investigation and inquiries.
391.25  Annual inquiry and review of driving record.
391.27  Record of violations.

                            Subpart D--Tests

391.31  Road test.
391.33  Equivalent of road test.

           Subpart E--Physical Qualifications and Examinations

391.41  Physical qualifications for drivers.
391.43  Medical examination; certificate of physical examination.
391.45  Persons who must be medically examined and certified.
391.47  Resolution of conflicts of medical evaluation.
391.49  Waiver of certain physical defects.

                      Subpart F--Files and Records

391.51  General requirements for driver qualification files.

                      Subpart G--Limited Exemptions

391.61  Drivers who were regularly employed before January 1, 1971.
391.62  Limited exemptions for intra-city zone drivers.
391.63  Multiple-employer drivers.
391.64  Grandfathering for certain drivers participating in vision and 
          diabetes waiver study programs.
391.65  Drivers furnished by other motor carriers.
391.67  Farm vehicle drivers of articulated commercial motor vehicles.
391.68  Private motor carrier of passengers (nonbusiness).
391.69  Private motor carrier of passengers (business).
391.71  [Reserved]

    Authority: 49 U.S.C. 504, 31133, 31136, and 31502; and 49 CFR 1.48.

    Source: 35 FR 6460, Apr. 22, 1970, unless otherwise noted.



                           Subpart A--General



Sec. 391.1  Scope of the rules in this part; additional qualifications; duties of carrier-drivers.

    (a) The rules in this part establish minimum qualifications for 
persons who drive commercial motor vehicles as, for, or on behalf of 
motor carriers. The rules in this part also establish minimum duties of 
motor carriers with respect to the qualifications of their drivers.
    (b) A motor carrier who employs himself/herself as a driver must 
comply with both the rules in this part that apply to motor carriers and 
the rules in this part that apply to drivers.

[35 FR 6460, Apr. 22, 1970, as amended at 53 FR 18057, May 19, 1988; 60 
FR 38744, July 28, 1995]



Sec. 391.2  General exemptions.

    (a) Farm custom operation. The rules in this part do not apply to a 
driver who drives a commercial motor vehicle controlled and operated by 
a person engaged in custom-harvesting operations, if the commercial 
motor vehicle is used to--
    (1) Transport farm machinery, supplies, or both, to or from a farm 
for custom-harvesting operations on a farm; or
    (2) Transport custom-harvested crops to storage or market.
    (b) Apiarian industries. The rules in this part do not apply to a 
driver who is operating a commercial motor vehicle controlled and 
operated by a beekeeper engaged in the seasonal transportation of bees.
    (c) Certain farm vehicle drivers. The rules in this part do not 
apply to a farm vehicle driver except a farm vehicle driver who drives 
an articulated (combination) commercial motor vehicle, as defined in 
Sec. 390.5. (For limited exemptions for farm vehicle drivers of 
articulated commercial motor vehicles, see Sec. 391.67.)

[36 FR 24219, Dec. 22, 1971, as amended at 37 FR 26112, Dec. 8, 1972; 54 
FR 12202, Mar. 24, 1989; 60 FR 38745, July 28, 1995; 61 FR 13346, Mar. 
26, 1996; 61 FR 17253, Apr. 19, 1996]



        Subpart B--Qualification and Disqualification of Drivers



Sec. 391.11  General qualifications of drivers.

    (a) A person shall not drive a commercial motor vehicle unless he/
she is qualified to drive a commercial motor vehicle. Except as provided 
in Sec. 391.63, a motor carrier shall not require or permit a person to 
drive a commercial motor vehicle unless that person is

[[Page 873]]

qualified to drive a commercial motor vehicle.
    (b) Except as provided in subpart G of this part, a person is 
qualified to drive a motor vehicle if he/she--
    (1) Is at least 21 years old;
    (2) Can read and speak the English language sufficiently to converse 
with the general public, to understand highway traffic signs and signals 
in the English language, to respond to official inquiries, and to make 
entries on reports and records;
    (3) Can, by reason of experience, training, or both, safely operate 
the type of commercial motor vehicle he/she drives;
    (4) Is physically qualified to drive a commercial motor vehicle in 
accordance with subpart E--Physical Qualifications and Examinations of 
this part;
    (5) Has a currently valid commercial motor vehicle operator's 
license issued only by one State or jurisdiction;
    (6) Has prepared and furnished the motor carrier that employs him/
her with the list of violations or the certificate as required by 
Sec. 391.27;
    (7) Is not disqualified to drive a commercial motor vehicle under 
the rules in Sec. 391.15; and
    (8) Has successfully completed a driver's road test and has been 
issued a certificate of driver's road test in accordance with 
Sec. 391.31, or has presented an operator's license or a certificate of 
road test which the motor carrier that employs him/her has accepted as 
equivalent to a road test in accordance with Sec. 391.33.

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970; 35 
FR 19181, Dec. 18, 1970; 36 FR 222, Jan. 7, 1971, 36 FR 24220, Dec. 22, 
1971; 45 FR 46424, July 10, 1980; 52 FR 20589, June 1, 1987; 59 FR 
60323, Nov. 23, 1994; 60 FR 38744, 38745, July 28, 1995; 63 FR 33276, 
June 18, 1998]



Sec. 391.13  Responsibilities of drivers.

    In order to comply with the requirements of Sec. 392.9(a) and 
Sec. 393.9 of this subchapter, a motor carrier shall not require or 
permit a person to drive a commercial motor vehicle unless the person--
    (a) Can, by reason of experience, training, or both, determine 
whether the cargo he/she transports (including baggage in a passenger-
carrying commercial motor vehicle) has been properly located, 
distributed, and secured in or on the commercial motor vehicle he/she 
drives;
    (b) Is familiar with methods and procedures for securing cargo in or 
on the commercial motor vehicle he/she drives.

[63 FR 33277, June 18, 1998]



Sec. 391.15  Disqualification of drivers.

    (a) General. A driver who is disqualified shall not drive a 
commercial motor vehicle. A motor carrier shall not require or permit a 
driver who is disqualified to drive a commercial motor vehicle.
    (b) Disqualification for loss of driving privileges. (1) A driver is 
disqualified for the duration of the driver's loss of his/her privilege 
to operate a commercial motor vehicle on public highways, either 
temporarily or permanently, by reason of the revocation, suspension, 
withdrawal, or denial of an operator's license, permit, or privilege, 
until that operator's license, permit, or privilege is restored by the 
authority that revoked, suspended, withdrew, or denied it.
    (2) A driver who receives a notice that his/her license, permit, or 
privilege to operate a commercial motor vehicle has been revoked, 
suspended, or withdrawn shall notify the motor carrier that employs him/
her of the contents of the notice before the end of the business day 
following the day the driver received it.
    (c) Disqualification for criminal and other offenses-- (1) General 
rule. A driver who is convicted of (or forfeits bond or collateral upon 
a charge of) a disqualifying offense specified in paragraph (c)(2) of 
this section is disqualified for the period of time specified in 
paragraph (c)(3) of this section, if--
    (i) The offense was committed during on-duty time as defined in 
Sec. 395.2(a) of this subchapter or as otherwise specified; and
    (ii) The driver is employed by a motor carrier or is engaged in 
activities that are in furtherance of a commercial enterprise in 
interstate, intrastate, or foreign commerce;

[[Page 874]]

    (2) Disqualifying offenses. The following offenses are disqualifying 
offenses:
    (i) Driving a commercial motor vehicle while under the influence of 
alcohol. This shall include:
    (A) Driving a commercial motor vehicle while the person's alcohol 
concentration is 0.04 percent or more;
    (B) Driving under the influence of alcohol, as prescribed by State 
law; or
    (C) Refusal to undergo such testing as is required by any State or 
jurisdiction in the enforcement of Sec. 391.15(c)(2)(i) (A) or (B), or 
Sec. 392.5(a)(2).
    (ii) Driving a commercial motor vehicle under the influence of a 21 
CFR 1308.11 Schedule I identified controlled substance, an amphetamine, 
a narcotic drug, a formulation of an amphetamine, or a derivative of a 
narcotic drug;
    (iii) Transportation, possession, or unlawful use of a 21 CFR 
1308.11 Schedule I identified controlled substance, amphetamines, 
narcotic drugs, formulations of an amphetamine, or derivatives of 
narcotic drugs while the driver is on duty, as the term on-duty time is 
defined in Sec. 395.2 of this subchapter;
    (iv) Leaving the scene of an accident while operating a commercial 
motor vehicle; or
    (v) A felony involving the use of a commercial motor vehicle.
    (3) Duration of disqualification--(i) First offenders. A driver is 
disqualified for 1 year after the date of conviction or forfeiture of 
bond or collateral if, during the 3 years preceding that date, the 
driver was not convicted of, or did not forfeit bond or collateral upon 
a charge of an offense that would disqualify the driver under the rules 
of this section. Exemption. The period of disqualification is 6 months 
if the conviction or forfeiture of bond or collateral soley concerned 
the transportation or possession of substances named in paragraph 
(c)(2)(iii) of this section.
    (ii) Subsequent offenders. A driver is disqualified for 3 years 
after the date of his/her conviction or forfeiture of bond or collateral 
if, during the 3 years preceding that date, he/she was convicted of, or 
forfeited bond or collateral upon a charge of, an offense that would 
disqualify him/her under the rules in this section.
    (d) Disqualification for violation of out-of-service orders--(1) 
General rule. A driver who is convicted of violating an out-of-service 
order is disqualified for the period of time specified in paragraph 
(d)(2) of this section.
    (2) Duration of disqualification for violation of out-of-service 
orders--(i) First violation. A driver is disqualified for not less than 
90 days nor more than one year if the driver is convicted of a first 
violation of an out-of-service order.
    (ii) Second violation. A driver is disqualified for not less than 
one year nor more than five years if, during any 10-year period, the 
driver is convicted of two violations of out-of-service orders in 
separate incidents.
    (iii) Third or subsequent violation. A driver is disqualified for 
not less than three years nor more than five years if, during any 10-
year period, the driver is convicted of three or more violations of out-
of-service orders in separate incidents.
    (iv) Special rule for hazardous materials and passenger offenses. A 
driver is disqualified for a period of not less than 180 days nor more 
than two years if the driver is convicted of a first violation of an 
out-of-service order while transporting hazardous materials required to 
be placarded under the Hazardous Materials Transportation Act (49 U.S.C. 
5101 et seq.), or while operating commercial motor vehicles designed to 
transport more than 15 passengers, including the driver. A driver is 
disqualified for a period of not less than three years nor more than 
five years if, during any 10-year period, the driver is convicted of any 
subsequent violations of out-of-service orders, in separate incidents, 
while transporting hazardous materials required to be placarded under 
the Hazardous Materials Transportation Act, or while operating 
commercial motor vehicles designed to transport more than 15 passengers, 
including the driver.

[37 FR 24902, Nov. 23, 1972, as amended at 49 FR 44215, Nov. 5, 1984; 51 
FR 8200, Mar. 10, 1986; 53 FR 18057, May 19, 1988; 53 FR 39051, Oct. 4, 
1988; 54 FR 40788, Oct. 3, 1989; 59 FR 26028, May 18, 1994; 60 FR 38744, 
38745, July 28, 1995; 62 FR 37152, July 11, 1997; 63 FR 33277, June 18, 
1998]

[[Page 875]]



                   Subpart C--Background and Character



Sec. 391.21  Application for employment.

    (a) Except as provided in subpart G of this part, a person shall not 
drive a commercial motor vehicle unless he/she has completed and 
furnished the motor carrier that employs him/her with an application for 
employment that meets the requirements of paragraph (b) of this section.
    (b) The application for employment shall be made on a form furnished 
by the motor carrier. Each application form must be completed by the 
applicant, must be signed by him/her, and must contain the following 
information:
    (1) The name and address of the employing motor carrier;
    (2) The applicant's name, address, date of birth, and social 
security number;
    (3) The addresses at which the applicant has resided during the 3 
years preceding the date on which the application is submitted;
    (4) The date on which the application is submitted;
    (5) The issuing State, number, and expiration date of each unexpired 
commercial motor vehicle operator's license or permit that has been 
issued to the applicant;
    (6) The nature and extent of the applicant's experience in the 
operation of motor vehicles, including the type of equipment (such as 
buses, trucks, truck tractors, semitrailers, full trailers, and pole 
trailers) which he/she has operated;
    (7) A list of all motor vehicle accidents in which the applicant was 
involved during the 3 years preceding the date the application is 
submitted, specifying the date and nature of each accident and any 
fatalities or personal injuries it caused;
    (8) A list of all violations of motor vehicle laws or ordinances 
(other than violations involving only parking) of which the applicant 
was convicted or forfeited bond or collateral during the 3 years 
preceding the date the application is submitted;
    (9) A statement setting forth in detail the facts and circumstances 
of any denial, revocation, or suspension of any license, permit, or 
privilege to operate a motor vehicle that has been issued to the 
applicant, or a statement that no such denial, revocation, or suspension 
has occurred;
    (10) A list of the names and addresses of the applicant's employers 
during the 3 years preceding the date the application is submitted, 
together with the dates he/she was employed by, and his/her reason for 
leaving the employ of, each employer;
    (11) For those drivers applying to operate a commercial motor 
vehicle as defined by Part 383 of this subchapter, a list of the names 
and addresses of the applicant's employers during the 7-year period 
preceding the 3 years contained in paragraph (b)(10) of this section for 
which the applicant was an operator of a commercial motor vehicle, 
together with the dates of employment and the reasons for leaving such 
employment; and
    (12) The following certification and signature line, which must 
appear at the end of the application form and be signed by the 
applicant:

    This certifies that this application was completed by me, and that 
all entries on it and information in it are true and complete to the 
best of my knowledge.
_______________________________________________________________________
                                                                  (Date)
_______________________________________________________________________
                                                 (Applicant's signature)

    (c) A motor carrier may require an applicant to provide information 
in addition to the information required by paragraph (b) of this section 
on the application form.
    (d) Before an application is submitted, the motor carrier shall 
inform the applicant that the information he/she provides in accordance 
with paragraph (b) (10) of this section may be used, and the applicant's 
prior employers may be contacted, for the purpose of investigating the 
applicant's background as required by Sec. 391.23.

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970; 52 
FR 20589, June 1, 1987; 60 FR 38744, July 28, 1995]



Sec. 391.23  Investigation and inquiries.

    (a) Except as provided in subpart G of this part, each motor carrier 
shall make the following investigations and inquiries with respect to 
each driver it

[[Page 876]]

employs, other than a person who has been a regularly employed driver of 
the motor carrier for a continuous period which began before January 1, 
1971:
    (1) An inquiry into the driver's driving record during the preceding 
3 years to the appropriate agency of every State in which the driver 
held a motor vehicle operator's license or permit during those 3 years; 
and
    (2) An investigation of the driver's employment record during the 
preceding 3 years.
    (b) The inquiry to State agencies required by paragraph (a)(1) of 
this section must be made within 30 days of the date the driver's 
employment begins and shall be made in the form and manner those 
agencies prescribe. A copy of the response by each State agency, showing 
the driver's driving record or certifying that no driving record exists 
for that driver, shall be retained in the carrier's files as part of the 
driver's qualification file.
    (c) The investigation of the driver's employment record required by 
paragraph (a)(2) of this section must be made within 30 days of the date 
his/her employment begins. The investigation may consist of personal 
interviews, telephone interviews, letters, or any other method of 
obtaining information that the carrier deems appropriate. Each motor 
carrier must make a written record with respect to each past employer 
who was contacted. The record must include the past employer's name and 
address, the date he/she was contacted, and his/her comments with 
respect to the driver. The record shall be retained in the motor 
carrier's files as part of the driver's qualification file.

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970]



Sec. 391.25  Annual inquiry and review of driving record.

    (a) Except as provided in subpart G of this part, each motor carrier 
shall, at least once every 12 months, make an inquiry into the driving 
record of each driver it employs, covering at least the preceding 12 
months, to the appropriate agency of every State in which the driver 
held a commercial motor vehicle operator's license or permit during the 
time period.
    (b) Except as provided in subpart G of this part, each motor carrier 
shall, at least once every 12 months, review the driving record of each 
driver it employs to determine whether that driver meets minimum 
requirements for safe driving or is disqualified to drive a commercial 
motor vehicle pursuant to Sec. 391.15.
    (1) The motor carrier must consider any evidence that the driver has 
violated any applicable Federal Motor Carrier Safety Regulations in this 
subchapter or Hazardous Materials Regulations (49 CFR chapter I, 
subchapter C).
    (2) The motor carrier must consider the driver's accident record and 
any evidence that the driver has violated laws governing the operation 
of motor vehicles, and must give great weight to violations, such as 
speeding, reckless driving, and operating while under the influence of 
alcohol or drugs, that indicate that the driver has exhibited a 
disregard for the safety of the public.
    (c) Recordkeeping. (1) A copy of the response from each State agency 
to the inquiry required by paragraph (a) of this section shall be 
maintained in the driver's qualification file.
    (2) A note, including the name of the person who performed the 
review of the driving record required by paragraph (b) of this section 
and the date of such review, shall be maintained in the driver's 
qualification file.

[63 FR 33277, June 18, 1998]



Sec. 391.27  Record of violations.

    (a) Except as provided in subpart G of this part, each motor carrier 
shall, at least once every 12 months, require each driver it employs to 
prepare and furnish it with a list of all violations of motor vehicle 
traffic laws and ordinances (other than violations involving only 
parking) of which the driver has been convicted or on account of which 
he/she has forfeited bond or collateral during the preceding 12 months.
    (b) Each driver shall furnish the list required in accordance with 
paragraph (a) of this section. If the driver has not been convicted of, 
or forfeited bond or collateral on account of, any violation which must 
be listed, he/she shall so certify.

[[Page 877]]

    (c) The form of the driver's list or certification shall be 
prescribed by the motor carrier. The following form may be used to 
comply with this section:

                         Driver's Certification

    I certify that the following is a true and complete list of traffic 
violations (other than parking violations) for which I have been 
convicted or forfeited bond or collateral during the past 12 months.

Date of conviction    Offense
Location    Type of motor vehicle operated

    If no violations are listed above, I certify that I have not been 
convicted or forfeited bond or collateral on account of any violation 
required to be listed during the past 12 months.

(Date of certification) (Driver's signature)

                         (Motor carrier's name)

                        (Motor carrier's address)

(Reviewed by: Signature) (Title)

    (d) The motor carrier shall retain the list or certificate required 
by this section, or a copy of it, in its files as part of the driver's 
qualification file.
    (e) Drivers who have provided information required by Sec. 383.31 of 
this subchapter need not repeat that information in the annual list of 
violations required by this section.

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970; 52 
FR 20589, June 1, 1987; 60 FR 38745, July 28, 1995]



                            Subpart D--Tests



Sec. 391.31  Road test.

    (a) Except as provided in subpart G, a person shall not drive a 
commercial motor vehicle unless he/she has first successfully completed 
a road test and has been issued a certificate of driver's road test in 
accordance with this section.
    (b) The road test shall be given by the motor carrier or a person 
designated by it. However, a driver who is a motor carrier must be given 
the test by a person other than himself/herself. The test shall be given 
by a person who is competent to evaluate and determine whether the 
person who takes the test has demonstrated that he/she is capable of 
operating the commercial motor vehicle, and associated equipment, that 
the motor carrier intends to assign him/her.
    (c) The road test must be of sufficient duration to enable the 
person who gives it to evaluate the skill of the person who takes it at 
handling the commercial motor vehicle, and associated equipment, that 
the motor carriers intends to assign to him/her. As a minimum, the 
person who takes the test must be tested, while operating the type of 
commercial motor vehicle the motor carrier intends to assign him/her, on 
his/her skill at performing each of the following operations:
    (1) The pretrip inspection required by Sec. 392.7 of this 
subchapter;
    (2) Coupling and uncoupling of combination units, if the equipment 
he/she may drive includes combination units;
    (3) Placing the commercial motor vehicle in operation;
    (4) Use of the commercial motor vehicle's controls and emergency 
equipment;
    (5) Operating the commercial motor vehicle in traffic and while 
passing other motor vehicles;
    (6) Turning the commercial motor vehicle;
    (7) Braking, and slowing the commercial motor vehicle by means other 
than braking; and
    (8) Backing and parking the commercial motor vehicle.
    (d) The motor carrier shall provide a road test form on which the 
person who gives the test shall rate the performance of the person who 
takes it at each operation or activity which is a part of the test. 
After he/she completes the form, the person who gave the test shall sign 
it.
    (e) If the road test is successfully completed, the person who gave 
it shall complete a certificate of driver's road test in substantially 
the form prescribed in paragraph (f) of this section.
    (f) The form for the certificate of driver's road test is 
substantially as follows:

                       Certification of Road Test

Driver's name___________________________________________________________
Social Security No______________________________________________________
Operator's or Chauffeur's License No____________________________________
State___________________________________________________________________
Type of power unit ____________ Type of trailer(s)______________________
If passenger carrier, type of bus ______________________________________

[[Page 878]]

    This is to certify that the above-named driver was given a road test 
under my supervision on ____________, 19____, consisting of 
approximately ______ miles of driving.
    It is my considered opinion that this driver possesses sufficient 
driving skill to operate safely the type of commercial motor vehicle 
listed above.

                                                 (Signature of examiner)

                                                                 (Title)

                                  (Organization and address of examiner)

    (g) A copy of the certificate required by paragraph (e) of this 
section shall be given to the person who was examined. The motor carrier 
shall retain in the driver qualification file of the person who was 
examined--
    (1) The original of the signed road test form required by paragraph 
(d) of this section; and
    (2) The original, or a copy of, the certificate required by 
paragraph (e) of this section.

[35 FR 6460, Apr. 22, 1970, as amended at 36 FR 223, Jan. 7, 1971; 59 FR 
8752, Feb. 23, 1994; 60 FR 38744, July 28, 1995]



Sec. 391.33  Equivalent of road test.

    (a) In place of, and as equivalent to, the road test required by 
Sec. 391.31, a person who seeks to drive a commercial motor vehicle may 
present, and a motor carrier may accept--
    (1) A valid Commercial Driver's License as defined in Sec. 383.5 of 
this subchapter, but not including double/triple trailer or tank vehicle 
endorsements, which has been issued to him/her to operate specific 
categories of commercial motor vehicles and which, under the laws of 
that State, licenses him/her after successful completion of a road test 
in a commercial motor vehicle of the type the motor carrier intends to 
assign to him/her; or
    (2) A copy of a valid certificate of driver's road test issued to 
him/her pursuant to Sec. 391.31 within the preceding 3 years.
    (b) If a driver presents, and a motor carrier accepts, a license or 
certificate as equivalent to the road test, the motor carrier shall 
retain a legible copy of the license or certificate in its files as part 
of the driver's qualification file.
    (c) A motor carrier may require any person who presents a license or 
certificate as equivalent to the road test to take a road test or any 
other test of his/her driving skill as a condition to his/her employment 
as a driver.

[35 FR 6460, Apr. 22, 1970, as amended at 60 FR 38744, July 28, 1995; 63 
FR 33277, June 18, 1998]



           Subpart E--Physical Qualifications and Examinations



Sec. 391.41  Physical qualifications for drivers.

    (a) A person shall not drive a commercial motor vehicle unless he/
she is physically qualified to do so and, except as provided in 
Sec. 391.67, has on his/her person the original, or a photographic copy, 
of a medical examiner's certificate that he/she is physically qualified 
to drive a commercial motor vehicle.
    (b) A person is physically qualified to drive a commercial motor 
vehicle if that person--
    (1) Has no loss of a foot, a leg, a hand, or an arm, or has been 
granted a waiver pursuant to Sec. 391.49;
    (2) Has no impairment of:
    (i) A hand or finger which interferes with prehension or power 
grasping; or
    (ii) An arm, foot, or leg which interferes with the ability to 
perform normal tasks associated with operating a commercial motor 
vehicle; or any other significant limb defect or limitation which 
interferes with the ability to perform normal tasks associated with 
operating a commercial motor vehicle; or has been granted a waiver 
pursuant to Sec. 391.49.
    (3) Has no established medical history or clinical diagnosis of 
diabetes mellitus currently requiring insulin for control;
    (4) Has no current clinical diagnosis of myocardial infarction, 
angina pectoris, coronary insufficiency, thrombosis, or any other 
cardiovascular disease of a variety known to be accompanied by syncope, 
dyspnea, collapse, or congestive cardiac failure.
    (5) Has no established medical history or clinical diagnosis of a 
respiratory dysfunction likely to interfere with his/her ability to 
control and

[[Page 879]]

drive a commercial motor vehicle safely;
    (6) Has no current clinical diagnosis of high blood pressure likely 
to interfere with his/her ability to operate a commercial motor vehicle 
safely;
    (7) Has no established medical history or clinical diagnosis of 
rheumatic, arthritic, orthopedic, muscular, neuromuscular, or vascular 
disease which interferes with his/her ability to control and operate a 
commercial motor vehicle safely;
    (8) Has no established medical history or clinical diagnosis of 
epilepsy or any other condition which is likely to cause loss of 
consciousness or any loss of ability to control a commercial motor 
vehicle;
    (9) Has no mental, nervous, organic, or functional disease or 
psychiatric disorder likely to interfere with his/her ability to drive a 
commercial motor vehicle safely;
    (10) Has distant visual acuity of at least 20/40 (Snellen) in each 
eye without corrective lenses or visual acuity separately corrected to 
20/40 (Snellen) or better with corrective lenses, distant binocular 
acuity of at least 20/40 (Snellen) in both eyes with or without 
corrective lenses, field of vision of at least 70 deg. in the horizontal 
Meridian in each eye, and the ability to recognize the colors of traffic 
signals and devices showing standard red, green, and amber;
    (11) First perceives a forced whispered voice in the better ear at 
not less than 5 feet with or without the use of a hearing aid or, if 
tested by use of an audiometric device, does not have an average hearing 
loss in the better ear greater than 40 decibels at 500 Hz, 1,000 Hz, and 
2,000 Hz with or without a hearing aid when the audiometric device is 
calibrated to American National Standard (formerly ASA Standard) Z24.5--
1951.
    (12)(i) Does not use a controlled substance identified in 21 CFR 
1308.11 Schedule I, an amphetamine, a narcotic, or any other habit-
forming drug.
    (ii) Exception. A driver may use such a substance or drug, if the 
substance or drug is prescribed by a licensed medical practitioner who:
    (A) Is familiar with the driver's medical history and assigned 
duties; and
    (B) Has advised the driver that the prescribed substance or drug 
will not adversely affect the driver's ability to safely operate a 
commercial motor vehicle; and
    (13) Has no current clinical diagnosis of alcoholism.

[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 17420, Nov. 13, 1970; 36 
FR 223, Jan. 7, 1971; 36 FR 12857, July 8, 1971; 43 FR 56900, Dec. 5, 
1978; 55 FR 3554, Feb. 1, 1990; 60 FR 38744, July 28, 1995; 62 FR 37152, 
July 11, 1997]



Sec. 391.43  Medical examination; certificate of physical examination.

    (a) Except as provided by paragraph (b) of this section, the medical 
examination shall be performed by a licensed medical examiner as defined 
in Sec. 390.5 of this subchapter.
    (b) A licensed optometrist may perform so much of the medical 
examination as pertains to visual acuity, field of vision, and the 
ability to recognize colors as specified in paragraph (10) of 
Sec. 391.41(b).
    (c) Medical examiners shall:
    (1) Be knowledgeable of the specific physical and mental demands 
associated with operating a commercial motor vehicle and the 
requirements of this subpart, including the medical regulatory criteria 
prepared by the FHWA as guidelines to aid the medical examiner in making 
the qualification determination; and
    (2) Be proficient in the use of and use the medical protocols 
necessary to adequately perform the medical examination required by this 
section.
    (d) Any driver authorized to operate a commercial motor vehicle 
within an exempt intracity zone pursuant to Sec. 391.2(d) shall furnish 
the examining medical examiner with a copy of the medical findings that 
led to the issuance of the first certificate of medical examination 
which allowed the driver to operate a commercial motor vehicle wholly 
within an exempt intracity zone.
    (e) Any driver operating under a limited exemption authorized by 
Sec. 391.64 shall furnish the medical examiner with a copy of the annual 
medical findings of the endocrinologist, ophthalmologist or optometrist, 
as required under that section. If the medical examiner finds the driver 
qualified under

[[Page 880]]

the limited exemption in Sec. 391.64, such fact shall be noted on the 
Medical Examiner's Certificate.
    (f) The medical examination shall be performed, and its results 
shall be recorded, substantially in accordance with the following 
instructions and examination form. Existing forms may be used until 
current printed supplies are depleted or until March 31, 1997.

     Instructions for Performing and Recording Physical Examinations

    The examining medical examiner should review these instructions 
before performing the physical examination. Answer each question yes or 
no where appropriate.
    The examining medical examiner should be aware of the rigorous 
physical demands and mental and emotional responsibilities placed on the 
driver of a commercial motor vehicle. In the interest of public safety 
the examining medical examiner is required to certify that the driver 
does not have any physical, mental, or organic defect of such a nature 
as to affect the driver's ability to operate safely a commercial motor 
vehicle.
    General information. The purpose of this history and physical 
examination is to detect the presence of physical, mental, or organic 
defects of such a character and extent as to affect the applicant's 
ability to operate a commercial motor vehicle safely. The examination 
should be made carefully and at least as complete as indicated by the 
attached form. History of certain defects may be cause for rejection or 
indicate the need for making certain laboratory tests or a further, and 
more stringent, examination. Defects may be recorded which do not, 
because of their character or degree, indicate that certification of 
physical fitness should be denied. However, these defects should be 
discussed with the applicant and he/she should be advised to take the 
necessary steps to insure correction, particularly of those which, if 
neglected, might lead to a condition likely to affect his/her ability to 
drive safely.
    General appearance and development. Note marked overweight. Note any 
posture defect, perceptible limp, tremor, or other defects that might be 
caused by alcoholism, thyroid intoxication, or other illnesses. The 
Federal Motor Carrier Safety Regulations provide that no driver shall 
use a narcotic or other habit-forming drugs.
    Head-eyes. When other than the Snellen chart is used, the results of 
such test must be expressed in values comparable to the standard Snellen 
test. If the applicant wears corrective lenses, these should be worn 
while applicant's visual acuity is being tested. If appropriate, 
indicate on the Medical Examiner's Certificate by checking the box, 
``Qualified only when wearing corrective lenses.'' In recording distance 
vision use 20 feet as normal. Report all vision as a fraction with 20 as 
numerator and the smallest type read at 20 feet as denominator. Note 
ptosis, discharge, visual fields, ocular muscle imbalance, color 
blindness, corneal scar, exophtalmos, or strabismus, uncorrected by 
corrective lenses. Monocular drivers are not qualified to operate 
commercial motor vehicles under existing Federal Motor Carrier Safety 
Regulations. If the driver habitually wears contact lenses, or intends 
to do so while driving, there should be sufficient evidence to indicate 
that he/she has good tolerance is well adapted to their use. The use of 
contact lenses should be noted on the record.
    Ears. Note evidence of mastoid or middle ear disease, discharge, 
symptoms of aural vertigo, or Meniere's Syndrome. When recording 
hearing, record distance from patient at which a forced whispered voice 
can first be heard. If audiometer is used to test hearing, record 
decibel loss at 500 Hz, 1,000 Hz, and 2,000 Hz.
    Throat. Note evidence of disease, irremediable deformities of the 
throat likely to interfere with eating or breathing, or any laryngeal 
condition which could interfere with the safe operation of a commercial 
motor vehicle.
    Thorax-heart. Stethoscopic examination is required. Note murmurs and 
arrhythmias, and any past or present history of cardiovascular disease, 
of a variety known to be accompanied by syncope, dyspnea, collapse, 
enlarged heart, or congestive heart failures. Electrocardiogram is 
required when findings so indicate.
    Blood pressure. Record with either spring or mercury column type of 
sphygomomanometer. If the blood pressure is consistently above 160/90 
mm. Hg., further tests may be necessary to determine whether the driver 
is qualified to operate a commercial motor vehicle.
    Lungs. If any lung disease is detected, state whether active or 
arrested; if arrested, your opinion as to how long it has been 
quiescent.
    Gastrointestinal system. Note any diseases of the gastrointestinal 
system.
    Abdomen. Note wounds, injuries, scars, or weakness of muscles of 
abdominal walls sufficient to interfere with normal function. Any hernia 
should be noted if present. State how long and if adequately contained 
by truss.
    Abnormal masses. If present, note location, if tender, and whether 
or not applicant knows how long they have been present. If the diagnosis 
suggests that the condition might interfere with the control and safe 
operation of a commercial motor vehicle, more stringent tests must be 
made before the applicant can be certified.
    Tenderness. When noted, state where most pronounced, and suspected 
cause. If the diagnosis suggests that the condition might

[[Page 881]]

interfere with the control and safe operation of a commercial motor 
vehicle, more stringent tests must be made before the applicant can be 
certified.
    Genito-urinary. Urinalysis is required. Acute infections of the 
genito-urinary tract, as defined by local and State public health laws, 
indications from urinalysis of uncontrolled diabetes, symptomatic 
albumin-urea in the urine, or other findings indicative of health 
conditions likely to interfere with the control and safe operation of a 
commercial motor vehicle, will disqualify an applicant from operating a 
motor vehicle.
    Neurological. If positive Romberg is reported, indicate degrees of 
impairment. Pupillary reflexes should be reported for both light and 
accommodation. Knee jerks are to be reported absent only when not 
obtainable upon reinforcement and as increased when foot is actually 
lifted from the floor following a light blow on the patella, sensory 
vibratory and positional abnormalities should be noted.
    Extremities. Carefully examine upper and lower extremities. Record 
the loss of impairment of a leg, foot, toe, arm, hand, or fingers. Note 
any and all deformities, the presence of atrophy, semiparalysis or 
paralysis, or varicose veins. If a hand or finger deformity exists, 
determine whether sufficient grasp is present to enable the driver to 
secure and maintain a grip on the steering wheel. If a leg deformity 
exists, determine whether sufficient mobility and strength exist to 
enable the driver to operate pedals properly. Particular attention 
should be given to and a record should be made of, any impairment or 
structural defect which may interfere with the driver's ability to 
operate a commercial motor vehicle safely.
    Spine. Note deformities, limitation of motion, or any history of 
pain, injuries, or disease, past or presently experienced in the 
cervical or lumbar spine region. If findings so dictate, radiologic and 
other examinations should be used to diagnose congenital or acquired 
defects; or spondylolisthesis and scoliosis.
    Recto-genital studies. Diseases or conditions causing discomfort 
should be evaluated carefully to determine the extent to which the 
condition might be handicapping while lifting, pulling, or during 
periods of prolonged driving that might be necessary as part of the 
driver's duties.
    Laboratory and other special findings. Urinalysis is required, as 
well as such other tests as the medical history or findings upon 
physical examination may indicate are necessary. A serological test is 
required if the applicant has a history of luetic infection or present 
physical findings indicate the possibility of latent syphilis. Other 
studies deemed advisable may be ordered by the examining medical 
examiner.
    Diabetes. If insulin is necessary to control a diabetic condition, 
the driver is not qualified to operate a commercial motor vehicle. If 
mild diabetes is noted at the time of examination and it is stabilized 
by use of a hypoglycemic drug and a diet that can be obtained while the 
driver is on duty, it should not be considered disqualifying. However, 
the driver must remain under adequate medical supervision.
    The medical examiner must date and sign his/her findings upon 
completion of the examination.

         Examination to Determine Physical Condition of Drivers

Driver's name __________ {time}  New Certification
Address ________________ {time}  Recertification
Social Security No. ____________
Date of birth __________ Age ____

------------------------------------------------------------------------
  Yes     No                         Health History
------------------------------------------------------------------------
{time}  {time}  Head or spinal injuries.
 
{time}  {time}  Seizures, fits, convulsions, or fainting.
 
{time}  {time}  Extensive confinement by illness or injury.
 
{time}  {time}  Cardiovascular disease.
 
{time}  {time}  Tuberculosis.
 
{time}  {time}  Syphilis.
 
{time}  {time}  Gonorrhea.
 
{time}  {time}  Diabetes.
 
{time}  {time}  Gastrointestinal ulcer.
 
{time}  {time}  Nervous stomach.
 
{time}  {time}  Rheumatic fever.
 
{time}  {time}  Asthma.
 
{time}  {time}  Kidney disease.
 
{time}  {time}  Muscular disease.
 
{time}  {time}  Suffering from any other disease.
 
{time}  {time}  Permanent defect from illness, disease or injury.
 
{time}  {time}  Psychiatric disorder.
 
{time}  {time}  Any other nervous disorder.
 
------------------------------------------------------------------------

If answer to any of the above is yes, explain:




                          physical examination

General appearance and development:
    Good ____ Fair ____ Poor ____
Vision: For distance:
    Right 20/ ____ Left 20/ ____
    {time}  Without corrective lenses.
    {time}  With corrective lenses if worn.
    Evidence of disease or injury:
Right ____ Left ____
Color Test _____________________________________________________________
    Horizontal field of vision:
Right ____ deg. Left ____ deg.
Hearing:
    Right ear ____ Left ear ____
Disease or injury ______________________________________________________
Audiometric Test (complete only if audiometer is used to test hearing) 
decibel loss as 500 Hz ____, at 1,000 Hz ____, at 2,000 Hz ____
Throat _________________________________________________________________
Thorax:
Heart __________________________________________________________________

[[Page 882]]

If organic disease is present, is it fully compensated? 
          ________________________
    Blood pressure:
Systolic ____ Diastolic ____

    Pulse: Before exercise ______________
    Immediately after exercise ____________
    Lungs ________________________
Abdomen:
    Scars ____ Abnormal masses ____
Tenderness ____
    Hernia: Yes ____ No ____
    If so, where? ________________________
Is truss worn? ________________
Gastrointestinal:
    Ulceration or other disease:
Yes ____ No ____
Genito-Urinary:
Scars __________________________________________________________________
Urethral discharge _____________________________________________________
Reflexes:
Romberg ________________________________________________________________
    Pupillary ____ Light R ____ L ____
    Accommodation Right ____ Left ____
Knee Jerks:
    Right:
Normal ____ Increased ____ Absent ____
    Left:
Normal ____ Increased ____ Absent ____
Remarks ________________________________________________________________
Extremities:
Upper __________________________________________________________________
Lower __________________________________________________________________
Spine __________________________________________________________________
Laboratory and other Special Findings:
    Urine: Spec. Gr. ____ Alb. ____
Sugar ____
Other laboratory data (Serology, etc.) 
________________________________________________________________________
Radiological data ______________________________________________________
Electrocardiograph _____________________________________________________
General comments _______________________________________________________


                                                   (Date of examination)

                                 (Address of examining medical examiner)

                           (Name of examining medical examiner (Print) )

                        (Title)  (License or Certification No.)  (State)

                               (Signature of examining medical examiner)

    Note: This section to be completed only when visual test is 
conducted by a licensed ophthalmologist or optometrist.

                                                   (Date of examination)

                             (Address of ophthalmologist or optometrist)

                       (Name of ophthalmologist or optometrist (Print) )

                           (Signature of ophthalmologist or optometrist)

    (g) If the medical examiner finds that the person he/she examined is 
physically qualified to drive a commercial motor vehicle in accordance 
with Sec. 391.41(b), he/she shall complete a certificate in the form 
prescribed in paragraph (g) of this section and furnish one copy to the 
person who was examined and one copy to the motor carrier that employs 
him/her.
    (h) The medical examiner's certificate shall be in accordance with 
the following form. Existing forms may be used until current printed 
supplies are depleted or until March 31, 1997, provided that the medical 
examiner writes down in pen and ink any applicable information contained 
in the following form:

                     Medical Examiner's Certificate

    I certify that I have examined

_______________________________________________________________________
    (Driver's Name--Print)

    In accordance with the Federal Motor Carrier Safety Regulations (49 
CFR 391.41 through 391.49) and with knowledge of his/her duties, I find 
him/her qualified under the regulations.

    __Qualified only when wearing corrective lenses
    __Qualified only when wearing a hearing aid
    __Qualified by operation of 49 CFR 391.64
    __Medically unqualified unless accompanied by a ______ waiver
    __Medically unqualified unless driving within an exempt intracity 
zone

    A completed examination form for this person is on file in my 
office.

_______________________________________________________________________
    Area Code & Telephone Number


[[Page 883]]


_______________________________________________________________________
    (License or Certificate No.)

_______________________________________________________________________
    (State in Which Licensed)

_______________________________________________________________________
    (Expiration Date)

_______________________________________________________________________
    (Name & Title of Medical Examiner--Print)

_______________________________________________________________________
    (Signature of Medical Examiner)

_______________________________________________________________________
    (Signature of Driver)

_______________________________________________________________________
    (Address of Driver)

[35 FR 6460, Apr. 22, 1970]

    Editorial Note: For Federal Register citations affecting 
Sec. 391.43, see the List of CFR Sections Affected in the Finding Aids 
section of this volume.



Sec. 391.45  Persons who must be medically examined and certified.

    Except as provided in Sec. 391.67, the following persons must be 
medically examined and certified in accordance with Sec. 391.43 as 
physically qualified to operate a commercial motor vehicle:
    (a) Any person who has not been medically examined and certified as 
physically qualified to operate a commercial motor vehicle;
    (b)(1) Any driver who has not been medically examined and certified 
as qualified to operate a commercial motor vehicle during the preceding 
24 months; or
    (2) Any driver authorized to operate a commercial motor vehicle only 
with an exempt intracity zone pursuant to Sec. 391.62, or only by 
operation of the exemption in Sec. 391.64, if such driver has not been 
medically examined and certified as qualified to drive in such zone 
during the preceding 12 months; and
    (c) Any driver whose ability to perform his/her normal duties has 
been impaired by a physical or mental injury or disease.

[35 FR 6460, Apr. 22, 1970, as amended at 36 FR 223, Jan. 7, 1971; 54 FR 
12202, Mar. 24, 1989; 61 FR 13347, Mar. 26, 1996]



Sec. 391.47  Resolution of conflicts of medical evaluation.

    (a) Applications. Applications for determination of a driver's 
medical qualifications under standards in this part will only be 
accepted if they conform to the requirements of this section.
    (b) Content. Applications will be accepted for consideration only if 
the following conditions are met.
    (1) The application must contain the name and address of the driver, 
motor carrier, and all physicians involved in the proceeding.
    (2) The applicant must submit proof that there is a disagreement 
between the physician for the driver and the physician for the motor 
carrier concerning the driver's qualifications.
    (3) The applicant must submit a copy of an opinion and report 
including results of all tests of an impartial medical specialist in the 
field in which the medical conflict arose. The specialist should be one 
agreed to by the motor carrier and the driver.
    (i) In cases where the driver refuses to agree on a specialist and 
the applicant is the motor carrier, the applicant must submit a 
statement of his/her agreement to submit the matter to an impartial 
medical specialist in the field, proof that he/she has requested the 
driver to submit to the medical specialist, and the response, if any, of 
the driver to his/her request.
    (ii) In cases where the motor carrier refuses to agree on a medical 
specialist, the driver must submit an opinion and test results of an 
impartial medical specialist, proof that he/she has requested the motor 
carrier to agree to submit the matter to the medical specialist and the 
response, if any, of the motor carrier to his/her request.
    (4) The applicant must include a statement explaining in detail why 
the decision of the medical specialist identified in paragraph (b)(3) of 
this section, is unacceptable.
    (5) The applicant must submit proof that the medical specialist 
mentioned in paragraph (b)(3) of this section was provided, prior to 
his/her determination, the medical history of the driver and an agreed-
upon statement of the work the driver performs.
    (6) The applicant must submit the medical history and statement of 
work provided to the medical specialist under paragraph (b)(5) of this 
section.
    (7) The applicant must submit all medical records and statements of 
the

[[Page 884]]

physicians who have given opinions on the driver's qualifications.
    (8) The applicant must submit a description and a copy of all 
written and documentary evidence upon which the party making application 
relies in the form set out in 49 CFR 386.37.
    (9) The application must be accompanied by a statement of the driver 
that he/she intends to drive in interstate commerce not subject to the 
commercial zone exemption or a statement of the carrier that he/she has 
used or intends to use the driver for such work.
    (10) The applicant must submit three copies of the application and 
all records.
    (c) Information. The Director, Office of Motor Carrier Research and 
Standards may request further information from the applicant if he/she 
determines that a decision cannot be made on the evidence submitted. If 
the applicant fails to submit the information requested, the Director 
may refuse to issue a determination.
    (d)(1) Action. Upon receiving a satisfactory application the 
Director, Office of Motor Carrier Research and Standards shall notify 
the parties (the driver, motor carrier, or any other interested party) 
that the application has been accepted and that a determination will be 
made. A copy of all evidence received shall be attached to the notice.
    (2) Reply. Any party may submit a reply to the notification within 
15 days after service. Such reply must be accompanied by all evidence 
the party wants the Director, Office of Motor Carrier Research and 
Standards to consider in making his/her determination. Evidence 
submitted should include all medical records and test results upon which 
the party relies.
    (3) Parties. A party for the purposes of this section includes the 
motor carrier and the driver, or anyone else submitting an application.
    (e) Petitions to review, burden of proof. The driver or motor 
carrier may petition to review the Director's determination. Such 
petition must be submitted in accordance with Sec. 386.13(a) of this 
chapter. The burden of proof in such a proceeding is on the petitioner.
    (f) Status of driver. Once an application is submitted to the 
Director, Office of Motor Carrier Research and Standards, the driver 
shall be deemed disqualified until such time as the Director, Office of 
Motor Carrier Research and Standards makes a determination, or until the 
Director, Office of Motor Carrier Research and Standards orders 
otherwise.

(49 U.S.C. 304, 322; 18 U.S.C. 831-835; Pub. L. 93-633, 88 Stat. 8156 
(49 U.S.C. 1801, et seq.); 49 CFR 1.48, 301.60)

[42 FR 18081, Apr. 5, 1977, as amended at 42 FR 53966, Oct. 4, 1977; 60 
FR 38746, July 28, 1995]



Sec. 391.49  Waiver of certain physical defects.

    (a) A person who is not physically qualified to drive under 
Sec. 391.41(b) (1) or (2) and who is otherwise qualified to drive a 
commercial motor vehicle, may drive a commercial motor vehicle, if the 
Regional Director of Motor Carriers has granted a waiver to that person.
    (b) A letter of application for a waiver may be submitted jointly by 
the person who seeks a waiver of the physical disqualification (driver 
applicant) and by the motor carrier that will employ the driver 
applicant if the application is granted. The application must be 
addressed to the Regional Director of Motor Carriers for the region in 
which the coapplicant motor carrier's principal place of business is 
located. The address for each regional office is listed in Sec. 390.27 
of this subchapter. Exception. A letter of application for a waiver may 
be submitted unilaterally by a driver applicant. The application must be 
addressed to the Regional Director of Motor Carriers for the region in 
which the driver has legal residence. The address of each regional 
office is listed in Sec. 390.27 of this subchapter. The driver applicant 
must comply with all the requirements of paragraph (c) of this section 
except paragraphs (c)(1) (i) and (iii). The driver applicant shall 
respond to the requirements of paragraph (c)(2) (i) to (v) of this 
section, if the information is known.
    (c) A letter of application for a waiver shall contain--
    (1) Identification of the applicant(s):

[[Page 885]]

    (i) Name and complete address of the motor carrier coapplicant;
    (ii) Name and complete address of the driver applicant;
    (iii) The Federal Highway Administration Motor Carrier 
Identification Number, if known; and
    (iv) A description of the driver applicant's limb impairment for 
which waiver is requested.
    (2) Description of the type of operation the driver will be employed 
to perform:
    (i) State(s) in which the driver will operate for the motor carrier 
coapplicant (if more than 10 States, designate general geographic area 
only);
    (ii) Average period of time the driver will be driving and/or on 
duty, per day;
    (iii) Type of commodities or cargo to be transported;
    (iv) Type of driver operation (i.e. sleeper-team, relay, owner 
operator, etc.); and
    (v) Number of years experience operating the type of commercial 
motor vehicle(s) requested in the letter of application and total years 
of experience operating all types of motor vehicles.
    (3) Description of the commercial motor vehicle(s) the driver 
applicant intends to drive:
    (i) Truck, truck-tractor, or bus make, model, and year (if known);
    (ii) Drive train;
    (A) Transmission type (automatic or manual--if manual, designate 
number of forward speeds);
    (B) Auxiliary transmission (if any) and number of forward speeds; 
and
    (C) Rear axle (designate single speed, 2 speed, or 3 speed).
    (iii) Type of brake system;
    (iv) Steering, manual or power assisted;
    (v) Description of type of trailer(s) (i.e., van, flat bed, cargo 
tank, drop frame, lowboy, or pole);
    (vi) Number of semitrailers or full trailers to be towed at one 
time;
    (vii) For commercial motor vehicles designed to transport 
passengers, indicate the seating capacity of the commercial motor 
vehicle; and
    (viii) Description of any modification(s) made to the commercial 
motor vehicle for the driver applicant; attach photograph(s) where 
applicable.
    (4) Otherwise qualified:
    (i) The coapplicant motor carrier must certify that the driver 
applicant is otherwise qualified under the regulations of this part;
    (ii) In the case of a unilateral application, the driver applicant 
must certify that (s)he is otherwise qualified under the regulations of 
this part.
    (5) Signature of applicant(s):
    (i) Driver applicant's signature and date signed;
    (ii) Motor carrier official's signature (if application has a 
coapplicant), title, and date signed. Dependent upon the motor carrier's 
organizational structure (corporation, partnership, or proprietorship), 
this signer of the application shall be an officer, partner, or the 
proprietor.
    (d) The letter of application for a waiver shall be accompanied by:
    (1) A copy of the results of the medical examination performed 
pursuant to Sec. 391.43;
    (2) A copy of the medical certificate completed pursuant to 
Sec. 391.43(e);
    (3) A medical evaluation summary completed by either a board 
qualified or board certified physiatrist (doctor of physical medicine) 
or orthopedic surgeon;

    Note: The coapplicant motor carrier or the driver applicant shall 
provide the physiatrist or orthopedic surgeon with a description of the 
job tasks the driver applicant will be required to perform.

    (i) The medical evaluation summary for a driver applicant 
disqualified under Sec. 391.41(b)(1) shall include:
    (A) An assessment of the functional capabilities of the driver as 
they relate to the ability of the driver to perform normal tasks 
associated with operating a commercial motor vehicle, and
    (B) A statement by the examiner that the applicant is capable of 
demonstrating precision prehension (e.g., manipulating knobs and 
switches) and power grasp prehension (e.g., holding and maneuvering the 
steering wheel) with each upper limb separately. This requirement does 
not apply to an individual who was granted a waiver, absent a prosthetic 
device, prior to the publication of this amendment.
    (ii) The medical evaluation summary for a driver applicant 
disqualified under Sec. 391.41(b)(2) shall include:

[[Page 886]]

    (A) An explanation as to how and why the impairment interferes with 
the ability of the applicant to perform normal tasks associated with 
operating a commercial motor vehicle;
    (B) An assessment and medical opinion of whether the condition will 
likely remain medically stable over the lifetime of the driver 
applicant; and
    (C) A statement by the examiner that the applicant is capable of 
demonstrating precision prehension (e.g., manipulating knobs and 
switches) and power grasp prehension (e.g., holding and maneuvering the 
steering wheel) with each upper limb separately. This requirement does 
not apply to an individual who was granted a waiver, absent an orthotic 
device, prior to the publication of this amendment.
    (4) A description of the driver applicant's prosthetic or orthotic 
device worn, if any, by the driver applicant;
    (5) Road test:
    (i) A copy of the driver applicant's road test administered by the 
motor carrier coapplicant and the certificate issued pursuant to 
Sec. 391.31 (b) through (g); or
    (ii) A unilateral applicant shall be responsible for having a road 
test administered by a motor carrier or a person who is competent to 
administer the test and evaluate its results.
    (6) Application for employment:
    (i) A copy of the driver applicant's application for employment 
completed pursuant to Sec. 391.21; or
    (ii) A unilateral applicant shall be responsible for submitting a 
copy of the last commercial driving position's employment application s/
he held. If not previously employed as a commercial driver, so state.
    (7) A copy of the driver applicant's waiver of certain physical 
defects issued by the individual State(s), where applicable; and
    (8) A copy of the driver applicant's State Motor Vehicle Driving 
Record for the past 3 years from each State in which a motor vehicle 
driver's license or permit has been obtained.
    (e) Agreement. A motor carrier that employs a driver with a waiver 
agrees to:
    (1) File promptly (within 30 days) with the Regional Director of 
Motor Carriers such documents and information as may be required about 
driving activities, accidents, arrests, license suspensions, 
revocations, or withdrawals, and convictions which involve the driver 
applicant. This applies whether the driver's waiver is a unilateral one 
or has a coapplicant motor carrier;
    (i) A motor carrier who is a coapplicant must file the required 
documents with the Regional Director of Motor Carriers for the region in 
which the carrrier's principal place of business is located; or
    (ii) A motor carrier who employs a driver who has been issued a 
unilateral waiver must file the required documents with the Regional 
Director of Motor Carriers for the region in which the driver has legal 
residence.
    (2) Evaluate the driver with a road test using the trailer the motor 
carrier intends the driver to transport or, in lieu of, accept a 
certificate of a trailer road test from another motor carrier if the 
trailer type(s) is similar or accept the trailer road test done during 
the Skill Performance Evaluation if it is a similar trailer type(s) to 
that of the prospective motor carrier;

    Note: Job tasks, as stated in paragraph (e)(3) of this section, are 
not evaluated in the Skill Performance Evalulation.

    (3) Evaluate the driver for those nondriving safety-related job 
tasks associated with whatever type of trailer(s) will be used and any 
other nondriving safety-related or job-related tasks unique to the 
operations of the employing motor carrier; and
    (4) Use the driver to operate the type of commercial motor vehicle 
defined in the waiver only when the driver is in compliance with the 
conditions and limitations of the waiver.
    (f) The driver shall supply each employing motor carrier with a copy 
of the waiver.
    (g) The Regional Director of Motor Carriers may require the driver 
applicant to demonstrate his or her ability to to safely operate the 
commercial motor vehicle(s) the driver intends to drive to an agent of 
the Regional Director of Motor Carriers. The waiver form will identify 
the power unit (bus, truck, truck-tractor) for which the waiver has been 
granted. The waiver forms will also identify the trailer type

[[Page 887]]

used in the Skill Performance Evaluation; however, the waiver is not 
limited to that specific trailer type. A driver may use the waiver with 
other trailer types if a successful trailer road test is completed in 
accordance with paragraph (e)(2) of this section. Job tasks, as stated 
in paragraph (e)(3) of this section, are not evaluated during the Skill 
Performance Evaluation.
    (h) The Regional Director of Motor Carriers may deny the application 
for waiver or may grant it totally or in part and issue the waiver 
subject to such terms, conditions, and limitations as deemed consistent 
with the public interest. A waiver is valid for a period not to exceed 2 
years from date of issue, and may be renewed 30 days prior to the 
expiration date.
    (i) The waiver renewal application shall be submitted to the 
Regional Director of Motor Carriers for the region in which the driver 
has legal residence, if the waiver was issued unilaterally. If the 
waiver has a coapplicant, then the renewal application is submitted to 
the Regional Director of Motor Carriers for the region in which the 
coapplicant motor carrier's principal place of business is located. The 
waiver renewal application shall contain the following:
    (1) Name and complete address of motor carrier currently employing 
the applicant;
    (2) Name and complete address of the driver;
    (3) Effective date of the current waiver;
    (4) Expiration date of the current waiver;
    (5) Total miles driven under the current waiver;
    (6) Number of accidents incurred while driving under the current 
waiver, including date of the accident(s), number of fatalities, number 
of injuries, and the estimated dollar amount of property damage;
    (7) A current medical examination report;
    (8) A medical evaluation summary pursuant to paragraph (d)(3) of 
this section if an unstable medical condition exists. All handicapped 
conditions classified under Sec. 391.41(b)(1) are considered unstable.

    Note: Refer to paragraph (d)(3)(ii) of this section for the 
condition under Sec. 391.41(b)(2) which may be considered medically 
stable.

    (9) A copy of driver's current State motor vehicle driving record 
for the period of time the current waiver has been in effect;
    (10) Notification of any change in the type of tractor the driver 
will operate;
    (11) Driver's signature and date signed; and
    (12) Motor carrier coapplicant's signature and date signed.
    (j) Upon granting a waiver, the Regional Director of Motor Carriers 
will notify the driver applicant and coapplicant motor carrier (if 
applicable) by letter. The terms, conditions, and limitations of the 
waiver will be set forth. A motor carrier shall maintain a copy of the 
waiver in its driver qualification file. A copy of the waiver shall be 
retained in the motor carrier's file for a period of 3 years after the 
driver's employment is terminated. The driver applicant shall have the 
waiver (or a legible copy) in his/her possession whenever on duty.
    (k) The Regional Director of Motor Carriers may revoke a waiver 
after the person to whom it was issued is given notice of the proposed 
revocation and has been allowed a reasonable opportunity to appeal.
    (l) Falsifying information in the letter of application, the renewal 
application, or falsifying information required by this section by 
either the applicant or motor carrier is prohibited.

(Approved by the Office of Management and Budget under control number 
2125-0080)

[48 FR 38487, Aug. 24, 1983, as amended at 49 FR 38293, Sept. 28, 1984; 
50 FR 49851, Dec. 5, 1985; 51 FR 12621, Apr. 14, 1986; 60 FR 38745, 
38746, July 28, 1995; 61 FR 1843, Jan. 24, 1996]



                      Subpart F--Files and Records



Sec. 391.51  General requirements for driver qualification files.

    (a) Each motor carrier shall maintain a driver qualification file 
for each driver it employs. A driver's qualification file may be 
combined with his/her personnel file.
    (b) The qualification file for a driver must include:

[[Page 888]]

    (1) The driver's application for employment completed in accordance 
with Sec. 391.21;
    (2) A written record with respect to each past employer who was 
contacted and a copy of the response by each State agency, pursuant to 
Sec. 391.23 involving investigation and inquiries;
    (3) The certificate of driver's road test issued to the driver 
pursuant to Sec. 391.31(e), or a copy of the license or certificate 
which the motor carrier accepted as equivalent to the driver's road test 
pursuant to Sec. 391.33;
    (4) The response of each State agency to the annual driver record 
inquiry required by Sec. 391.25(a);
    (5) A note relating to the annual review of the driver's driving 
record as required by Sec. 391.25(c)(2);
    (6) A list or certificate relating to violations of motor vehicle 
laws and ordinances required by Sec. 391.27;
    (7) The medical examiner's certificate of his/her physical 
qualification to drive a commercial motor vehicle as required by 
Sec. 391.43(f) or a legible photographic copy of the certificate; and
    (8) A letter from the Regional Director of Motor Carriers granting a 
waiver of a physical disqualification, if a waiver was issued under 
Sec. 391.49.
    (c) Except as provided in paragraph (d) of this section, each 
driver's qualification file shall be retained for as long as a driver is 
employed by that motor carrier and for three years thereafter.
    (d) The following records may be removed from a driver's 
qualification file three years after the date of execution:
    (1) The response of each State agency to the annual driver record 
inquiry required by Sec. 391.25(a);
    (2) The note relating to the annual review of the driver's driving 
record as required by Sec. 391.25(c)(2);
    (3) The list or certificate relating to violations of motor vehicle 
laws and ordinances required by Sec. 391.27;
    (4) The medical examiner's certificate of the driver's physical 
qualification to drive a commercial motor vehicle or the photographic 
copy of the certificate as required by Sec. 391.43(f); and
    (5) The letter issued under Sec. 391.49 granting a waiver of a 
physical disqualification.

(Approved by the Office of Management and Budget under control number 
2125-0065)

[63 FR 33277, June 18, 1998]



                      Subpart G--Limited Exemptions



Sec. 391.61  Drivers who were regularly employed before January 1, 1971.

    The provisions of Sec. 391.21 (relating to applications for 
employment), Sec. 391.23 (relating to investigations and inquiries), and 
Sec. 391.33 (relating to road tests) do not apply to a driver who has 
been a single-employer driver (as defined in Sec. 390.5 of this 
subchapter) of a motor carrier for a continuous period which began 
before January 1, 1971, as long as he/she continues to be a single-
employer driver of that motor carrier.

[63 FR 33278, June 18, 1998]



Sec. 391.62  Limited exemptions for intra-city zone drivers.

    The provisions of Secs. 391.11(b)(1) and 391.41(b)(1) through 
(b)(11) do not apply to a person who:
    (a) Was otherwise qualified to operate and operated a commercial 
motor vehicle in a municipality or exempt intracity zone thereof 
throughout the one-year period ending November 18, 1988;
    (b) Meets all the other requirements of this section;
    (c) Operates wholly within the exempt intracity zone (as defined in 
49 CFR 390.5);
    (d) Does not operate a vehicle used in the transportation of 
hazardous materials in a quantity requiring placarding under regulations 
issued by the Secretary under 49 U.S.C. chapter 51.; and
    (e) Has a medical or physical condition which:
    (1) Would have prevented such person from operating a commercial 
motor vehicle under the Federal Motor Carrier Safety Regulations 
contained in this subchapter;
    (2) Existed on July 1, 1988, or at the time of the first required 
physical examination after that date; and
    (3) The examining physician has determined this condition has not 
substantially worsened since July 1, 1988,

[[Page 889]]

or at the time of the first required physical examination after that 
date.

[61 FR 13346, Mar. 26, 1996; 61 FR 17253, Apr. 19, 1996]



Sec. 391.63  Multiple-employer drivers.

    (a) If a motor carrier employs a person as a multiple-employer 
driver (as defined in Sec. 390.5 of this subchapter), the motor carrier 
shall comply with all requirements of this part, except that the motor 
carrier need not--
    (1) Require the person to furnish an application for employment in 
accordance with Sec. 391.21;
    (2) Make the investigations and inquiries specified in Sec. 391.23 
with respect to that person;
    (3) Perform the annual driving record inquiry required by 
Sec. 391.25(a);
    (4) Perform the annual review of the person's driving record 
required by Sec. 391.25(b); or
    (5) Require the person to furnish a record of violations or a 
certificate in accordance with Sec. 391.27.
    (b) Before a motor carrier permits a multiple-employer driver to 
drive a commercial motor vehicle, the motor carrier must obtain his/her 
name, his/her social security number, and the identification number, 
type and issuing State of his/her commercial motor vehicle operator's 
license. The motor carrier must maintain this information for three 
years after employment of the multiple-employer driver ceases.

(Approved by the Office of Management and Budget under control number 
2125-0081)

[63 FR 33278, June 18, 1998]



Sec. 391.64  Grandfathering for certain drivers participating in vision and diabetes waiver study programs.

    (a) The provisions of Sec. 391.41(b)(3) do not apply to a driver who 
was a participant in good standing on March 31, 1996, in a waiver study 
program concerning the operation of commercial motor vehicles by 
insulin-controlled diabetic drivers; provided:
    (1) The driver is physically examined every year, including an 
examination by a board-certified/eligible endocrinologist attesting to 
the fact that the driver is:
    (i) Otherwise qualified under Sec. 391.41;
    (ii) Free of insulin reactions (an individual is free of insulin 
reactions if that individual does not have severe hypoglycemia or 
hypoglycemia unawareness, and has less than one documented, symptomatic 
hypoglycemic reaction per month);
    (iii) Able to and has demonstrated willingness to properly monitor 
and manage his/her diabetes; and
    (iv) Not likely to suffer any diminution in driving ability due to 
his/her diabetic condition.
    (2) The driver agrees to and complies with the following conditions:
    (i) A source of rapidly absorbable glucose shalll be carried at all 
times while driving;
    (ii) Blood glucose levels shall be self-monitored one hour prior to 
driving and at least once every four hours while driving or on duty 
prior to driving using a portable glucose monitoring device equipped 
with a computerized memory;
    (iii) Submit blood glucose logs to the endocrinologist or medical 
examiner at the annual examination or when otherwise directed by an 
authorized agent of the FHWA;
    (iv) Provide a copy of the endocrinologist's report to the medical 
examiner at the time of the annual medical examination; and
    (v) Provide a copy of the annual medical certification to the 
employer for retention in the driver's qualification file and retain a 
copy of the certification on his/her person while driving for 
presentation to a duly authorized Federal, State or local enforcement 
official.
    (b) The provisions of Sec. 391.41(b)(10) do not apply to a driver 
who was a participant in good standing on March 31, 1996, in a waiver 
study program concerning the operation of commercial motor vehicles by 
drivers with visual impairment in one eye; provided:
    (1) The driver is physically examined every year, including an 
examination by an ophthalmologist or optometrist attesting to the fact 
that the driver:
    (i) Is otherwise qualified under Sec. 391.41; and
    (ii) Continues to measure at least 20/40 (Snellen) in the better 
eye.
    (2) The driver provides a copy of the ophthalmologist or optometrist 
report

[[Page 890]]

to the medical examiner at the time of the annual medical examination.
    (3) The driver provides a copy of the annual medical certification 
to the employer for retention in the driver's qualification file and 
retains a copy of the certification on his/her person while driving for 
presentation to a duly authorized federal, state or local enforcement 
official.

[61 FR 13346, Mar. 26, 1996]



Sec. 391.65  Drivers furnished by other motor carriers.

    (a) A motor carrier may employ a driver who is not a regularly 
employed driver of that motor carrier without complying with the 
generally applicable driver qualification file requirements in this 
part, if--
    (1) The driver is regularly employed by another motor carrier; and
    (2) The motor carrier which regularly employs the driver certifies 
that the driver is fully qualified to drive a commercial motor vehicle 
in a written statement which--
    (i) Is signed and dated by an officer or authorized employee of the 
regularly employing carrier;
    (ii) Contains the driver's name and signature;
    (iii) Certifies that the driver has been regularly employed as 
defined in Sec. 390.5;
    (iv) Certifies that the driver is fully qualified to drive a 
commercial motor vehicle under the rules in part 391 of the Federal 
Motor Carrier Safety Regulations;
    (v) States the expiration date of the driver's medical examiner's 
certificate;
    (vi) Specifies an expiration date for the certificate, which shall 
be not longer than 2 years or, if earlier, the expiration date of the 
driver's current medical examiner's certificate; and
    (vii) After April 1, 1977, is substantially in accordance with the 
following form:


                                                        (Name of driver)
_______________________________________________________________________
                                                                (SS No.)

                                                   (Signature of driver)

    I certify that the above named driver, as defined in Sec. 391.3(c) 
is regularly driving a commercial motor vehicle operated by the below 
named carrier and is fully qualified under part 391, Federal Motor 
Carrier Safety Regulations. His/her current medical examiner's 
certificate expires on ________ (Date)
This certificate expires:



      (Date not later than expiration date of medical certificate)

Issued on ________ (date)

                                          Issued by ____________________
                                                       (Name of carrier)

                                                               (Address)

                                                             (Signature)

                                                                 (Title)

    (b) A motor carrier that obtains a certificate in accordance with 
paragraph (a)(2) of this section shall:
    (1) Contact the motor carrier which certified the driver's 
qualifications under this section to verify the validity of the 
certificate. This contact may be made in person, by telephone, or by 
letter.
    (2) Retain a copy of that certificate in its files for three years.
    (c) A motor carrier which certifies a driver's qualifications under 
this section shall be responsible for the accuracy of the certificate. 
The certificate is no longer valid if the driver leaves the employment 
of the motor carrier which issued the certificate or is no longer 
qualified under the rules in this part.

[41 FR 36656, Aug. 31, 1976, as amended at 53 FR 18057, May 19, 1988; 60 
FR 38745, July 28, 1995; 63 FR 33278, June 18, 1998]



Sec. 391.67  Farm vehicle drivers of articulated commercial motor vehicles.

    The following rules in this part do not apply to a farm vehicle 
driver (as defined in Sec. 390.5 of this subchapter) who is 18 years of 
age or older and who drives an articulated commercial motor vehicle:
    (a) Section 391.11(b)(1), (b)(6) and (b)(8) (relating to general 
qualifications of drivers);
    (b) Subpart C (relating to disclosure of, investigation into, and 
inquiries about the background, character, and driving record of 
drivers);
    (c) Subpart D (relating to road tests); and

[[Page 891]]

    (d) Subpart F (relating to maintenance of files and records).

[63 FR 33278, June 18, 1998]



Sec. 391.68  Private motor carrier of passengers (nonbusiness).

    The following rules in this part do not apply to a private motor 
carrier of passengers (nonbusiness) and its drivers:
    (a) Section 391.11(b)(1), (b)(6) and (b)(8) (relating to general 
qualifications of drivers);
    (b) Subpart C (relating to disclosure of, investigation into, and 
inquiries about the background, character, and driving record of, 
drivers);
    (c) So much of Secs. 391.41 and 391.45 as require a driver to be 
medically examined and to have a medical examiner's certificate on his/
her person; and
    (d) Subpart F (relating to maintenance of files and records).

[63 FR 33278, June 18, 1998]



Sec. 391.69  Private motor carrier of passengers (business).

    The provisions of Sec. 391.21 (relating to applications for 
employment), Sec. 391.23 (relating to investigations and inquiries), and 
Sec. 391.31 (relating to road tests) do not apply to a driver who was a 
single-employer driver (as defined in Sec. 390.5 of this subchapter) of 
a private motor carrier of passengers (business) as of July 1, 1994, so 
long as the driver continues to be a single-employer driver of that 
motor carrier.

[63 FR 33278, June 18, 1998]



Sec. 391.71  [Reserved]



PART 392--DRIVING OF COMMERCIAL MOTOR VEHICLES--Table of Contents




                           Subpart A--General

Sec.
392.1  Scope of the rules in this part.
392.2  Applicable operating rules.
392.3  Ill or fatigued operator.
392.4  Drugs and other substances.
392.5  Alcohol prohibition.
392.6  Schedules to conform with speed limits.
392.7  Equipment, inspection and use.
392.8  Emergency equipment, inspection, and use.
392.9  Safe loading.
392.9a  [Reserved]

             Subpart B--Driving of Commercial Motor Vehicles

392.10  Railroad grade crossings; stopping required.
392.11  Railroad grade crossings; slowing down required.
392.12-392.13  [Reserved]
392.14  Hazardous conditions; extreme caution.
392.15  [Reserved]
392.16  Use of seat belts.
392.18  [Reserved]

              Subpart C--Stopped Commercial Motor Vehicles

392.20-392.21  [Reserved]
392.22  Emergency signals; stopped commercial motor vehicles.
392.24  Emergency signals; flame-producing.
392.25  Flame producing devices.

             Subpart D--Use of Lighted Lamps and Reflectors

392.30-392.32  [Reserved]
392.33  Obscured lamps or reflectors.

             Subpart E--License Revocation; Duties of Driver

392.40-392.41  [Reserved]

                     Subpart F--Fueling Precautions

392.50  Ignition of fuel; prevention.
392.51  Reserve fuel; materials of trade.
392.52  [Reserved]

                     Subpart G--Prohibited Practices

392.60  Unauthorized persons not to be transported.
392.61  [Reserved]
392.62  Safe operation, buses.
392.63  Towing or pushing loaded buses.
392.64  Riding within closed commercial motor vehicles without proper 
          exits.
392.65  [Reserved]
392.66  Carbon monoxide; use of commercial motor vehicle when detected.
392.67  Heater, flame-producing; on commercial motor vehicle in motion.
392.68-392.69  [Reserved]
392.71  Radar detectors; use and/or possession.

    Authority: 49 U.S.C. 31136, 31502; 49 U.S.C. 1.48.

    Source: 33 FR 19732, Dec. 25, 1968, unless otherwise noted.

[[Page 892]]



                           Subpart A--General



Sec. 392.1  Scope of the rules in this part.

    Every motor carrier, its officers, agents, representatives, and 
employees responsible for the management, maintenance, operation, or 
driving of commercial motor vehicles, or the hiring, supervising, 
training, assigning, or dispatching of drivers, shall be instructed in 
and comply with the rules in this part.

[53 FR 18057, May 19, 1988, as amended at 60 FR 38746, July 28, 1995]



Sec. 392.2  Applicable operating rules.

    Every commercial motor vehicle must be operated in accordance with 
the laws, ordinances, and regulations of the jurisdiction in which it is 
being operated. However, if a regulation of the Federal Highway 
Administration imposes a higher standard of care than that law, 
ordinance or regulation, the Federal Highway Administration regulation 
must be complied with.

[35 FR 7800, May 21, 1970, as amended at 60 FR 38746, July 28, 1995]



Sec. 392.3  Ill or fatigued operator.

    No driver shall operate a commercial motor vehicle, and a motor 
carrier shall not require or permit a driver to operate a commercial 
motor vehicle, while the driver's ability or alertness is so impaired, 
or so likely to become impaired, through fatigue, illness, or any other 
cause, as to make it unsafe for him/her to begin or continue to operate 
the commercial motor vehicle. However, in a case of grave emergency 
where the hazard to occupants of the commercial motor vehicle or other 
users of the highway would be increased by compliance with this section, 
the driver may continue to operate the commercial motor vehicle to the 
nearest place at which that hazard is removed.

[35 FR 7800, May 21, 1970, as amended at 60 FR 38746, July 28, 1995]



Sec. 392.4  Drugs and other substances.

    (a) No driver shall be on duty and possess, be under the influence 
of, or use, any of the following drugs or other substances:
    (1) Any 21 CFR 1308.11 Schedule I substance;
    (2) An amphetamine or any formulation thereof (including, but not 
limited, to ``pep pills,'' and ``bennies'');
    (3) A narcotic drug or any derivative thereof; or
    (4) Any other substance, to a degree which renders the driver 
incapable of safely operating a motor vehicle.
    (b) No motor carrier shall require or permit a driver to violate 
paragraph (a) of this section.
    (c) Paragraphs (a) (2), (3), and (4) do not apply to the possession 
or use of a substance administered to a driver by or under the 
instructions of a licensed medical practitioner, as defined in 
Sec. 382.107 of this subchapter, who has advised the driver that the 
substance will not affect the driver's ability to safely operate a motor 
vehicle.
    (d) As used in this section, ``possession'' does not include 
possession of a substance which is manifested and transported as part of 
a shipment.

[61 FR 9567, Mar. 8, 1996, as amended at 62 FR 37153, July 11, 1997]



Sec. 392.5  Alcohol prohibition.

    (a) No driver shall--
    (1) Use alcohol, as defined in Sec. 382.107 of this subchapter, or 
be under the influence of alcohol, within 4 hours before going on duty 
or operating, or having physical control of, a commercial motor vehicle; 
or
    (2) Use alcohol, be under the influence of alcohol, or have any 
measured alcohol concentration or detected presence of alcohol, while on 
duty, or operating, or in physical control of a commercial motor 
vehicle; or
    (3) Be on duty or operate a commercial motor vehicle while the 
driver possesses wine of not less than one-half of one per centum of 
alcohol by volume, beer as defined in 26 U.S.C. 5052(a), of the Internal 
Revenue Code of 1954, and distilled spirits as defined in section 
5002(a)(8), of such Code. However, this does not apply to possession of 
wine, beer, or distilled spirits which are:
    (i) Manifested and transported as part of a shipment; or
    (ii) Possessed or used by bus passengers.
    (b) No motor carrier shall require or permit a driver to--

[[Page 893]]

    (1) Violate any provision of paragraph (a) of this section; or
    (2) Be on duty or operate a commercial motor vehicle if, by the 
driver's general appearance or conduct or by other substantiating 
evidence, the driver appears to have used alcohol within the preceding 
four hours.
    (c) Any driver who is found to be in violation of the provisons of 
paragraph (a) or (b) of this section shall be placed out-of-service 
immediately for a period of 24 hours.
    (1) The 24-hour out-of-service period will commence upon issuance of 
an out-of-service order.
    (2) No driver shall violate the terms of an out-of-service order 
issued under this section.
    (d) Any driver who is issued an out-of-service order under this 
section shall:
    (1) Report such issuance to his/her employer within 24 hours; and
    (2) Report such issuance to a State official, designated by the 
State which issued his/her driver's license, within 30 days unless the 
driver chooses to request a review of the order. In this case, the 
driver shall report the order to the State official within 30 days of an 
affirmation of the order by either the Regional Director of Motor 
Carriers for the Region or the Associate Administrator.
    (e) Any driver who is subject to an out-of-service order under this 
section may petition for review of that order by submitting a petition 
for review in writing within 10 days of the issuance of the order to the 
Regional Director of Motor Carriers for the Region in which the order 
was issued. The Regional Director of Motor Carriers may affirm or 
reverse the order. Any driver adversely affected by such order of the 
Regional Director of Motor Carriers may petition the Associate 
Administrator for review in accordance with 49 CFR 386.13.

(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)

[47 FR 47837, Oct. 28, 1982, as amended at 52 FR 27201, July 20, 1987; 
59 FR 7515, Feb. 15, 1994; 61 FR 9567, Mar. 8, 1996]



Sec. 392.6  Schedules to conform with speed limits.

    No motor carrier shall schedule a run nor permit nor require the 
operation of any commercial motor vehicle between points in such period 
of time as would necessitate the commercial motor vehicle being operated 
at speeds greater than those prescribed by the jurisdictions in or 
through which the commercial motor vehicle is being operated.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38746, July 28, 1995]



Sec. 392.7  Equipment, inspection and use.

    No commercial motor vehicle shall be driven unless the driver 
thereof shall have satisfied himself/herself that the following parts 
and accessories are in good working order, nor shall any driver fail to 
use or make use of such parts and accessories when and as needed:

Service brakes, including trailer brake connections.
Parking (hand) brake.
Steering mechanism.
Lighting devices and reflectors.
Tires.
Horn.
Windshield wiper or wipers.
Rear-vision mirror or mirrors.
Coupling devices.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38746, July 28, 1995]



Sec. 392.8  Emergency equipment, inspection and use.

    No commercial motor vehicle shall be driven unless the driver 
thereof is satisfied that the emergency equipment required by 
Sec. 393.95 of this subchapter is in place and ready for use; nor shall 
any driver fail to use or make use of such equipment when and as needed.

[49 FR 38290, Sept. 28, 1984, as amended at 60 FR 38746, July 28, 1995]



Sec. 392.9  Safe loading.

    (a) General. No person shall drive a commercial motor vehicle and a 
motor carrier shall not require or permit a person to drive a commercial 
motor vehicle unless--
    (1) The commercial motor vehicle's cargo is properly distributed and 
adequately secured as specified in Secs. 393.100-393.106 of this 
subchapter.
    (2) The commercial motor vehicle's tailgate, tailboard, doors, 
tarpaulins, its spare tire and other equipment used

[[Page 894]]

in its operation, and the means of fastening the commercial motor 
vehicle's cargo are secured; and
    (3) The commercial motor vehicle's cargo or any other object does 
not obscure the driver's view ahead or to the right or left sides, 
interfere with the free movement of his/her arms or legs, prevent his/
her free and ready access to accessories required for emergencies, or 
prevent the free and ready exit of any person from the commercial motor 
vehicle's cab or driver's compartment.
    (b) Drivers of trucks and truck tractors. Except as provided in 
paragraph (b)(4) of this section, the driver of a truck or truck tractor 
must--
    (1) Assure himself/herself that the provisions of paragraph (a) of 
this section have been complied with before he/she drives that 
commercial motor vehicle;
    (2) Examine the commercial motor vehicle's cargo and its load-
securing devices within the first 25 miles after beginning a trip and 
cause any adjustments to be made to the cargo or load-securing devices 
(other than steel strapping) as may be necessary to maintain the 
security of the commercial motor vehicle's load; and
    (3) Reexamine the commercial motor vehicle's cargo and its load-
securing devices periodically during the course of transportation and 
cause any adjustments to be made to the cargo or load-securing devices 
(other than steel strapping) as may be necessary to maintain the 
security of the commercial motor vehicle's load. A periodic 
reexamination and any necessary adjustments must be made--
    (i) When the driver makes a change of his/her duty status; or
    (ii) After the commercial motor vehicle has been driven for 3 hours; 
or
    (iii) After the commercial motor vehicle has been driven for 150 
miles, whichever occurs first.
    (4) The rules in this paragraph do not apply to the driver of a 
sealed commercial motor vehicle who has been ordered not to open it to 
inspect its cargo or to the driver of a commercial motor vehicle that 
has been loaded in a manner that makes inspection of its cargo 
impracticable.

[36 FR 18863, Sept. 23, 1971, as amended at 37 FR 12642, June 27, 1972; 
38 FR 23522, Aug. 31, 1973; 60 FR 38746, July 28, 1995; 63 FR 33278, 
June 18, 1998]



Sec. 392.9a  [Reserved]



             Subpart B--Driving of Commercial Motor Vehicles



Sec. 392.10  Railroad grade crossings; stopping required.

    (a) Except as provided in paragraph (b) of this section, the driver 
of a commercial motor vehicle specified in paragraphs (a) (1) through 
(6) of this section shall not cross a railroad track or tracks at grade 
unless he/she first: Stops the commercial motor vehicle within 50 feet 
of, and not closer than 15 feet to, the tracks; thereafter listens and 
looks in each direction along the tracks for an approaching train; and 
ascertains that no train is approaching. When it is safe to do so, the 
driver may drive the commercial motor vehicle across the tracks in a 
gear that permits the commercial motor vehicle to complete the crossing 
without a change of gears. The driver must not shift gears while 
crossing the tracks.
    (1) Every bus transporting passengers,
    (2) Every commercial motor vehicle transporting any quantity of a 
Division 2.3 chlorine.
    (3) Every commercial motor vehicle which, in accordance with the 
regulations of the Department of Transportation, is required to be 
marked or placarded with one of the following classifications:
    (i) Division 1.1
    (ii) Division 1.2, or Division 1.3
    (iii) Division 2.3 Poison gas
    (iv) Division 4.3
    (v) Class 7
    (vi) Class 3 Flammable
    (vii) Division 5.1
    (viii) Division 2.2
    (ix) Division 2.3 Chlorine
    (x) Division 6.1 Poison
    (xi) Division 2.2 Oxygen
    (xii) Division 2.1
    (xiii) Class 3 Combustible liquid
    (xiv) Division 4.1

[[Page 895]]

    (xv) Division 5.1
    (xvi) Division 5.2
    (xvii) Class 8
    (xviii) Division 1.4
    (4) Every cargo tank motor vehicle, whether loaded or empty, used 
for the transportation of any hazardous material as defined in the 
Hazardous Materials Regulations of the Department of Transportation, 
Parts 107 through 180 of this title.
    (5) Every cargo tank motor vehicle transporting a commodity which at 
the time of loading has a temperature above its flashpoint as determined 
by Sec. 173.120 of this title.
    (6) Every cargo tank motor vehicle, whether loaded or empty, 
transporting any commodity under exemption in accordance with the 
provisions of subpart B of part 107 of this title.
    (b) A stop need not be made at:
    (1) A streetcar crossing, or railroad tracks used exclusively for 
industrial switching purposes, within a business district, as defined in 
Sec. 390.5 of this chapter.
    (2) A railroad grade crossing when a police officer or crossing 
flagman directs traffic to proceed,
    (3) A railroad grade crossing controlled by a functioning highway 
traffic signal transmitting a green indication which, under local law, 
permits the commercial motor vehicle to proceed across the railroad 
tracks without slowing or stopping.
    (4) An abandoned railroad grade crossing which is marked with a sign 
indicating that the rail line is abandoned,
    (5) An industrial or spur line railroad grade crossing marked with a 
sign reading ``Exempt.'' Such ``Exempt'' signs shall be erected only by 
or with the consent of the appropriate State or local authority.

(Sec. 12, 80 Stat. 931; 49 U.S.C. 1651 note; 49 U.S.C. 304, 1655; 49 CFR 
1.48(b) and 301.60)

[33 FR 19732, Dec. 25, 1968, as amended at 35 FR 7801, May 21, 1970; 38 
FR 1589, Jan. 16, 1973; 40 FR 44555, Sept. 29, 1975; 45 FR 46424, July 
10, 1980; 47 FR 47837, Oct. 28, 1982; 59 FR 63924, Dec. 12, 1994; 60 FR 
38746, 38747, July 28, 1995]



Sec. 392.11  Railroad grade crossings; slowing down required.

    Every commercial motor vehicle other than those listed in 
Sec. 392.10 shall, upon approaching a railroad grade crossing, be driven 
at a rate of speed which will permit said commercial motor vehicle to be 
stopped before reaching the nearest rail of such crossing and shall not 
be driven upon or over such crossing until due caution has been taken to 
ascertain that the course is clear.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]



Secs. 392.12-392.13  [Reserved]



Sec. 392.14  Hazardous conditions; extreme caution.

    Extreme caution in the operation of a commercial motor vehicle shall 
be exercised when hazardous conditions, such as those caused by snow, 
ice, sleet, fog, mist, rain, dust, or smoke, adversely affect visibility 
or traction. Speed shall be reduced when such conditions exist. If 
conditions become sufficiently dangerous, the operation of the 
commercial motor vehicle shall be discontinued and shall not be resumed 
until the commercial motor vehicle can be safely operated. Whenever 
compliance with the foregoing provisions of this rule increases hazard 
to passengers, the commercial motor vehicle may be operated to the 
nearest point at which the safety of passengers is assured.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]



Sec. 392.15  [Reserved]



Sec. 392.16  Use of seat belts.

    A commercial motor vehicle which has a seat belt assembly installed 
at the driver's seat shall not be driven unless the driver has properly 
restrained himself/herself with the seat belt assembly.

[35 FR 10860, July 3, 1970, as amended at 60 FR 38747, July 28, 1995]

[[Page 896]]



Sec. 392.18  [Reserved]



              Subpart C--Stopped Commercial Motor Vehicles



Secs. 392.20-392.21  [Reserved]



Sec. 392.22  Emergency signals; stopped commercial motor vehicles.

    (a) Hazard warning signal flashers. Whenever a commercial motor 
vehicle is stopped upon the traveled portion of a highway or the 
shoulder of a highway for any cause other than necessary traffic stops, 
the driver of the stopped commercial motor vehicle shall immediately 
activate the vehicular hazard warning signal flashers and continue the 
flashing until the driver places the warning devices required by 
paragraph (b) of this section. The flashing signals shall be used during 
the time the warning devices are picked up for storage before movement 
of the commercial motor vehicle. The flashing lights may be used at 
other times while a commercial motor vehicle is stopped in addition to, 
but not in lieu of, the warning devices required by paragraph (b) of 
this section.
    (b) Placement of warning devices--(1) General rule. Except as 
provided in paragraph (b)(2) of this section, whenever a commercial 
motor vehicle is stopped upon the traveled portion or the shoulder of a 
highway for any cause other than necessary traffic stops, the driver 
shall, as soon as possible, but in any event within 10 minutes, place 
the warning devices required by Sec. 393.95 of this subchapter, in the 
following manner:
    (i) One on the traffic side of and 4 paces (approximately 3 meters 
or 10 feet) from the stopped commercial motor vehicle in the direction 
of approaching traffic;
    (ii) One at 40 paces (approximately 30 meters or 100 feet) from the 
stopped commercial motor vehicle in the center of the traffic lane or 
shoulder occupied by the commercial motor vehicle and in the direction 
of approaching traffic; and
    (iii) One at 40 paces (approximately 30 meters or 100 feet) from the 
stopped commercial motor vehicle in the center of the traffic lane or 
shoulder occupied by the commercial motor vehicle and in the direction 
away from approaching traffic.
    (2) Special rules--(i) Fusees and liquid-burning flares. The driver 
of a commercial motor vehicle equipped with only fusees or liquid-
burning flares shall place a lighted fusee or liquid-burning flare at 
each of the locations specified in paragraph (b)(1) of this section. 
There shall be at least one lighted fusee or liquid-burning flare at 
each of the prescribed locations, as long as the commercial motor 
vehicle is stopped. Before the stopped commercial motor vehicle is 
moved, the driver shall extinguish and remove each fusee or liquid-
burning flare.
    (ii) Daylight hours. Except as provided in paragraph (b)(2)(iii) of 
this section, during the period lighted lamps are not required, three 
bidirectional reflective triangles, or three lighted fusees or liquid-
burning flares shall be placed as specified in paragraph (b)(1) of this 
section within a time of 10 minutes. In the event the driver elects to 
use only fusees or liquid-burning flares in lieu of bidirectional 
reflective triangles or red flags, the driver must ensure that at least 
one fusee or liquid-burning flare remains lighted at each of the 
prescribed locations as long as the commercial motor vehicle is stopped 
or parked.
    (iii) Business or residential districts. The placement of warning 
devices is not required within the business or residential district of a 
municipality, except during the time lighted lamps are required and when 
street or highway lighting is insufficient to make a commercial motor 
vehicle clearly discernable at a distance of 500 feet to persons on the 
highway.
    (iv) Hills, curves, and obstructions. If a commercial motor vehicle 
is stopped within 500 feet of a curve, crest of a hill, or other 
obstruction to view, the driver shall place the warning signal required 
by paragraph (b)(1) of this section in the direction of the obstruction 
to view a distance of 100 feet to 500 feet from the stopped commercial 
motor vehicle so as to afford ample warning to other users of the 
highway.
    (v) Divided or one-way roads. If a commercial motor vehicle is 
stopped upon the traveled portion or the shoulder of

[[Page 897]]

a divided or one-way highway, the driver shall place the warning devices 
required by paragraph (b)(1) of this section, one warning device at a 
distance of 200 feet and one warning device at a distance of 100 feet in 
a direction toward approaching traffic in the center of the lane or 
shoulder occupied by the commercial motor vehicle. He/she shall place 
one warning device at the traffic side of the commercial motor vehicle 
within 10 feet of the rear of the commercial motor vehicle.
    (vi) Leaking, flammable material. If gasoline or any other flammable 
liquid, or combustible liquid or gas seeps or leaks from a fuel 
container or a commercial motor vehicle stopped upon a highway, no 
emergency warning signal producing a flame shall be lighted or placed 
except at such a distance from any such liquid or gas as will assure the 
prevention of a fire or explosion.

[37 FR 17175, Aug. 25, 1972, as amended at 40 FR 10685, Mar. 7, 1975; 47 
FR 47837, Oct. 28, 1982; 48 FR 57139, Dec. 23, 1983; 59 FR 34711, July 
6, 1994; 60 FR 38747, July 28, 1995; 63 FR 33279, June 18, 1998]



Sec. 392.24  Emergency signals; flame-producing.

    No driver shall attach or permit any person to attach a lighted 
fusee or other flame-producing emergency signal to any part of a 
commercial motor vehicle.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]



Sec. 392.25  Flame producing devices.

    No driver shall use or permit the use of any flame-producing 
emergency signal for protecting any commercial motor vehicle 
transporting Division 1.1, Division 1.2, or Division 1.3 explosives; any 
cargo tank motor vehicle used for the transportation of any Class 3 or 
Division 2.1, whether loaded or empty; or any commercial motor vehicle 
using compressed gas as a motor fuel. In lieu thereof, emergency 
reflective triangles, red electric lanterns, or red emergency reflectors 
shall be used, the placement of which shall be in the same manner as 
prescribed in Sec. 392.22(b).

[59 FR 63925, Dec. 12, 1994, as amended at 60 FR 38747, July 28, 1995]



             Subpart D--Use of Lighted Lamps and Reflectors



Secs. 392.30-392.32  [Reserved]



Sec. 392.33  Obscured lamps or reflectors.

    No commercial motor vehicle shall be driven when any of the required 
lamps or reflectors are obscured by the tailboard, by any part of the 
load, by dirt, or otherwise.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]



             Subpart E--License Revocation; Duties of Driver



Secs. 392.40-392.41  [Reserved]



                     Subpart F--Fueling Precautions



Sec. 392.50  Ignition of fuel; prevention.

    No driver or any employee of a motor carrier shall:
    (a) Fuel a commercial motor vehicle with the engine running, except 
when it is necessary to run the engine to fuel the commercial motor 
vehicle;
    (b) Smoke or expose any open flame in the vicinity of a commercial 
motor vehicle being fueled;
    (c) Fuel a commercial motor vehicle unless the nozzle of the fuel 
hose is continuously in contact with the intake pipe of the fuel tank;
    (d) Permit, insofar as practicable, any other person to engage in 
such activities as would be likely to result in fire or explosion.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]



Sec. 392.51  Reserve fuel; materials of trade.

    Small amounts of fuel for the operation or maintenance of a 
commercial motor vehicle (including its auxiliary equipment) may be 
designated as materials of trade (see 49 CFR 171.8).
    (a) The aggregate gross weight of all materials of trade on a motor 
vehicle may not exceed 200 kg (440 pounds).
    (b) Packaging for gasoline must be made of metal or plastic and 
conform to requirements of 49 CFR Parts 171, 172, 173, and 178 or 
requirements of the

[[Page 898]]

Occupational Safety and Health Administration contained in 29 CFR 
1910.106.
    (c) For Packing Group II (including gasoline), Packing Group III 
(including aviation fuel and fuel oil), or ORM-D, the material is 
limited to 30 kg (66 pounds) or 30 L (8 gallons).
    (d) For diesel fuel, the capacity of the package is limited to 450 L 
(119 gallons).
    (e) A Division 2.1 material in a cylinder is limited to a gross 
weight of 100 kg (220 pounds). (A Division 2.1 material is a flammable 
gas, including liquefied petroleum gas, butane, propane, liquefied 
natural gas, and methane).

[63 FR 33279, June 18, 1998]



Sec. 392.52  [Reserved]



                     Subpart G--Prohibited Practices



Sec. 392.60  Unauthorized persons not to be transported.

    (a) Unless specifically authorized in writing to do so by the motor 
carrier under whose authority the commercial motor vehicle is being 
operated, no driver shall transport any person or permit any person to 
be transported on any commercial motor vehicle other than a bus. When 
such authorization is issued, it shall state the name of the person to 
be transported, the points where the transportation is to begin and end, 
and the date upon which such authority expires. No written 
authorization, however, shall be necessary for the transportation of:
    (1) Employees or other persons assigned to a commercial motor 
vehicle by a motor carrier;
    (2) Any person transported when aid is being rendered in case of an 
accident or other emergency;
    (3) An attendant delegated to care for livestock.
    (b) This section shall not apply to the operation of commercial 
motor vehicles controlled and operated by any farmer and used in the 
transportation of agricultural commodities or products thereof from his/
her farm or in the transportation of supplies to his/her farm.

[60 FR 38747, July 28, 1995]



Sec. 392.61  [Reserved]



Sec. 392.62  Safe operation, buses.

    No person shall drive a bus and a motor carrier shall not require or 
permit a person to drive a bus unless--
    (a) All standees on the bus are rearward of the standee line or 
other means prescribed in Sec. 393.90 of this subchapter;
    (b) All aisle seats in the bus conform to the requirements of 
Sec. 393.91 of this subchapter; and
    (c) Baggage or freight on the bus is stowed and secured in a manner 
which assures--
    (1) Unrestricted freedom of movement to the driver and his proper 
operation of the bus;
    (2) Unobstructed access to all exits by any occupant of the bus; and
    (3) Protection of occupants of the bus against injury resulting from 
the falling or displacement of articles transported in the bus.

[63 FR 33278, June 18, 1998]



Sec. 392.63  Towing or pushing loaded buses.

    No disabled bus with passengers aboard shall be towed or pushed; nor 
shall any person use or permit to be used a bus with passengers aboard 
for the purpose of towing or pushing any disabled motor vehicle, except 
in such circumstances where the hazard to passengers would be increased 
by observance of the foregoing provisions of this section, and then only 
in traveling to the nearest point where the safety of the passengers is 
assured.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]



Sec. 392.64  Riding within closed commercial motor vehicles without proper exits.

    No person shall ride within the closed body of any commercial motor 
vehicle unless there are means on the inside thereof of obtaining exit. 
Said means shall be in such condition as to permit ready operation by 
the occupant.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]

[[Page 899]]



Sec. 392.65  [Reserved]



Sec. 392.66  Carbon monoxide; use of commercial motor vehicle when detected.

    (a) No person shall dispatch or drive any commercial motor vehicle 
or permit any passengers thereon, when the following conditions are 
known to exist, until such conditions have been remedied or repaired:
    (1) Where an occupant has been affected by carbon monoxide;
    (2) Where carbon monoxide has been detected in the interior of the 
commercial motor vehicle;
    (3) When a mechanical condition of the commercial motor vehicle is 
discovered which would be likely to produce a hazard to the occupants by 
reason of carbon monoxide.
    (b) [Reserved]

[60 FR 38747, July 28, 1995]



Sec. 392.67  Heater, flame-producing; on commercial motor vehicle in motion.

    No open flame heater used in the loading or unloading of the 
commodity transported shall be in operation while the commercial motor 
vehicle is in motion.

[33 FR 19732, Dec. 25, 1968, as amended at 60 FR 38747, July 28, 1995]



Secs. 392.68-392.69  [Reserved]



Sec. 392.71  Radar detectors; use and/or possession.

    (a) No driver shall use a radar detector in a commercial motor 
vehicle, or operate a commercial motor vehicle that is equipped with or 
contains any radar detector.
    (b) No motor carrier shall require or permit a driver to violate 
paragraph (a) of this section.

[58 FR 67375, Dec. 21, 1993]



PART 393--PARTS AND ACCESSORIES NECESSARY FOR SAFE OPERATION--Table of Contents




                           Subpart A--General

Sec.
393.1  Scope of the rules of this part.
393.3  Additional equipment and accessories.
393.5  Definitions.
393.7  Matter incorporated by reference.

    Subpart B--Lighting Devices, Reflectors, and Electrical Equipment

393.9  Lamps operable.
393.11  Lighting devices and reflectors.
393.13  Retroreflective sheeting and reflex reflectors, requirements for 
          semitrailers and trailers manufactured before December 1, 
          1993.
393.17  Lamps and reflectors--combinations in driveaway-towaway 
          operation.
393.19  Requirements for turn signaling systems.
393.20  Clearance lamps to indicate extreme width and height.
393.22  Combination of lighting devices and reflectors.
393.23  Lighting devices to be electric.
393.24  Requirements for head lamps and auxiliary road lighting lamps.
393.25  Requirements for lamps other than head lamps.
393.26  Requirements for reflectors.
393.27  Wiring specifications.
393.28  Wiring to be protected.
393.29  Grounds.
393.30  Battery installation.
393.31  Overload protective devices.
393.32  Detachable electrical connections.
393.33  Wiring, installation.

                            Subpart C--Brakes

393.40  Required brake systems.
393.41  Parking brake system.
393.42  Brakes required on all wheels.
393.43  Breakaway and emergency braking.
393.44  Front brake lines, protection.
393.45  Brake tubing and hose, adequacy.
393.46  Brake tubing and hose connections.
393.47  Brake lining.
393.48  Brakes to be operative.
393.49  Single valve to operate all brakes.
393.50  Reservoirs required.
393.51  Warning devices and gauges.
393.52  Brake performance.
393.53  Automatic brake adjusters and brake adjustment indicators.
393.55  Antilock brake systems.

               Subpart D--Glazing and Window Construction

393.60  Glazing in specified openings.
393.61  Window construction.
393.62  Window obstructions.
393.63  Windows, markings.

                         Subpart E--Fuel Systems

393.65  All fuel systems.
393.67  Liquid fuel tanks.
393.69  Liquefied petroleum gas systems.

[[Page 900]]

             Subpart F--Coupling Devices and Towing Methods

393.70  Coupling devices and towing methods, except for driveaway-
          towaway operations.
393.71  Coupling devices and towing methods, driveaway-towaway 
          operations.

             Subpart G--Miscellaneous Parts and Accessories

393.75  Tires.
393.76  Sleeper berths.
393.77  Heaters.
393.78  Windshield wipers.
393.79  Defrosting device.
393.80  Rear-vision mirrors.
393.81  Horn.
393.82  Speedometer.
393.83  Exhaust systems.
393.84  Floors.
393.85  [Reserved]
393.86  Rear impact guards and rear end protection.
393.87  Flags on projecting loads.
393.88  Television receivers.
393.89  Buses, driveshaft protection.
393.90  Buses, standee line or bar.
393.91  Buses, aisle seats prohibited.
393.92  Buses, marking emergency doors.
393.93  Seats, seat belt assemblies, and seat belt assembly anchorages.
393.94  Vehicle interior noise levels.

                     Subpart H--Emergency Equipment

393.95  Emergency equipment on all power units.

         Subpart I--Protection Against Shifting or Falling Cargo

393.100  General rules for protection against shifting or falling cargo.
393.102  Securement systems.
393.104  Blocking and bracing.
393.106  Front-end structure.

   Subpart J--Frames, Cab and Body Components, Wheels, Steering, and 
                           Suspension Systems

393.201  Frames.
393.203  Cab and body components.
393.205  Wheels.
393.207  Suspension systems.
393.209  Steering wheel systems.

    Authority: Sec. 1041(b) of Pub. L. 102-240, 105 Stat. 1914, 1993 
(1991); 49 U.S.C. 31136 and 31502; 49 CFR 1.48.

    Source: 33 FR 19735, Dec. 25, 1968, unless otherwise noted.



                           Subpart A--General

    Source: 53 FR 49384, Dec. 7, 1988, unless otherwise noted.



Sec. 393.1  Scope of the rules of this part.

    Every employer and employee shall comply and be conversant with the 
requirements and specifications of this part. No employer shall operate 
a commercial motor vehicle, or cause or permit it to be operated, unless 
it is equipped in accordance with the requirements and specifications of 
this part.

[54 FR 48617, Nov. 24, 1989]



Sec. 393.3  Additional equipment and accessories.

    Nothing contained in this subchapter shall be construed to prohibit 
the use of additional equipment and accessories, not inconsistent with 
or prohibited by this subchapter, provided such equipment and 
accessories do not decrease the safety of operation of the motor 
vehicles on which they are used.



Sec. 393.5  Definitions.

    As used in this part, the following words and terms are construed to 
mean:
    Agricultural commodity trailer. A trailer that is designed to 
transport bulk agricultural commodities in off-road harvesting sites and 
to a processing plant or storage location, as evidenced by skeletal 
construction that accommodates harvest containers, a maximum length of 
28 feet, and an arrangement of air control lines and reservoirs that 
minimizes damage in field operations.
    Antilock Brake System or ABS means a portion of a service brake 
system that automatically controls the degree of rotational wheel slip 
during braking by:
    (1) Sensing the rate of angular rotation of the wheels;
    (2) Transmitting signals regarding the rate of wheel angular 
rotation to one or more controlling devices which interpret those 
signals and generate responsive controlling output signals; and
    (3) Transmitting those controlling signals to one or more modulators

[[Page 901]]

which adjust brake actuating forces in response to those signals.
    Brake. An energy conversion mechanism used to stop, or hold a 
vehicle stationary.
    Brake tubing/hose. Metallic brake tubing, nonmetallic brake tubing 
and brake hose are conduits or lines used in a brake system to transmit 
or contain the medium (fluid or vacuum) used to apply the motor 
vehicle's brakes.
    Bus. A vehicle designed to carry more than 15 passengers, including 
the driver.
    Chassis. The load-supporting frame in a truck or trailer, exclusive 
of any appurtenances which might be added to accommodate cargo.
    Clearance lamp. A lamp used on the front and the rear of a motor 
vehicle to indicate its overall width and height.
    Container chassis. A semitrailer of skeleton construction limited to 
a bottom frame, one or more axles, specially built and fitted with 
locking devices for the transport of cargo containers, so that when the 
chassis and container are assembled, the units serve the same function 
as an over the road trailer.
    Converter dolly. A motor vehicle consisting of a chassis equipped 
with one or more axles, a fifth wheel and/or equivalent mechanism, and 
drawbar, the attachment of which converts a semitrailer to a full 
trailer.
    Curb weight. The weight of a motor vehicle with standard equipment, 
maximum capacity of fuel, oil, and coolant; and, if so equipped, air 
conditioning and additional weight of optional engine. Curb weight does 
not include the driver.
    Emergency brake system. A mechanism designed to stop a vehicle after 
a single failure occurs in the service brake system of a part designed 
to contain compressed air or brake fluid or vacuum (except failure of a 
common valve, manifold brake fluid housing or brake chamber housing).
    Fifth wheel. A device mounted on a truck tractor or similar towing 
vehicle (e.g., converter dolly) which interfaces with and couples to the 
upper coupler assembly of a semitrailer.
    Fuel tank fitting. Any removable device affixed to an opening in the 
fuel tank with the exception of the filler cap.
    Grommet. A device that serves as a support and protection to that 
which passes through it.
    Hazard warning signal. Lamps that flash simultaneously to the front 
and rear, on both the right and left sides of a commercial motor 
vehicle, to indicate to an approaching driver the presence of a 
vehicular hazard.
    Head lamps. Lamps used to provide general illumination ahead of a 
motor vehicle.
    Heater. Any device or assembly of devices or appliances used to heat 
the interior of any motor vehicle. This includes a catalytic heater 
which must meet the requirements of Sec. 177.834(1) of this title when 
flammable liquid or gas is transported.
    Heavy hauler trailer. A trailer with one or more of the following 
characteristics:
    (1) Its brake lines are designed to adapt to separation or extension 
of the vehicle frame; or
    (2) Its body consists only of a platform whose primary cargo-
carrying surface is not more than 40 inches above the ground in an 
unloaded condition, except that it may include sides that are designed 
to be easily removable and a permanent ``front-end structure'' as that 
term is used in Section 393.106 of this title.
    Identification lamps. Lamps used to identify certain types of 
commercial motor vehicles.
    Lamp. A device used to produce artificial light.
    Length of a manufactured home. The largest exterior length in the 
traveling mode, including any projections which contain interior space. 
Length does not include bay windows, roof projections, overhangs, or 
eaves under which there is no interior space, nor does it include 
drawbars, couplings or hitches.
    License plate lamp. A lamp used to illuminate the license plate on 
the rear of a motor vehicle.
    Low chassis vehicle. (1) A trailer or semitrailer manufactured on or 
after January 26, 1998, having a chassis which extends behind the 
rearmost point of the rearmost tires and which has a lower rear surface 
that meets the guard width, height, and rear surface requirements of 
Sec. 571.224 in effect on

[[Page 902]]

the date of manufacture, or a subsequent edition.
    (2) A motor vehicle, not described by paragraph (1) of this 
definition, having a chassis which extends behind the rearmost point of 
the rearmost tires and which has a lower rear surface that meets the 
guard configuration requirements of Sec. 393.86(b)(1).
    Manufactured home means a structure, transportable in one or more 
sections, which in the traveling mode, is eight body feet or more in 
width or forty body feet or more in length, or, when erected on site, is 
three hundred twenty or more square feet, and which is built on a 
permanent chassis and designed to be used as a dwelling with or without 
a permanent foundation when connected to the required utilities, and 
includes the plumbing, heating, air-conditioning, and electrical systems 
contained therein. Calculations used to determine the number of square 
feet in a structure will be based on the structure's exterior dimensions 
measured at the largest horizontal projections when erected on site. 
These dimensions will include all expandable rooms, cabinets, and other 
projections containing interior space, but do not include bay windows. 
This term includes all structures which meet the above requirements 
except the size requirements and with respect to which the manufacturer 
voluntarily files a certification pursuant to 24 CFR 3282.13 and 
complies with the standards set forth in 24 CFR part 3280.
    Parking brake system. A brake system used to hold a vehicle 
stationary.
    Play. Any free movement of components.
    Pulpwood trailer. A trailer or semitrailer that is designed 
exclusively for harvesting logs or pulpwood and constructed with a 
skeletal frame with no means for attachment of a solid bed, body, or 
container.
    Rear extremity. The rearmost point on a motor vehicle that falls 
above a horizontal plane located 560 mm (22 inches) above the ground and 
below a horizontal plane located 1,900 mm (75 inches) above the ground 
when the motor vehicle is stopped on level ground; unloaded; its fuel 
tanks are full; the tires (and air suspension, if so equipped) are 
inflated in accordance with the manufacturer's recommendations; and the 
motor vehicle's cargo doors, tailgate, or other permanent structures are 
positioned as they normally are when the vehicle is in motion. 
Nonstructural protrusions such as taillamps, rubber bumpers, hinges and 
latches are excluded from the determination of the rearmost point.
    Reflective material. A material conforming to Federal Specification 
L-S-300, ``Sheeting and Tape, Reflective; Non-exposed Lens, Adhesive 
Backing,'' (September 7, 1965) meeting the performance standard in 
either Table 1 or Table 1A of SAE Standard J594f, ``Reflex Reflectors'' 
(January, 1977).
    Reflex reflector. A device which is used on a vehicle to give an 
indication to an approaching driver by reflected lighted from the lamps 
on the approaching vehicle.
    Saddle-mount. A device, designed and constructed as to be readily 
demountable, used in driveaway-towaway operations to perform the 
functions of a conventional fifth wheel:
    (1) Upper-half. Upper-half of a ``saddle-mount'' means that part of 
the device which is securely attached to the towed vehicle and maintains 
a fixed position relative thereto, but does not include the ``king-
pin;''
    (2) Lower-half. Lower-half of a ``saddle-mount'' means that part of 
the device which is securely attached to the towing vehicle and 
maintains a fixed position relative thereto but does not include the 
``king-pin;'' and
    (3) King-pin. King-pin means that device which is used to connect 
the ``upper-half'' to the ``lower-half'' in such manner as to permit 
relative movement in a horizontal plane between the towed and towing 
vehicles.
    Service brake system. A primary brake system used for slowing and 
stopping a vehicle.
    Side extremity. The outermost point on a side of the motor vehicle 
that is above a horizontal plane located 560 mm (22 inches) above the 
ground, below a horizontal plane located 1,900 mm (75 inches) above the 
ground, and between a transverse vertical plane tangent to the rear 
extremity of the vehicle and a transverse vertical plane located 305 mm 
(12 inches) forward of that plane when the vehicle is unloaded; its fuel 
tanks are full; and the tires (and air

[[Page 903]]

suspension, if so equipped) are inflated in accordance with the 
manufacturer's recommendations. Non-structural protrusions such as 
taillights, hinges and latches are excluded from the determination of 
the outermost point.
    Side marker lamp (Intermediate). A lamp shown to the side of a 
trailer to indicate the approximate middle of a trailer 30 feet or more 
in length.
    Side marker lamps. Lamps used on each side of a trailer to indicate 
its overall length.
    Special purpose vehicle. (1) A trailer or semitrailer manufactured 
on or after January 26, 1998, having work-performing equipment that, 
while the motor vehicle is in transit, resides in or moves through the 
area that could be occupied by the horizontal member of the rear impact 
guard, as defined by the guard width, height and rear surface 
requirements of Sec. 571.224 (paragraphs S5.1.1 through S5.1.3), in 
effect on the date of manufacture, or a subsequent edition.
    (2) A motor vehicle, not described by paragraph (1) of this 
definition, having work-performing equipment that, while the motor 
vehicle is in transit, resides in or moves through the area that could 
be occupied by the horizontal member of the rear impact guard, as 
defined by the guard width, height and rear surface requirements of 
Sec. 393.86(b)(1).
    Steering wheel lash. The condition in which the steering wheel may 
be turned through some part of a revolution without associated movement 
of the front wheels.
    Stop lamps. Lamps shown to the rear of a motor vehicle to indicate 
that the service brake system is engaged.
    Tail lamps. Lamps used to designate the rear of a motor vehicle.
    Turn signals. Lamps used to indicate a change in direction by 
emitting a flashing light on the side of a motor vehicle towards which a 
turn will be made.
    Upper coupler assembly. A structure consisting of an upper coupler 
plate, king-pin and supporting framework which interfaces with and 
couples to a fifth wheel.
    Upper coupler plate. A plate structure through which the king-pin 
neck and collar extend. The bottom surface of the plate contacts the 
fifth wheel when coupled.
    Wheels back vehicle. (1) A trailer or semitrailer manufactured on or 
after January 26, 1998, whose rearmost axle is permanently fixed and is 
located such that the rearmost surface of the tires (of the size 
recommended by the vehicle manufacturer for the rear axle) is not more 
than 305 mm (12 inches) forward of the transverse vertical plane tangent 
to the rear extremity of the vehicle.
    (2) A motor vehicle, not described by paragraph (1) of this 
definition, whose rearmost axle is permanently fixed and is located such 
that the rearmost surface of the tires (of the size recommended by the 
vehicle manufacturer for the rear axle) is not more than 610 mm (24 
inches) forward of the transverse vertical plane tangent to the rear 
extremity of the vehicle.
    Width of a manufactured home. The largest exterior width in the 
traveling mode, including any projections which contain interior space. 
Width does not include bay windows, roof projections, overhangs, or 
eaves under which there is no interior space.

[53 FR 49384, Dec. 7, 1988, as amended at 63 FR 8339, Feb. 18, 1998; 63 
FR 24465, May 4, 1998; 64 FR 47707, Sept. 1, 1999]



Sec. 393.7  Matter incorporated by reference.

    (a) Incorporation by reference. Part 393 includes references to 
certain matter or materials. The text of the materials is not included 
in the regulations contained in part 393. The materials are hereby made 
a part of the regulations in part 393. The Director of the Federal 
Register has approved the materials incorporated by reference in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. For materials subject 
to change, only the specific version approved by the Director of the 
Federal Register and specified in the regulation are incorporated. 
Material is incorporated as it exists on the date of the approval and a 
notice of any change in these materials will be published in the Federal 
Register.
    (b) Availability. The materials incorporated by reference are 
available as follows:

[[Page 904]]

    (1) Standards of the Underwriters Laboratories, Inc. Information and 
copies may be obtained by writing to: Underwriters Laboratories, Inc., 
333 Pfingsten Road, Northbrook, Illinois 60062.
    (2) Specifications of the American Society for Testing and 
Materials. Information and copies may be obtained by writing to: 
American Society for Testing and Materials, 1916 Race Street, 
Philadelphia, Pennsylvania 19103.
    (3) Specifications of the National Association of Chain 
Manufacturers. Information and copies may be obtained by writing to: 
National Association of Chain Manufacturers, P.O. Box 3143, York, 
Pennsylvania 17402-0143.
    (4) Specifications of the Web Sling and Tiedown Association. 
Information and copies may be obtained by writing to: Web Sling and 
Tiedown Association, Inc., 710 East Ogden Avenue, suite 113, Naperville, 
Illinois 60563.
    (5) Manuals of the Wire Rope Technical Board. Information and copies 
may be obtained by writing to: Wire Rope Technical Committee, P.O. Box 
849, Stevensville, Maryland 21666.
    (6) Standards of the Cordage Institute. Information and copies may 
be obtained by writing to: Cordage Institute, 350 Lincoln Street, No. 
115, Hingham, Massachusetts 02043.
    (7)-(9)  [Reserved]
    (10) All of the materials incorporated by reference are available 
for inspection at:
    (i) The Department of Transportation Library, 400 Seventh Street, 
SW., Washington, DC 20590 in room 2200. These documents are also 
available for inspection and copying as provided in 49 CFR part 7, 
appendix D; and
    (ii) The Office of the Federal Register, 800 North Capitol Street, 
NW., suite 700, Washington, DC.

[59 FR 34712, July 6, 1994, as amended at 59 FR 34718, July 6, 1994]



    Subpart B--Lighting Devices, Reflectors, and Electrical Equipment



Sec. 393.9  Lamps operable.

    All lamps required by this subpart shall be capable of being 
operated at all times.

(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)

[47 FR 47837, Oct. 28, 1982]



Sec. 393.11  Lighting devices and reflectors.

    The following Table 1 sets forth the required color, position, and 
required lighting devices by type of commercial motor vehicle. Diagrams 
illustrating the locations of lighting devices and reflectors, by type 
and size of commercial motor vehicle, are shown immediately following 
Table 1. All lighting devices on motor vehicles placed in operation 
after March 7, 1989, must meet the requirements of 49 CFR 571.108 in 
effect at the time of manufacture of the vehicle. Motor vehicles placed 
in operation on or before March 7, 1989, must meet either the 
requirements of this subchapter or part 571 of this title in effect at 
the time of manufacture.

[[Page 905]]



                                                Table 1.--Required Commercial Vehicle Lighting Equipment
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                              Height above road
                                                                                                              surface in inches
       Item on the vehicle            Quantity           Color            Location            Position        measured from the     Required lighting
                                                                                                             center of the lamp      devices/vehicles
                                                                                                               at curb weight
--------------------------------------------------------------------------------------------------------------------------------------------------------
Headlamps.......................  2 At Least......  White.........  Front..............  On the front at     Not less than 22    A, B, C
                                                                                          the same height,    nor more than 54.
                                                                                          an equal number
                                                                                          at each side of
                                                                                          the vertical
                                                                                          centerline as far
                                                                                          apart as
                                                                                          practicable.
Turn Signal (Front) See           2...............  Amber.........  At or Near Front...  One on each side    Not less than 15    A, B, C
 Footnotes #2 & 12.                                                                       of the vertical     nor more than 83.
                                                                                          centerline at the
                                                                                          same height and
                                                                                          as far apart as
                                                                                          practicable.
Identification Lamp (Front)       3...............  Amber.........  Front..............  Mounted on the      All three on same   B, C
 Footnote #1.                                                                             vertical            level as close as
                                                                                          centerline of the   practicable to
                                                                                          vehicle or the      the top of the
                                                                                          vertical            vehicle with lamp
                                                                                          centerline of the   centers spaced
                                                                                          cab where           not less than 6
                                                                                          different from      inches or more
                                                                                          the centerline of   than 12 inches
                                                                                          the vehicle.        apart.
Tail Lamp See Footnotes #5 & 11.  2...............  Red...........  Rear...............  One lamp each side  Both on the same    A, B, C, D, E, F, G, H
                                                                                          of the vertical     level between 15
                                                                                          centerline at the   and 72.
                                                                                          same height and
                                                                                          as far apart as
                                                                                          practicable.
Stop Lamp See Footnotes #5 & 13.  2...............  Red...........  Rear...............  One lamp each side  Both on the same    A, B, C, D, E, F, G
                                                                                          of the vertical     level between 15
                                                                                          centerline at the   and 72.
                                                                                          same height and
                                                                                          as far apart as
                                                                                          practicable.
Clearance Lamps See Footnotes     2...............  Amber.........  One on each side of  One on each side    Both on same level  B, C, D, G, H
 #9, 10, & 15.                                                       front.               of the vertical     as high as
                                                                                          centerline to       practicable.
                                                                                          indicate width.
                                  2...............  Red...........  One on each side of  One on each side    Both on same level  B, D, G, H
                                                                     rear.                of the vertical     as high as
                                                                                          centerline to       practicable.
                                                                                          indicate overall
                                                                                          width.
Side Marker Lamp, Intermediate..  2...............  Amber.........  One on each side...  At or near          Not less than 15..  A, B, D, F, G
                                                                                          midpoint between
                                                                                          front and rear
                                                                                          side marker
                                                                                          lamps, if over 30
                                                                                          in length.
Reflex Reflector Intermediate     2...............  Amber.........  One on each side...  At or near          Between 15 and 60.  A, B, D, F, G
 (Side).                                                                                  midpoint between
                                                                                          front and rear
                                                                                          side reflectors
                                                                                          if over 30 in
                                                                                          length.
Reflex Reflector (Rear) See       2...............  Red...........  Rear...............  One on each side    Both on same        A, B, C, D, E, F, G
 Footnotes #5, 6, & 8.                                                                    of vertical         level, between 15
                                                                                          centerline, as      and 60.
                                                                                          far apart as
                                                                                          practicable.
Reflex Reflector (Rear Side)      2...............  Red...........  One on each side     As far to the rear  Both on same        A, B, D, F, G
 Footnote #4.                                                        (rear).              as practicable.     level, between 15
                                                                                                              and 60.
Reflex Reflector (Front Side)...  2...............  Amber.........  One on each side     As far to the       Between 15 and 60.  A, B, C, D, F, G
                                                                     (front).             front as
                                                                                          practicable.
License Plate Lamp Rear See       1...............  White.........  At rear license      To illuminate the   No requirements...  A, B, C, D, F, G
 Footnote #11.                                                       plate.               license plate
                                                                                          from the top or
                                                                                          sides.
Side Marker Lamp (Front)........  2...............  Amber.........  One on each side...  As far to the       Not less than 15..  A, B, C, D, F
                                                                                          front as
                                                                                          practicable.
Side Marker Lamp (Rear) See       2...............  Red...........  One on each side...  As far to the rear  Not less than 15    A, B, D, F, G
 Footnotes #4 & 8.                                                                        as practicable.     and on the rear
                                                                                                              of trailer, not
                                                                                                              more than 60.
Turn Signal (Rear) See Footnotes  2...............  Amber or Red..  Rear...............  One lamp on each    Both on the same    A, B, C, D, E, F, G
 #5 & 12.                                                                                 side of the         level, between 15
                                                                                          vertical            and 83.
                                                                                          centerline as far
                                                                                          apart as
                                                                                          practicable.

[[Page 906]]

 
Identification Lamp (Rear) See    3...............  Red...........  Rear...............  One as close as     All three on same   B, D, G
 Footnotes #3, 7 & 15.                                                                    practicable to      level as close as
                                                                                          vertical            practicable to
                                                                                          centerline. One     the top of the
                                                                                          on each side with   vehicle.
                                                                                          lamp centers
                                                                                          spaced not less
                                                                                          than 6" or more
                                                                                          than 12" apart.
Vehicular Hazard Warning          2...............  Amber.........  Front..............  One lamp on each    Both on same        A, B, C, D, E, F, G
 Flashing Lamps See Footnote #12.                                                         side of vertical    level, between 15
                                                                                          centerline as far   and 83.
                                                                                          apart as
                                                                                          practicable.
                                  2...............  Amber or Red..  Rear...............    ................    ................
Backup Lamp See Footnote #14....  1...............  White.........  Rear...............  Rear..............  No requirement....  A, B, C
Parking Lamp....................  2...............  Amber or white  Front..............  One lamp on each    Both on same        A
                                                                                          side of vertical    level, between 15
                                                                                          centerline as far   and 72.
                                                                                          apart as
                                                                                          practicable.
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Lighting Required per Type of Commercial Vehicle as Shown Last Column of Table.
 
A. Small buses and trucks less than 80 inches in overall width.
B. Buses and trucks 80 inches or more in overall width.
C. Truck Tractors.
D. Large semitrailers and full trailers 80 inches or more in overall width except converter dollies.
E. Converter dolly.
F. Small semitrailers and full trailers less than 80 inches in overall width.
G. Pole Trailers.
H. Projecting loads.
Lamps and reflectors may be combined as permitted by Paragraphs 393.22 and S4.4 of 49 CFR 571.108, Equipment combinations.



[[Page 907]]

Footnote--1
    Identification lamps may be mounted on the vertical centerline of 
the cab where different from the centerline of the vehicle, except where 
the cab is not more than 42 inches wide at the front roofline, then a 
single lamp at the center of the cab shall be deemed to comply with the 
requirements for identification lamps. No part of the identification 
lamps or their mountings may extend below the top of the vehicle 
windshield.

Footnote--2
    Unless the turn signals on the front are so constructed (double-
faced) and located as to be visible to passing drivers, two turn signals 
are required on the rear of the truck tractor, one at each side as far 
apart as practicable.

Footnote--3
    The identification lamps need not be visible or lighted if obscured 
by a vehicle in the same combination.

Footnote--4
    Any semitrailer or full trailer vehicles manufactured on and after 
March 1, 1979, shall be equipped with rear side-marker lamps at a height 
of not less than 15 inches (381 mm) nor more than 60 inches (1524 mm) 
above the road surface, as measured from the center of the lamp on the 
vehicle at curb weight. The rear side marker lamps shall be visible in 
the vehicle's rearview mirrors when the trailer is tracking straight.

Footnote--5
    For purposes of these regulations, each converter dolly shall be 
equipped with one stop lamp, one tail lamp, and two reflectors on the 
rear at each side when towed singly by another vehicle. Each converter 
dolly shall be equipped with turn signals at the rear if the converter 
dolly obscures the turn signals at the rear of the towing vehicle when 
towed singly by another vehicle.

Footnote--6
    Pole trailers will have two reflectors, one on each side, placed to 
indicate extreme width of the trailer.

Footnote--7
    Pole trailers may have three identification lamps mounted on the 
vertical centerline of the rear of the cab of the truck tractor drawing 
the pole trailer, and higher than the load being transported, in lieu of 
the three identification lamps mounted on the rear vertical centerline 
of the trailer.

Footnote--8
    Pole trailers shall have on the rearmost support for the load, one 
combination marker lamp or two single lamps showing amber to the front 
and red to the rear and side, mounted on each side to indicate maximum 
width of the pole trailer; and one red reflector on each side of the 
rearmost support for the load.

Footnote--9
    Any motor vehicle transporting a load which extends more than 4 
inches beyond the width of the motor vehicle, or having projections 
beyond the rear of such vehicles, shall be equipped with the following 
lamps in addition to other required lamps, have the loads marked
    Loads projecting more than 4 inches beyond sides of motor vehicles:
    (1) The foremost edge of the projecting load at its outermost 
extremity shall be marked with an amber lamp visible from the front and 
both sides.
    (2) The rearmost edge of the projecting load at its outermost 
extremity shall be marked with a red lamp visible from the rear and 
side.
    (3) If any portion of the projecting load extends beyond both the 
foremost and rearmost edge, it shall be marked with an amber lamp 
visible from the front, both sides, and rear.
    (4) If the protecting load does not measure more than 3 feet from 
front to rear, it shall be marked with an amber lamp visible from the 
front, both sides, and rear, except that if the projection is located at 
or near the rear it shall be marked by a red lamp visible from front, 
side, and rear.

Footnote--10
    Projections beyond rear of motor vehicles. Motor vehicles 
transporting loads which extend more than 4 feet beyond the rear of the 
motor vehicle, or which have these tailboards or tailgates extending 
more than 4 feet beyond the body, shall have projections marked as 
follows:
    (1) On each side of the projecting load, one red lamp, visible from 
the side, located so as to indicate maximum overhang.
    (2) On the rear of the projecting load, two red lamps, visible from 
the rear, one at each side; and two red reflectors visible from the 
rear, one at each side, located so as to indicate maximum width.

Footnote--11
    To be illuminated when tractor headlamps are illuminated.

Footnote--12
    Every bus, truck, and truck tractor shall be equipped with a 
signaling system that, in addition to signaling turning movements, shall 
have a switch or combination of switches that will cause the two front 
turn signals and the two rear signals to flash simultaneously as a 
vehicular traffic signal warning, required by Sec. 392-22(a). The system 
shall be capable of flashing simultaneously with the ignition of the 
vehicle on or off.

Footnote--13
    To be actuated upon application of service brakes.

Footnote--14
    Backup lamp required to operate when bus, truck, or truck tractor is 
in reverse.


[[Page 908]]


Footnote--15
    When the rear identification lamps are mounted at the extreme height 
of a vehicle, rear clearance lamps need not meet the requirement that 
they be located as close as practicable to the top of the vehicle.
[GRAPHIC] [TIFF OMITTED] TC01AP91.017


[[Page 909]]


[GRAPHIC] [TIFF OMITTED] TC01AP91.018


[[Page 910]]


[GRAPHIC] [TIFF OMITTED] TC01AP91.019


[[Page 911]]


[GRAPHIC] [TIFF OMITTED] TC01AP91.020


[[Page 912]]


[GRAPHIC] [TIFF OMITTED] TC01AP91.021


[[Page 913]]


[GRAPHIC] [TIFF OMITTED] TC01AP91.022


[[Page 914]]


[GRAPHIC] [TIFF OMITTED] TC01AP91.023


[[Page 915]]


[GRAPHIC] [TIFF OMITTED] TC01AP91.024


[[Page 916]]


[GRAPHIC] [TIFF OMITTED] TC01AP91.025

                     Legend (Used in Illustrations)

1. Headlamps (2)-White (4 optional)
2. Side-marker lamps. Front (2)-Amber
3. Side reflectors. Front (2)-Amber
4. Turn-signal lamps. Front (2)-Amber
4a. Turn-signal lamps. Front (2)-Amber (Optional location)
5. Identification lamps. Front (3)-Amber
5a. Identification lamps. Front (3)-Amber (Optional location)
6. Clearance lamps. Front (2)-Amber
7. Side-marker lamps. Rear (2)-Red
8. Side-reflectors. Rear (2)-Red
9. Identification lamps. Rear (3)-Red
10. Clearance lamps. Rear (2)-Red
11. Reflectors Rear (2)-Red
12. Stop lamps. Rear (2)-Red
13. License plate lamp. Rear (1)-White
14. Backup lamp. Rear (1)-White (location optional provided optional 
requirements are met)
15. Side-marker lamps. Intermediate (2)-Amber (if vehicle is 30' or more 
overall length)
16. Side reflectors. Intermediate (2)-Amber (if vehicle is 30' or more 
overall length)
17. Turn signal lamps. Rear (2)-Amber or Red
18. Tail lamps. Rear (2)-Red
19. Parking lamps. Front 2-Amber or White

[53 FR 49385, Dec. 7, 1988]



Sec. 393.13  Retroreflective sheeting and reflex reflectors, requirements for semitrailers and trailers manufactured before December 1, 1993.

    (a) Applicability. All trailers and semitrailers manufactured prior 
to December 1, 1993, which have an overall width of 2,032 mm (80 inches) 
or more and a gross vehicle weight rating of 4,536 kg (10,001 pounds) or 
more, except trailers that are manufactured exclusively for use as 
offices or dwellings, pole trailers (as defined in Sec. 390.5), and 
trailers transported in a driveaway-towaway operation, must be equipped 
with retroreflective sheeting or an array of reflex reflectors that meet 
the requirements of this section. Motor carriers have until June 1, 2001 
to comply with the requirements of this section.

[[Page 917]]

    (b) Retroreflective sheeting and reflex reflectors. Motor carriers 
are encouraged to retrofit their trailers with a conspicuity system that 
meets all of the requirements applicable to trailers manufactured on or 
after December 1, 1993, including the use of retroreflective sheeting or 
reflex reflectors in a red and white pattern (see Federal Motor Vehicle 
Safety Standard No. 108 (49 CFR 571.108), S5.7, Conspicuity systems). 
Motor carriers which do not retrofit their trailers to meet the 
requirements of FMVSS No. 108, for example by using an alternative color 
pattern, must comply with the remainder of this paragraph and with 
paragraph (c) or (d) of this section. Retroreflective sheeting or reflex 
reflectors in colors or color combinations other than red and white may 
be used on the sides or lower rear area of the semitrailer or trailer 
until June 1, 2009. The alternate color or color combination must be 
uniform along the sides and lower rear area of the trailer. The 
retroreflective sheeting or reflex reflectors on the upper rear area of 
the trailer must be white and conform to the requirements of FMVSS No. 
108 (S5.7). Red retroreflective sheeting or reflex reflectors shall not 
be used along the sides of the trailer unless it is used as part of a 
red and white pattern. Retroreflective sheeting shall have a width of at 
least 50 mm (2 inches).
    (c) Locations for retroreflective sheeting--(1) Sides. 
Retroreflective sheeting shall be applied to each side of the trailer or 
semitrailer. Each strip of retroreflective sheeting shall be positioned 
as horizontally as practicable, beginning and ending as close to the 
front and rear as practicable. The strip need not be continuous but the 
sum of the length of all of the segments shall be at least half of the 
length of the trailer and the spaces between the segments of the strip 
shall be distributed as evenly as practicable. The centerline for each 
strip of retroreflective sheeting shall be between 375 mm (15 inches) 
and 1,525 mm (60 inches) above the road surface when measured with the 
trailer empty or unladen, or as close as practicable to this area. If 
necessary to clear rivet heads or other similar obstructions, 50 mm (2 
inches) wide retroreflective sheeting may be separated into two 25 mm (1 
inch) wide strips of the same length and color, separated by a space of 
not more than 25 mm (1 inch).
    (2) Lower rear area. The rear of each trailer and semitrailer must 
be equipped with retroreflective sheeting. Each strip of retroreflective 
sheeting shall be positioned as horizontally as practicable, extending 
across the full width of the trailer, beginning and ending as close to 
the extreme edges as practicable. The centerline for each of the strips 
of retroreflective sheeting shall be between 375 mm (15 inches) and 
1,525 mm (60 inches) above the road surface when measured with the 
trailer empty or unladen, or as close as practicable to this area.
    (3) Upper rear area. Two pairs of white strips of retroreflective 
sheeting, each pair consisting of strips 300 mm (12 inches) long, must 
be positioned horizontally and vertically on the right and left upper 
corners of the rear of the body of each trailer and semitrailer, as 
close as practicable to the top of the trailer and as far apart as 
practicable. If the perimeter of the body, as viewed from the rear, is 
not square or rectangular, the strips may be applied along the 
perimeter, as close as practicable to the uppermost and outermost areas 
of the rear of the body on the left and right sides.
    (d) Locations for reflex reflectors.--(1) Sides. Reflex reflectors 
shall be applied to each side of the trailer or semitrailer. Each array 
of reflex reflectors shall be positioned as horizontally as practicable, 
beginning and ending as close to the front and rear as practicable. The 
array need not be continuous but the sum of the length of all of the 
array segments shall be at least half of the length of the trailer and 
the spaces between the segments of the strip shall be distributed as 
evenly as practicable. The centerline for each array of reflex 
reflectors shall be between 375 mm (15 inches) and 1,525 mm (60 inches) 
above the road surface when measured with the trailer empty or unladen, 
or as close as practicable to this area. The center of each reflector 
shall not be more than 100 mm (4 inches)

[[Page 918]]

from the center of each adjacent reflector in the segment of the array. 
If reflex reflectors are arranged in an alternating color pattern, the 
length of reflectors of the first color shall be as close as practicable 
to the length of the reflectors of the second color.
    (2) Lower rear area. The rear of each trailer and semitrailer must 
be equipped with reflex reflectors. Each array of reflex reflectors 
shall be positioned as horizontally as practicable, extending across the 
full width of the trailer, beginning and ending as close to the extreme 
edges as practicable. The centerline for each array of reflex reflectors 
shall be between 375 mm (15 inches) and 1,525 mm (60 inches) above the 
road surface when measured with the trailer empty or unladen, or as 
close as practicable to this area. The center of each reflector shall 
not be more than 100 mm (4 inches) from the center of each adjacent 
reflector in the segment of the array.
    (3) Upper rear area. Two pairs of white reflex reflector arrays, 
each pair at least 300 mm (12 inches) long, must be positioned 
horizontally and vertically on the right and left upper corners of the 
rear of the body of each trailer and semitrailer, as close as 
practicable to the top of the trailer and as far apart as practicable. 
If the perimeter of the body, as viewed from the rear, is not square or 
rectangular, the arrays may be applied along the perimeter, as close as 
practicable to the uppermost and outermost areas of the rear of the body 
on the left and right sides. The center of each reflector shall not be 
more than 100 mm (4 inches) from the center of each adjacent reflector 
in the segment of the array.

[64 FR 15605, Mar. 31, 1999]



Sec. 393.17  Lamps and reflectors--combinations in driveaway-towaway operation.

    A combination of motor vehicles engaged in driveaway-towaway 
operation must be equipped with operative lamps and reflectors 
conforming to the rules in this section.
    (a) The towing vehicle must be equipped as follows:
    (1) On the front, there must be at least two headlamps, an equal 
number at each side, two turn signals, one at each side, and two 
clearance lamps, one at each side.
    (2) On each side, there must be at least one side-marker lamp, 
located near the front of the vehicle.
    (3) On the rear, there must be at least two tail lamps, one at each 
side, and two stop lamps, one at each side.
    (b) Except as provided in paragraph (c) of this section, the 
rearmost towed vehicle of the combination (including the towed vehicle 
or a tow-bar combination, the towed vehicle of a single saddle-mount 
combination, and the rearmost towed vehicle of a double or triple 
saddle-mount combination) or, in the case of a vehicle full-mounted on a 
saddle-mount vehicle, either the full-mounted vehicle or the rearmost 
saddle-mounted vehicle must be equipped as follows:
    (1) On each side, there must be at least one side-marker lamp, 
located near the rear of the vehicle.
    (2) On the rear, there must be at least two tail lamps, two stop 
lamps, two turn signals, two clearance lamps, and two reflectors, one of 
each type at each side. In addition, if any vehicle in the combination 
is 80 inches or more in overall width, there must be three 
identification lamps on the rear.
    (c) If the towed vehicle in a combination is a mobile structure 
trailer, it must be equipped in accordance with the following lighting 
devices. For the purposes of this part, mobile structure trailer means a 
trailer that has a roof and walls, is at least 10 feet wide, and can be 
used off road for dwelling or commercial purposes.
    (1) When the vehicle is operated in accordance with the terms of a 
special permit prohibiting operation during the times when lighted lamps 
are required under Sec. 392.30, it must have on the rear--
    (i) Two stop lamps, one on each side of the vertical centerline, at 
the same height, and as far apart as practicable;
    (ii) Two tail lamps, one on each side of the vertical centerline, at 
the same height, and as far apart as practicable;
    (iii) Two red reflex reflectors, one on each side of the vertical 
centerline, at the same height, and as far apart as practicable; and
    (iv) Two turn signal lamps, one on each side of the vertical 
centerline, at

[[Page 919]]

the same height, and as far apart as practicable.
    (2) At all other times, the vehicle must be equipped as specified in 
paragraph (b) of this section.
    (d) An intermediate towed vehicle in a combination consisting of 
more than two vehicles (including the first saddle-mounted vehicle of a 
double saddle-mount combination and the first and second saddle-mount 
vehicles of a triple saddle-mount combination) must have one side-marker 
lamp on each side, located near the rear of the vehicle.

[[Page 920]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.026


[[Page 921]]


[GRAPHIC] [TIFF OMITTED] TC01AP91.027


(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)
[40 FR 36126, Aug. 19, 1975, as amended at 47 FR 47837, Oct. 28, 1982]



Sec. 393.19  Requirements for turn signaling systems.

    (a) Every bus, truck, or truck tractor shall be equipped with a 
signaling system that in addition to signaling turning movements shall 
have a switch or combination of switches that will cause the two front 
turn signals and the two rear turn signals to flash simultaneously as a 
vehicular traffic hazard warning as required by Sec. 392.22 with the 
ignition on or off.
    (b) Every semitrailer and full trailer shall be equipped so as to 
have the two rear turn signals to flash simultaneously with the two 
front turn signals of the towing vehicle as a vehicular traffic hazard 
warning as required by Sec. 392.22(a).

[53 FR 49397, Dec. 7, 1988]



Sec. 393.20  Clearance lamps to indicate extreme width and height.

    Clearance lamps shall be mounted so as to indicate the extreme width 
of the motor vehicle (not including mirrors) and as near the top thereof 
as practicable: Provided, That when rear identification lamps are 
mounted at the extreme height of the vehicle, rear clearance lamps may 
be mounted at optional height: And provided further, That when mounting 
of front clearance lamps at the highest point of a trailer results in 
such lamps failing to mark the extreme width of the trailer, such lamps 
may be mounted at optional height but must indicate the extreme width of 
the trailer. Clearance lamps on truck tractors shall be so located as to 
indicate the extreme width of the truck tractor cab.

[[Page 922]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.028

Diagram to illustrate Sec. 393.20 for mounting of front clearance lamps 
on truck tractors with sleeper cabs.)
[GRAPHIC] [TIFF OMITTED] TC01AP91.029


[33 FR 19735, Dec. 25, 1968, as amended at 34 FR 6851, Apr. 24, 1969]



Sec. 393.22  Combination of lighting devices and reflectors.

    (a) Permitted combinations. Except as provided in paragraph (b) of 
this section, two or more lighting devices and reflectors (whether or 
not required by the rules in this part) may be combined optically if--
    (1) Each required lighting device and reflector conforms to the 
applicable rules in this part; and
    (2) Neither the mounting nor the use of a nonrequired lighting 
device or reflector impairs the effectiveness of a required lighting 
device or reflector or causes that device or reflector to be 
inconsistent with the applicable rules in this part.
    (b) Prohibited combinations. (1) A turn signal lamp must not be 
combined optically with either a head lamp or other lighting device or 
combination of lighting devices that produces a greater intensity of 
light than the turn signal lamp.
    (2) A turn signal lamp must not be combined optically with a stop 
lamp unless the stop lamp function is always deactivated when the turn 
signal function is activated.

[[Page 923]]

    (3) A clearance lamp must not be combined optically with a tail lamp 
or identification lamp.

[39 FR 26908, July 24, 1974]



Sec. 393.23  Lighting devices to be electric.

    Lighting devices shall be electric, except that red liquid-burning 
lanterns may be used on the end of loads in the nature of poles, pipes, 
and ladders projecting to the rear of the motor vehicle.



Sec. 393.24  Requirements for head lamps and auxiliary road lighting lamps.

    (a) Mounting. Head lamps and auxiliary road lighting lamps shall be 
mounted so that the beams are readily adjustable, both vertically and 
horizontally, and the mounting shall be such that the aim is not readily 
disturbed by ordinary conditions of service.
    (b) Head lamps required. Every bus, truck, and truck tractor shall 
be equipped with a headlighting system composed of at least two head 
lamps, not including fog or other auxiliary lamps, with an equal number 
on each side of the vehicle. The headlighting system shall provide an 
upper and lower distribution of light, selectable at the driver's will.
    (c) Fog, adverse-weather, and auxiliary road-lighting lamps. For the 
purposes of this section, fog, adverse-weather, and auxiliary road 
lighting lamps, when installed, are considered to be a part of the 
headlighting system. Such lamps may be used in lieu of head lamps under 
conditions making their use advisable if there be at least one such lamp 
conforming to the appropriate SAE Standard 1 for such lamps 
on each side of the vehicle.
---------------------------------------------------------------------------

    1  Wherever reference is made in these regulations to SAE 
Standards or SAE Recommended Practices, they shall be:
    (a) As found in the 1985 edition of the SAE Handbook with respect to 
parts and accessories other than lighting devices and reflectors.
    (b) When reference is made in these regulations to SAE Standards or 
SAE Recommended Practices, they shall be as found in the 1985 edition of 
the SAE Handbook:
    (1) With respect to parts and accessories other than lighting 
devices and reflectors:
    (2) Lighting devices and reflectors on motor vehicles manufactured 
on and after March 7, 1990, shall conform to FMVSS 571.108 (49 CFR 
571.108) in effect at the time of manufacture of the vehicle. Should a 
conflict arise between FMVSS 571.108 and a SAE Standard, FMVSS 571.108 
will prevail.
---------------------------------------------------------------------------

    (d) Aiming and intensity. Head lamps shall be constructed and 
installed so as to provide adequate and reliable illumination and shall 
conform to the appropriate specification set forth in the SAE Standards 
1 for ``Electric Head Lamps for Motor Vehicles'' or ``Sealed-
Beam Head Lamp Units for Motor Vehicles.''

[33 FR 19735, Dec. 25, 1968, as amended at 41 FR 53031, Dec. 3, 1976; 53 
FR 49397, Dec. 7, 1988]



Sec. 393.25  Requirements for lamps other than head lamps.

    (a) Mounting. All lamps shall be permanently and securely mounted in 
workmanlike manner on a permanent part of the motor vehicle, except that 
temporary lamps on motor vehicles being transported in driveaway-towaway 
operations and temporary electric lamps on projecting loads need not be 
permanently mounted nor mounted on a permanent part of the vehicle. The 
requirement for three identification lamps on the centerline of a 
vehicle will be met as to location by one lamp on the centerline, with 
the other two at right and left. All temporary lamps must be firmly 
attached.
    (b) Visibility. All required exterior lamps shall be so mounted as 
to be capable of being seen at all distances between 500 feet and 50 
feet under clear atmospheric conditions during the time lamps are 
required to be lighted. The light from front clearance and front 
identification lamps shall be visible to the front, that from sidemarker 
lamps to the side, that from rear clearance, rear identification, and 
tail lamps to the rear, and that from projecting loadmarker lamps from 
those directions required by Sec. 393.11. This shall not be construed to 
apply to lamps on one unit which are obscured by another unit of a 
combination of vehicles.
    (c) Specifications. All required lamps except those already 
installed on vehicles tendered for transportation in

[[Page 924]]

driveaway and towaway operations shall conform to appropriate 
requirements of the SAE Standards and/or Recommended Practices \1\ as 
indicated below, except that the minimum required marking of lamps 
conforming to the 1985 requirements shall be as specified in paragraph 
(d) of this section. Projecting load marker lamps shall conform to the 
requirements for clearance, side-marker, and identification lamps. Turn 
signals shall conform to the requirements for class A, Type I turn 
signals, provided.
---------------------------------------------------------------------------

    \1\ See footnote 1 to Sec. 393.24(c).
---------------------------------------------------------------------------

    (1) Lamps on vehicles made before July 1, 1961, excepting 
replacement lamps as specified in paragraph (c)(2) of this section, 
shall conform to the 1952 requirements.
    (2) Lamps on vehicles made on and after July 1, 1961, and 
replacement lamps installed on and after December 31, 1961, shall 
conform to the 1985 requirements.
    (3) Lamps temporarily attached to vehicles transported in driveaway 
and towaway operations on and after December 31, 1961, shall conform to 
the 1985 requirements.
    (d) Certification and markings. All lamps required to conform to the 
requirements of the SAE Standards \1\ shall be certified by the 
manufacturer or supplier that they do so conform, by markings indicated 
below. The markings in each case shall be visible when the lamp is in 
place on the vehicle.
---------------------------------------------------------------------------

    \1\ See footnote 1 to Sec. 393.24(c).
---------------------------------------------------------------------------

    (1) Stop lamps shall be marked with the manufacturer's or supplier's 
name or trade name and shall be marked ``SAE-S''.
    (2) Turn signal units shall be marked with the manufacturer's or 
supplier's name or trade name and shall be marked ``SAE-AI'' or ``SAE-
I''.
    (3) Tail lamps shall be marked with the manufacturer's or supplier's 
name or trade name and shall be marked ``SAE-T''.
    (4) Clearance, side marker, identification, and projecting load-
marker lamps, except combination lamps, shall be marked with the 
manufacturer's or supplier's name or trade name and shall be marked 
``SAE'' or ``SAE-P''.
    (5) Combination lamps shall be marked with the manufacturer's or 
supplier's name or trade name and shall be marked ``SAE'' followed by 
the appropriate letters indicating the individual lamps combined. The 
letter ``A'', as specified in Sec. 393.26(c), may be included to certify 
that a reflector in the combination conforms to the requirements 
appropriate to such marking. If the letter ``I'' follows the letter 
``A'' immediately the two letters shall be deemed to refer to a turn 
signal unit, as specified in paragraph (d)(2) of this section. 
Combination clearance and side marker lamps may be marked ``SAE-PC''.
    (e) Lighting devices to be steady-burning. All exterior lighting 
devices shall be of the steady-burning type except turn signals on any 
vehicle, stop lamps when used as turn signals, warning lamps on school 
buses when operating as such, and warning lamps on emergency and service 
vehicles authorized by State or local authorities, and except that lamps 
combined into the same shell or housing with any turn signal may be 
turned off by the same switch that turns the signal on for flashing and 
turned on again when the turn signal as such is turned off. This 
paragraph shall not be construed to prohibit the use of vehicular hazard 
warning signal flashers as required by Sec. 392.22 or permitted by 
Sec. 392.18.
    (f) Stop lamp operation. All stop lamps on each motor vehicle or 
combination of motor vehicles shall be actuated upon application of any 
of the service brakes, except that such actuation is not required upon 
activation of the emergency feature of trailer brakes by means of either 
manual or automatic control on the towing vehicle, and except that stop 
lamps on a towing vehicle need not be actuated when service brakes are 
applied to the towed vehicles or vehicles only, and except that no stop 
lamp need be actuated as such when it is in use as a turn signal or when 
it is turned off by the turn signal switch as provided in paragraph (e) 
of this section.

[33 FR 19735, Dec. 25, 1968, as amended at 48 FR 57139, Dec. 28, 1983; 
53 FR 49397, Dec. 7, 1988; 61 FR 1843, Jan. 24, 1996]

[[Page 925]]



Sec. 393.26  Requirements for reflectors.

    (a) Mounting. All required reflectors shall be mounted upon the 
motor vehicle at a height not less than 15 inches nor more than 60 
inches above the ground on which the motor vehicle stands, except that 
reflectors shall be mounted as high as practicable on motor vehicles 
which are so constructed as to make compliance with the 15-inch 
requirement impractical. They shall be so installed as to perform their 
function adequately and reliably, and except for temporary reflectors 
required for vehicles in driveaway-towaway operations, or on projecting 
loads, all reflectors shall be permanently and securely mounted in 
workmanlike manner so as to provide the maximum of stability and the 
minimum likelihood of damage. Required reflectors otherwise properly 
mounted may be securely installed on flexible strapping or belting 
provided that under conditions of normal operation they reflect light in 
the required directions. Required temporary reflectors mounted on motor 
vehicles during the time they are in transit in any driveaway-towaway 
operation must be firmly attached.
    (b) Specifications. All required reflectors except those installed 
on vehicles tendered for transportation in driveaway and towaway 
operations shall comply with FMVSS 571.108 (49 CFR 571.108) in effect at 
the time the vehicle was manufactured or the current FMVSS 571.108 
requirements.
    (c) Certification and markings. All reflectors required to conform 
to the specifications in paragraph (b) shall be certified by the 
manufacturer or supplier that they do so conform, by marking with the 
manufacturer's or supplier's name or trade name and the letters ``SAE-
A''. The marking in each case shall be visible when the reflector is in 
place on the vehicle.
    (d) Retroreflective surfaces. Retroreflective surfaces other than 
required reflectors may be used, provided:
    (1) Designs do not resemble traffic control signs, lights, or 
devices, except that straight edge striping resembling a barricade 
pattern may be used.
    (2) Designs do not tend to distort the length and/or width of the 
motor vehicle.
    (3) Such surfaces shall be at least 3 inches from any required lamp 
or reflector unless of the same color as such lamp or reflector.
    (4) No red color shall be used on the front of any motor vehicle, 
except for display of markings or placards required by Sec. 177.823 of 
this title.
    (5) Retroreflective license plates required by State or local 
authorities may be used.

[33 FR 19735, Dec. 25, 1968, as amended at 35 FR 3167, Feb. 19, 1970; 53 
FR 49397, Dec. 7, 1988]



Sec. 393.27  Wiring specifications.

    (a) Wiring for both low voltage (tension) and high voltage (tension) 
circuits shall be constructed and installed so as to meet design 
requirements. Wiring shall meet or exceed, both mechanically and 
electrically, the following SAE Standards as found in the 1985 edition 
of the SAE Handbook:
    (1) Commercial vehicle engine ignition systems-SAE J557-High Tension 
Ignition Cable.
    (2) Commercial vehicle battery cable-SAE J1127-Jan 80-Battery Cable.
    (3) Other commercial vehicle wiring-SAE J1128-Low Tension Primary 
Cable.
    (b) The source of power and the electrical wiring shall be of such 
size and characteristics as to provide the necessary voltage as the 
design requires to comply with FMVSS 571.108.
    (c) Lamps shall be properly grounded.

    Note: This shall not prohibit the use of the frame or other metal 
parts of a motor vehicle as a return ground system provided truck-
tractor semitrailer/full trailer combinations are electrically 
connected.


[53 FR 49397, Dec. 7, 1988]



Sec. 393.28  Wiring to be protected.

    (a) The wiring shall--
    (1) Be so installed that connections are protected from weather, 
abrasion, road splash, grease, oil, fuel and chafing;
    (2) Be grouped together, when possible, and protected by 
nonconductive tape, braid, or other covering capable of withstanding 
severe abrasion or

[[Page 926]]

shall be protected by being enclosed in a sheath or tube;
    (3) Be properly supported in a manner to prevent chafing;
    (4) Not be so located as to be likely to be charred, overheated, or 
enmeshed in moving parts;
    (5) Not have terminals or splices located above the fuel tank except 
for the fuel sender wiring and terminal; and
    (6) Be protected when passing through holes in metal by a grommet, 
or other means, or the wiring shall be encased in a protective covering.
    (b) The complete wiring system including lamps, junction boxes, 
receptacle boxes, conduit and fittings must be weather resistant.
    (c) Harness connections shall be accomplished by a mechanical means.

[53 FR 49397, Dec. 7, 1988]



Sec. 393.29  Grounds.

    The battery ground and trailer return ground connections on a 
grounded system shall be readily accessible. The contact surfaces of 
electrical connections shall be clean and free of oxide, paint, or other 
nonconductive coating.



Sec. 393.30  Battery installation.

    Every storage battery on every vehicle, unless located in the engine 
compartment, shall be covered by a fixed part of the motor vehicle or 
protected by a removable cover or enclosure. Removable covers or 
enclosures shall be substantial and shall be securely latched or 
fastened. The storage battery compartment and adjacent metal parts which 
might corrode by reason of battery leakage shall be painted or coated 
with an acid-resisting paint or coating and shall have openings to 
provide ample battery ventilation and drainage. Wherever the cable to 
the starting motor passes through a metal compartment, the cable shall 
be protected against grounding by an acid and waterproof insulating 
bushing. Wherever a battery and a fuel tank are both placed under the 
driver's seat, they shall be partitioned from each other, and each 
compartment shall be provided with an independent cover, ventilation, 
and drainage.



Sec. 393.31  Overload protective devices.

    (a) The current to all low tension circuits shall pass through 
overload protective devices except that this requirement shall not be 
applicable to battery-to-starting motor or battery-to-generator 
circuits, ignition and engine control circuits, horn circuits, 
electrically-operated fuel pump circuits, or electric brake circuits.
    (b) Trucks, truck-tractors, and buses meeting the definition of a 
commercial motor vehicle and manufactured after June 30, 1953 shall have 
protective devices for electrical circuits arranged so that:
    (1) The headlamp circuit or circuits shall not be affected by a 
short circuit in any other lighting circuits on the motor vehicle; or
    (2) The protective device shall be an automatic reset overload 
circuit breaker if the headlight circuit is protected in common with 
other circuits.

[33 FR 19735, Dec. 25, 1968, as amended at 53 FR 49397, Dec. 7, 1988]



Sec. 393.32  Detachable electrical connections.

    Electrical wiring between towing and towed vehicles shall be 
contained in a cable or cables or entirely within another substantially 
constructed protective device. All such electrical wiring shall be 
mechanically and electrically adequate and free of short or open 
circuits. Suitable provision shall be made in every such detachable 
connection to afford reasonable assurance against connection in an 
incorrect manner or accidental disconnection. Detachable connections 
made by twisting together wires from the towed and towing units are 
prohibited. Precaution shall be taken to provide sufficient slack in the 
connecting wire or cable to accommodate without damage all normal 
motions of the parts to which they are attached.



Sec. 393.33  Wiring, installation.

    Electrical wiring shall be systematically arranged and installed in 
a workmanlike manner. All detachable wiring, except temporary wiring 
connections for driveaway-towaway operations, shall be attached to posts 
or terminals by means of suitable cable

[[Page 927]]

terminals which conform to the SAE Standard 1 for ``Cable 
Terminals'' or by cable terminals which are mechanically and 
electrically at least equal to such terminals. The number of wires 
attached to any post shall be limited to the number which such post was 
designed to accommodate. The presence of bare, loose, dangling, chafing, 
or poorly connected wires is prohibited.
---------------------------------------------------------------------------

    1  See footnote 1 to Sec. 393.24(c).
---------------------------------------------------------------------------



                            Subpart C--Brakes



Sec. 393.40  Required brake systems.

    (a) General. A bus, truck, truck tractor, or a combination of motor 
vehicles must have brakes adequate to control the movement of, and to 
stop and hold, the vehicle or combination of vehicles.
    (b) Specific systems required. (1) A bus, truck, truck tractor, or 
combination of motor vehicles must have--
    (i) A service brake system that conforms to the requirements of 
Sec. 393.52; and
    (ii) A parking brake system that conforms to the requirements of 
Sec. 393.41.
    (2) A bus, truck, truck tractor, or a combination of motor vehicles 
manufactured on or after July 1, 1973, must have an emergency brake 
system that conforms to the requirements of Sec. 393.52(b) and consists 
of either--
    (i) Emergency features of the service brake system; or
    (ii) A system separate from the service brake system.

A control by which the driver applies the emergency brake system must be 
located so that the driver can readily operate it when he/she is 
properly restrained by any seat belt assembly provided for his/her use. 
The control for applying the emergency brake system may be combined with 
either the control for applying the service brake system or the control 
for applying the parking brake system. However, all three controls may 
not be combined.
    (c) Interconnected systems. (1) If the brake systems specified in 
paragraph (b) of this section are interconnected in any way, they must 
be designed, constructed, and maintained so that, upon the failure of 
any part of the operating mechanism of one or more of the systems 
(except the service brake actuation pedal or valve)--
    (i) The vehicle will have operative brakes; and
    (ii) In the case of a vehicle manufactured on or after July 1, 1973, 
the vehicle will have operative brakes capable of performing as 
specified in Sec. 393.52(b).
    (2) A motor vehicle to which the emergency brake system requirements 
of Federal Motor Vehicle Safety Standard No. 105 (Sec. 571.105 of this 
title) applied at the time of its manufacture conforms to the 
requirements of paragraph (c)(1) of this section if--
    (i) It is maintained in conformity with the emergency brake 
requirements of Standard No. 105 in effect on the date of its 
manufacture; and
    (ii) It is capable of performing as specified in Sec. 393.52(b), 
except upon structural failure of its brake master cylinder body or 
effectiveness indicator body.
    (3) A bus conforms to the requirements of paragraph (c)(1) of this 
section if it meets the requirements of Sec. 393.44 and is capable of 
performing as specified in Sec. 393.52(b).

[36 FR 20297, Oct. 20, 1971, as amended at 37 FR 5251, Mar. 11, 1972]



Sec. 393.41  Parking brake system.

    (a) Every commercial motor vehicle manufactured on and after March 
7, 1990, except an agricultural commodity trailer, converter dolly, 
heavy hauler or pulpwood trailer, shall at all times be equipped with a 
parking brake system adequate to hold the vehicle or combination under 
any condition of loading as required by FMVSS 571.121. An agricultural 
commodity trailer, heavy hauler or pulpwood trailer shall carry 
sufficient chocking blocks to prevent movement when parked.
    (b) The parking brake system shall at all times be capable of being 
applied in conformance with the requirements of paragraph (a) of the 
section by either the driver's muscular effort, or by spring action, or 
by other energy, provided, that if such other energy is depended on for 
application of the parking brake, then an accumulation of such energy 
shall be isolated from any common source and used exclusively for the 
operation of the parking brake.

[[Page 928]]

    (c) The parking brake system shall be held in the applied position 
by energy other than fluid pressure, air pressure, or electric energy. 
The parking brake system shall be such that it cannot be released unless 
adequate energy is available upon release of the parking brake to make 
immediate further application with the required effectiveness.

[34 FR 15418, Oct. 3, 1969, as amended at 53 FR 49398, Dec. 7, 1988]



Sec. 393.42  Brakes required on all wheels.

    (a) Every commercial motor vehicle shall be equipped with brakes 
acting on all wheels.
    (b) Exception. (1) Trucks or truck tractors having three or more 
axles--
    (i) Need not have brakes on the front wheels if the vehicle was 
manufactured before July 25, 1980; or
    (ii) Manufactured between July 24, 1980, and October 27, 1986, must 
be retrofitted to meet the requirements of this section within one year 
from February 26, 1987, if the brake components have been removed.
    (2) Any motor vehicle being towed in a driveaway-towaway operation 
must have operative brakes as may be necessary to ensure compliance with 
the performance requirements of Sec. 393.52. This paragraph is not 
applicable to any motor vehicle towed by means of a tow-bar when any 
other vehicle is full-mounted on such towed motor vehicle or any 
combination of motor vehicles utilizing three or more saddle-mounts. 
(See Sec. 393.71(a)(3).)
    (3) Any full trailer, any semitrailer, or any pole trailer having a 
GVWR of 3,000 pounds or less must be equipped with brakes if the weight 
of the towed vehicle resting on the towing vehicle exceeds 40 percent of 
the GVWR of the towing vehicle.

[[Page 929]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.030

[52 FR 2803, Jan. 27, 1987, as amended at 53 FR 49398, Dec. 7, 1988; 54 
FR 48617, Nov. 24, 1989; 59 FR 25574, May 17, 1994; 61 FR 1843, Jan. 24, 
1996]



Sec. 393.43  Breakaway and emergency braking.

    (a) Every motor vehicle, if used to tow a trailer equipped with 
brakes, shall be equipped with means for providing that in case of 
breakaway of such trailer the service brakes on the towing vehicle will 
be sufficiently operative to stop the towing vehicle.
    (b) Every truck or truck tractor equipped with air brakes, when used 
for towing other vehicles equipped with air brakes, shall be equipped 
with two means of activating the emergency features of the trailer 
brakes. One of these means shall operate automatically in the event of 
reduction of the towing vehicle air supply to a fixed pressure which 
shall not be lower than 20 pounds per square inch nor higher than 45 
pounds per square inch. The other means shall be a manually controlled 
device readily operable by a person seated in the driving seat. Its 
emergency position or method of operation shall be clearly indicated. In 
no instance may the manual means be so arranged as to permit its use to 
prevent operation of the automatic means. The automatic and manual means 
required by this section may be, but are not required to be, separate.
    (c) Every truck tractor and truck when used for towing other 
vehicles equipped with vacuum brakes, shall have, in addition to the 
single control required by Sec. 393.49 to operate all brakes of the 
combination, a second manual control device which can be

[[Page 930]]

used to operate the brakes on the towed vehicles in emergencies. Such 
second control shall be independent of brake air, hydraulic, and other 
pressure, and independent of other controls, unless the braking system 
be so arranged that failure of the pressure on which the second control 
depends will cause the towed vehicle brakes to be applied automatically. 
The second control is not required by this rule to provide modulated or 
graduated braking.
    (d) Every trailer required to be equipped with brakes shall be 
equipped with brakes of such character as to be applied automatically 
and promptly upon breakaway from the towing vehicle, and means shall be 
provided to maintain application of the brakes on the trailer in such 
case for at least 15 minutes.
    (e) Air brake systems installed on towed vehicles shall be so 
designed, by the use of ``no-bleed-back'' relay emergency valves or 
equivalent devices, that the supply reservoir used to provide air for 
brakes shall be safeguarded against backflow of air to the towing 
vehicle upon reduction of the towing vehicle air pressure.
    (f) The requirements of paragraphs (b), (c), and (d) of this section 
shall not be applicable to motor vehicles in driveaway-towaway 
operations.



Sec. 393.44  Front brake lines, protection.

    On every bus, if equipped with air brakes, the braking system shall 
be so constructed that in the event any brake line to any of the front 
wheels is broken, the driver can apply the brakes on the rear wheels 
despite such breakage. The means used to apply the brakes may be located 
forward of the driver's seat as long as it can be operated manually by 
the driver when the driver is properly restrained by any seat belt 
assembly provided for use. Every bus shall meet this requirement or 
comply with the regulations in effect at the time of its manufacture.

[53 FR 49400, Dec. 7, 1988]



Sec. 393.45  Brake tubing and hose, adequacy.

    (a) General requirements. Brake tubing and brake hose must--
    (1) Be designed and constructed in a manner that insures proper, 
adequate, and continued functioning of the tubing or hose;
    (2) Be installed in a manner that insures proper continued 
functioning of the tubing or hose;
    (3) Be long and flexible enough to accommodate without damage all 
normal motions of the parts to which it is attached;
    (4) Be suitably secured against chafing, kinking, or other 
mechanical damage;
    (5) Be installed in a manner that prevents it from contacting the 
vehicle's exhaust system or any other source of high temperatures; and
    (6) Conform to the applicable requirements of paragraph (b) or (c) 
of this section. In addition, all hose installed on and after January 1, 
1981, must conform to those applicable subsections of FMVSS 106 (49 CFR 
571.106).
    (b) Special requirements for metallic brake tubing, nonmetallic 
brake tubing, coiled nonmetallic brake tubing and brake hose. (1) 
Metallic brake tubing, nonmetallic brake tubing, coiled nonmetallic 
brake tubing, and brake hose installed on a commercial motor vehicle on 
and after March 7, 1989, must meet or exceed one of the following 
specifications set forth in the SAE Handbook, 1985 edition:
    (i) Metallic Air Brake Tubing--SAE Recommended Practice J1149--
Metallic Air Brake System Tubing and Pipe--July 76.
    (ii) Nonmetallic Air Brake Tubing--SAE Recommended Practice J844--
Nonmetallic Air Brake System Type B--OCT 80.
    (iii) Air Brake Hose--SAE Recommended Practice J1402--Automotive Air 
Brake Hose and Hose Assemblies--JUN 85.
    (iv) Hydraulic Brake Hose--SAE Recommended Practice J1401 Road 
Vehicle-Hydraulic Brake Hose Assemblies for Use with Non-Petroleum Base 
Hydraulic Fluid JUN 85.
    (v) Vacuum Brake Hose--SAE Recommended Practice J1403 Vacuum Brake 
Hose JUN 85.
    (2) Except as provided in paragraph (c) of this section, brake hose 
and brake tubing installed on a motor vehicle before March 7, 1989, must 
conform to 49 CFR 393.45 effective October 31, 1983.

[[Page 931]]

    (c) Nonmetallic brake tubing. Coiled nonmetallic brake tubing may be 
used for connections between towed and towing vehicles or between the 
frame of a towed vehicle and the unsprung subframe of an adjustable axle 
of that vehicle if--
    (1) The coiled tubing has a straight segment (pigtail) at each end 
that is at least 2 inches in length and is encased in a spring guard or 
similar device which prevents the tubing from kinking at the fitting at 
which it is attached to the vehicle; and
    (2) The spring guard or similar device has at least 2 inches of 
closed coils or similar surface at its interface with the fitting and 
extends at least 1\1/2\ inches into the coiled segment of the tubing 
from its straight segment.
    (d) Brake tubing and brake hose, uses. Metallic and nonmetallic 
brake tubing is intended for use in areas of the brake system where 
relative movement in the line is not anticipated. Brake hose and coiled 
nonmetallic brake tubing is intended for use in the brake system where 
substantial relative movement in the line is anticipated or the hose/
coiled nonmetallic brake tubing is exposed to potential tension or 
impact such as between the frame and axle in a conventional type 
suspension system (axle attached to frame by suspension system). 
Nonmetallic brake tubing may be used through an articulation point 
provided movement is less than 4.5 degrees in a vertical plane, and 7.4 
degrees in a transverse horizontal plane.

(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)

[38 FR 4333, Feb. 13, 1973, as amended at 44 FR 25457, May 1, 1979; 45 
FR 46424, July 10, 1980; 47 FR 47837, Oct. 28, 1982; 53 FR 49400, Dec. 
7, 1988]



Sec. 393.46  Brake tubing and hose connections.

    All connections for air, vacuum, or hydraulic braking systems shall:
    (a) Be adequate in material and construction to insure proper 
continued functioning;
    (b) Be designed, constructed, and installed so as to insure, when 
properly connected, an attachment free of leaks, constrictions, or other 
defects;
    (c) Have suitable provision in every detachable connection to afford 
reasonable assurance against accidental disconnection;
    (d) Have the vacuum brake engine manifold connection at least three-
eighths inch in diameter.
    (e) If installed on a vehicle on or after January 1, 1981, meet 
requirements under applicable subsections of FMVSS 106 (49 CFR 571.106).
    (f) Splices in tubing if installed on a vehicle after March 7, 1989, 
must use fittings that meet the requirements of SAE Standard J512-OCT 80 
Automotive Tube Fittings or for air brake systems SAE J246--March 81 
Spherical and Flanged Sleeve (Compression) Tube Fittings as found in the 
SAE Handbook 1985 edition.

[33 FR 19735, Dec. 28, 1968, as amended at 44 FR 25457, May 1, 1979; 53 
FR 49400, Dec. 7, 1988]



Sec. 393.47  Brake lining.

    The brake lining n every motor vehicle shall be so constructed and 
installed as not to be subject to excessive fading and grabbing and 
shall be adequate in thickness, means of attachment, and physical 
characteristics to provide for safe and reliable stopping of the motor 
vehicle.



Sec. 393.48  Brakes to be operative.

    (a) General rule. Except as provided in paragraphs (b) and (c) of 
this section, all brakes with which a motor vehicle is equipped must at 
all times be capable of operating.
    (b) Devices to reduce or remove front-wheel braking effort. A motor 
vehicle may be equipped with a device to reduce the braking effort upon 
its front wheels or, in the case of a three-axle truck or truck tractor 
manufactured before March 1, 1975, to remove the braking effort upon its 
front wheels, if that device conforms to, and is used in compliance 
with, the rules in paragraph (b) (1) or (2) of this section.
    (1) Manually operated devices. A manually operated device to reduce 
or remove the front-wheel braking effort must not be--
    (i) Installed in a motor vehicle other than a bus, truck, or truck 
tractor; or
    (ii) Installed in a bus, truck, or truck tractor manufactured after 
February 28, 1975; or

[[Page 932]]

    (iii) Used in the reduced mode except when the vehicle is operating 
under adverse conditions such as wet, snowy, or icy roads.
    (2) Automatic devices. An automatic device to reduce the front-wheel 
braking effort by up to 50 percent of the normal braking force, 
regardless of whether or not antilock system failure has occurred on any 
axle, must not--
    (i) Be operable by the driver except upon application of the control 
that activates the braking system; and
    (ii) Be operable when the pressure that transmits brake control 
application force exceeds--
    (A) 85 psig on air-mechanical braking systems; or
    (B) 85 percent of the maximum system pressure in the case of 
vehicles utilizing other than compressed air.
    (c) Towed vehicle. Paragraph (a) of this section does not apply to--
    (1) A disabled vehicle being towed; or
    (2) A vehicle being towed in a driveaway-towaway operation which is 
exempt from the general rule of Sec. 393.42 under paragraph (b) of that 
section.

(Sec. 204 of the Interstate Commerce Act, as amended (49 U.S.C. 304); 
sec. 6 of the Department of Transportation Act (49 U.S.C. 1655), and the 
delegations of authority by the Secretary of Transportation and the 
Federal Highway Administrator at 49 CFR 1.48 and 301.60, respectively)

[39 FR 26907, July 24, 1974, as amended at 41 FR 29130, July 15, 1976; 
41 FR 53031, Dec. 3, 1976]



Sec. 393.49  Single valve to operate all brakes.

    Every motor vehicle, the date of manufacture of which is subsequent 
to June 30, 1953, which is equipped with power brakes, shall have the 
braking system so arranged that one application valve shall when applied 
operate all the service brakes on the motor vehicle or combination of 
motor vehicles. This requirement shall not be construed to prohibit 
motor vehicles from being equipped with an additional valve to be used 
to operate the brakes on a trailer or trailers or as provided in 
Sec. 393.44. This section shall not be applicable to driveaway-towaway 
operations unless the brakes on such operations are designed to be 
operated by a single valve.



Sec. 393.50  Reservoirs required.

    (a) General. Every commercial motor vehicle using air or vacuum for 
breaking shall be equipped with reserve capacity or a reservoir 
sufficient to ensure a full service brake application with the engine 
stopped without depleting the air pressure or vacuum below 70 percent of 
that pressure or degree of vacuum indicated by the gauge immediately 
before the brake application is made. For purposes of this section, a 
full service brake application is considered to be made when the service 
brake pedal is pushed to the limit of its travel.
    (b) Safeguarding of air and vacuum. (1) Every bus, truck, and truck 
tractor, when equipped with air or vacuum reservoirs and regardless of 
date of manufacture, shall have such reservoirs so safeguarded by a 
check valve or equivalent device that in the event of failure or leakage 
in its connection to the source of compressed air or vacuum the air or 
vacuum supply in the reservoir shall not be depleted by the leak or 
failure.
    (2) Means shall be provided to establish the check valve to be in 
working order. On and after May 1, 1966, means other than loosening or 
disconnection of any connection between the source of compressed air or 
vacuum and the check valve, and necessary tools for operation of such 
means, shall be provided to prove that the check valve is in working 
order. The means shall be readily accessible either from the front, 
side, or rear of the vehicle, or from the driver's compartment.
    (i) In air brake systems with one reservoir, the means shall be a 
cock, valve, plug, or equivalent device arranged to vent a cavity having 
free communication with the connection between the check valve and the 
source of compressed air or vacuum.
    (ii) Where air is delivered by a compressor into one tank or 
compartment (wet tank), and air for braking is taken directly from 
another tank or compartment (dry tank) only, with the required check 
valve between the tanks or compartments, a manually operated drain cock 
on the first (wet) tank or compartment will serve as a means herein 
required if it conforms to the requirements herein.

[[Page 933]]

    (iii) In vacuum systems stopping the engine will serve as the 
required means, the system remaining evacuated as indicated by the 
vacuum gauge.

[33 FR 19735, Dec. 25, 1968, as amended at 53 FR 49400, Dec. 7, 1988]



Sec. 393.51  Warning devices and gauges.

    (a) General. In the manner and to the extent specified in paragraphs 
(b), (c), (d), and (e) of this section, a bus, truck, or truck tractor 
must be equipped with a signal that provides a warning to the driver 
when a failure occurs in the vehicle's service brake system.
    (b) Hydraulic brakes. A vehicle manufactured on or after July 1, 
1973, and having service brakes activated by hydraulic fluid must be 
equipped with a warning signal that performs as follows:
    (1) If Federal Motor Vehicle Safety Standard No. 105 (Sec. 571.105 
of this title) was applicable to the vehicle at the time it was 
manufactured, the warning signal must conform to the requirements of 
that standard.
    (2) If Federal Motor Vehicle Safety Standard No. 105 (Sec. 571.105) 
was not applicable to the vehicle at the time it was manufactured, the 
warning signal must become operative, before or upon application of the 
brakes in the event of a hydraulic-type complete failure of a partial 
system. The signal must be readily audible or visible to the driver.
    (c) Air brakes. A vehicle (regardless of the date it was 
manufactured) having service brakes activated by compressed air (air-
mechanical brakes) or a vehicle towing a vehicle having service brakes 
activated by compressed air (air-mechanical brakes) must be equipped, 
and perform, as follows:
    (1) The vehicle must have a low air pressure warning device that 
conforms to the requirements of either paragraph (c)(1) (i) or (ii) of 
this section.
    (i) If Federal Motor Vehicle Safety Standard No. 121 (Sec. 571.121 
of this title) was applicable to the vehicle at the time it was 
manufactured, the warning device must conform to the requirements of 
that standard.
    (ii) If Federal Motor Vehicle Safety Standard No. 121 (Sec. 571.121) 
was not applicable to the vehicle at the time it was manufactured, the 
vehicle must have a device that provides a readily audible or visible 
continuous warning to the driver whenever the pressure of the compressed 
air in the braking system is below a specified pressure, which must be 
at least one-half of the compressor governor cutout pressure.
    (2) The vehicle must have a pressure gauge which indicates to the 
driver the pressure in pounds per square inch available for braking.
    (d) Vacuum brakes. A vehicle (regardless of the date it was 
manufactured) having service brakes activated by vacuum or a vehicle 
towing a vehicle having service brakes activated by vacuum must be 
equipped with--
    (1) A device that provides a readily audible or visible continuous 
warning to the driver whenever the vacuum in the vehicle's supply 
reservoir is less than 8 inches of mercury; and
    (2) A vacuum gauge which indicates to the driver the vacuum in 
inches of mercury available for braking.
    (e) Hydraulic brakes applied or assisted by air or vacuum. A vehicle 
having a braking system in which hydraulically activated service brakes 
are applied or assisted by compressed air or vacuum must be equipped 
with both a warning signal that conforms to the requirements of 
paragraph (b) of this section and a warning device that conforms to the 
requirements of either paragraph (c) or paragraph (d) of this section.
    (f) Maintenance. The warning signals, devices, and gauges required 
by this section must be maintained in operative condition.

[37 FR 5251, Mar. 11, 1972, as amended at 53 FR 49400, Dec. 7, 1988]



Sec. 393.52  Brake performance.

    (a) Upon application of its service brakes, a motor vehicle or 
combination of motor vehicles must under any condition of loading in 
which it is found on a public highway, be capable of--
    (1) Developing a braking force at least equal to the percentage of 
its gross weight specified in the table in paragraph (d) of this 
section;
    (2) Decelerating to a stop from 20 miles per hour at not less than 
the rate specified in the table in paragraph (d) of this section; and
    (3) Stopping from 20 miles per hour in a distance, measured from the 
point at which movement of the service brake

[[Page 934]]

pedal or control begins, that is not greater than the distance specified 
in the table in paragraph (d) of this section.
    (b) Upon application of its emergency brake system and with no other 
brake system applied, a motor vehicle or combination of motor vehicles 
must, under any condition of loading in which it is found on a public 
highway, be capable of stopping from 20 miles per hour in a distance, 
measured from the point at which movement of the emergency brake control 
begins, that is not greater than the distance specified in the table in 
paragraph (d) of this section.
    (c) Conformity to the stopping-distance requirements of paragraphs 
(a) and (b) of this section shall be determined under the following 
conditions:
    (1) Any test must be made with the vehicle on a hard surface that is 
substantially level, dry, smooth, and free of loose material.
    (2) The vehicle must be in the center of a 12-foot-wide lane when 
the test begins and must not deviate from that lane during the test.
    (d) Vehicle brake performance table:

----------------------------------------------------------------------------------------------------------------
                                                                      Service brake systems           Emergency
                                                            ----------------------------------------    brake
                                                                                                       systems
                                                               Braking                  Application ------------
                                                              force as a                and braking  Application
                   Type of motor vehicle                      percentage  Deceleration  distance in  and braking
                                                               of gross    in feet per   feet from   distance in
                                                              vehicle or   second per     initial     feet from
                                                             combination     second     speed of 20    initial
                                                                weight                     m.p.h.    speed of 20
                                                                                                        m.p.h.
----------------------------------------------------------------------------------------------------------------
A. Passenger-carrying vehicles.
  (1) Vehicles with a seating capacity of 10 persons or             65.2            21           20           54
   less, including driver, and built on a passenger car
   chassis.................................................
  (2) Vehicles with a seating capacity of more than 10              52.8            17           25           66
   persons, including driver, and built on a passenger car
   chassis; vehicles built on a truck or bus chassis and
   having a manufacturer's GVWR of 10,000 pounds or less...
  (3) All other passenger-carrying vehicles................         43.5            14           35           85
B. Property-carrying vehicles.
  (1) Single unit vehicles having a manufacturer's GVWR of          52.8            17           25           66
   10,000 pounds or less...................................
  (2) Single unit vehicles having a manufacturer's GVWR of          43.4            14           35           85
   more than 10,000 pounds, except truck tractors.
   Combinations of a 2-axle towing vehicle and trailer
   having a GVWR of 3,000 pounds or less. All combinations
   of 2 or less vehicles in driveaway or towaway operation.
  (3) All other property-carrying vehicles and combinations         43.5            14           40           90
   of property-carrying vehicles...........................
----------------------------------------------------------------------------------------------------------------
Note: (a) There is a definite mathematical relationship between the figures in columns 2 and 3. If the
  decelerations set forth in column 3 are divided by 32.2 feet per second per second, the figures in column 2
  will be obtained. (For example, 21 divided by 32.2 equals 65.2 percent.) Column 2 is included in the
  tabulation because certain brake-testing devices utilize this factor.
(b) The decelerations specified in column 3 are an indication of the effectiveness of the basic brakes, and as
  measured in practical brake testing are the maximum decelerations attained at some time during the stop. These
  decelerations as measured in brake tests cannot be used to compute the values in column 4 because the
  deceleration is not sustained at the same rate over the entire period of the stop. The deceleration increases
  from zero to a maximum during a period of brake-system application and brake-force buildup. Also, other
  factors may cause the deceleration to decrease after reaching a maximum. The added distance which results
  because maximum deceleration is not sustained is included in the figures in column 4 but is not indicated by
  the usual brake-testing devices for checking deceleration.
(c) The distances in column 4 and the decelerations in column 3 are not directly related. ``Brake-system
  application and braking distance in feet'' (column 4) is a definite measure of the overall effectiveness of
  the braking system, being the distance traveled between the point at which the driver starts to move the
  braking controls and the point at which the vehicle comes to rest. It includes distance traveled while the
  brakes are being applied and distance traveled while the brakes are retarding the vehicle.
(d) The distance traveled during the period of brake-system application and brake-force buildup varies with
  vehicle type, being negligible for many passenger cars and greatest for combinations of commercial vehicles.
  This fact accounts for the variation from 20 to 40 feet in the values in column 4 for the various classes of
  vehicles.
(e) The terms ``GVWR'' and ``GVW'' refer to the manufacturer's gross vehicle rating and the actual gross vehicle
  weight, respectively.


[36 FR 20298, Oct. 20, 1971, as amended at 37 FR 5251, Mar. 11, 1972; 37 
FR 11336, June 7, 1972]



Sec. 393.53  Automatic brake adjusters and brake adjustment indicators.

    (a) Automatic brake adjusters (hydraulic brake systems). Each 
commercial motor vehicle manufactured on or after October 20, 1993, and 
equipped with a hydraulic brake system, shall meet the automatic brake 
adjustment system

[[Page 935]]

requirements of Federal Motor Vehicle Safety Standard No. 105 (49 CFR 
571.105, S5.1) applicable to the vehicle at the time it was 
manufactured.
    (b) Automatic brake adjusters (air brake systems). Each commercial 
motor vehicle manufactured on or after October 20, 1994, and equipped 
with an air brake system shall meet the automatic brake adjustment 
system requirements of Federal Motor Vehicle Safety Standard No. 121 (49 
CFR 571.121, S5.1.8) applicable to the vehicle at the time it was 
manufactured.
    (c) Brake adjustment indicator (air brake systems). On each 
commercial motor vehicle manufactured on or after October 20, 1994, and 
equipped with an air brake system which contains an external automatic 
adjustment mechanism and an exposed pushrod, the condition of service 
brake under-adjustment shall be displayed by a brake adjustment 
indicator conforming to the requirements of Federal Motor Vehicle Safety 
Standard No. 121 (49 CFR 571.121, S5.1.8) applicable to the vehicle at 
the time it was manufactured.

[60 FR 46245, Sept. 6, 1995]



Sec. 393.55  Antilock brake systems.

    (a) Hydraulic brake systems. Each truck and bus manufactured on or 
after March 1, 1999 (except trucks and buses engaged in driveaway-
towaway operations), and equipped with a hydraulic brake system, shall 
be equipped with an antilock brake system that meets the requirements of 
Federal Motor Vehicle Safety Standard (FMVSS) No. 105 (49 CFR 571.105, 
S5.5).
    (b) ABS malfunction indicators for hydraulic braked vehicles. Each 
hydraulic braked vehicle subject to the requirements of paragraph (a) of 
this section shall be equipped with an ABS malfunction indicator system 
that meets the requirements of FMVSS No. 105 (49 CFR 571.105, S5.3).
    (c) Air brake systems. (1) Each truck tractor manufactured on or 
after March 1, 1997 (except truck tractors engaged in driveaway-towaway 
operations), shall be equipped with an antilock brake system that meets 
the requirements of FMVSS No. 121 (49 CFR 571.121, S5.1.6.1(b)).
    (2) Each air braked commercial motor vehicle other than a truck 
tractor, manufactured on or after March 1, 1998 (except commercial motor 
vehicles engaged in driveaway-towaway operations), shall be equipped 
with an antilock brake system that meets the requirements of FMVSS No. 
121 (49 CFR 571.121, S5.1.6.1(a) for trucks and buses, S5.2.3 for 
semitrailers, converter dollies and full trailers).
    (d) ABS malfunction circuits and signals for air braked vehicles. 
(1) Each truck tractor manufactured on or after March 1, 1997, and each 
single-unit air braked vehicle manufactured on or after March 1, 1998, 
subject to the requirements of paragraph (c) of this section, shall be 
equipped with an electrical circuit that is capable of signaling a 
malfunction that affects the generation or transmission of response or 
control signals to the vehicle's antilock brake system (49 CFR 571.121, 
S5.1.6.2(a)).
    (2) Each truck tractor manufactured on or after March 1, 2001, and 
each single-unit vehicle that is equipped to tow another air-braked 
vehicle, subject to the requirements of paragraph (c) of this section, 
shall be equipped with an electrical circuit that is capable of 
transmitting a malfunction signal from the antilock brake system(s) on 
the towed vehicle(s) to the trailer ABS malfunction lamp in the cab of 
the towing vehicle, and shall have the means for connection of the 
electrical circuit to the towed vehicle. The ABS malfunction circuit and 
signal shall meet the requirements of FMVSS No. 121 (49 CFR 571.121, 
S5.1.6.2(b)).
    (3) Each semitrailer, trailer converter dolly, and full trailer 
manufactured on or after March 1, 2001, and subject to the requirements 
of paragraph (c)(2) of this section, shall be equipped with an 
electrical circuit that is capable of signaling a malfunction in the 
trailer's antilock brake system, and shall have the means for connection 
of this ABS malfunction circuit to the towing vehicle. In addition, each 
trailer manufactured on or after March 1, 2001, subject to the 
requirements of paragraph (c)(2) of this section, that is designed to 
tow another air-brake equipped trailer shall be capable of transmitting 
a malfunction signal from the antilock brake system(s) of the trailer(s) 
it tows to the vehicle in front

[[Page 936]]

of the trailer. The ABS malfunction circuit and signal shall meet the 
requirements of FMVSS No. 121 (49 CFR 571.121, S5.2.3.2).
    (e) Exterior ABS malfunction indicator lamps for trailers. Each 
trailer (including a trailer converter dolly) manufactured on or after 
March 1, 1998 and before March 1, 2009, and subject to the requirements 
of paragraph (c)(2) of this section, shall be equipped with an ABS 
malfunction indicator lamp which meets the requirements of FMVSS No. 121 
(49 CFR 571.121, S5.2.3.3).

[63 FR 24465, May 4, 1998]



               Subpart D--Glazing and Window Construction



Sec. 393.60  Glazing in specified openings.

    (a) Glazing material. Glazing material used in windshields, windows, 
and doors on a motor vehicle manufactured on or after December 25, 1968, 
shall at a minimum meet the requirements of Federal Motor Vehicle Safety 
Standard (FMVSS) No. 205 in effect on the date of manufacture of the 
motor vehicle. The glazing material shall be marked in accordance with 
FMVSS No. 205 (49 CFR 571.205, S6).
    (b) Windshields required. Each bus, truck and truck-tractor shall be 
equipped with a windshield. Each windshield or portion of a multi-piece 
windshield shall be mounted using the full periphery of the glazing 
material.
    (c) Windshield condition. With the exception of the conditions 
listed in paragraphs (c)(1), (c)(2), and (c)(3) of this section, each 
windshield shall be free of discoloration or damage in the area 
extending upward from the height of the top of the steering wheel 
(excluding a 51 mm (2 inch) border at the top of the windshield) and 
extending from a 25 mm (1 inch) border at each side of the windshield or 
windshield panel. Exceptions:
    (1) Coloring or tinting which meets the requirements of paragraph 
(d) of this section;
    (2) Any crack that is not intersected by any other cracks;
    (3) Any damaged area which can be covered by a disc 19 mm (\3/4\ 
inch) in diameter if not closer than 76 mm (3 inches) to any other 
similarly damaged area.
    (d) Coloring or tinting of windshields and windows. Coloring or 
tinting of windshields and the windows to the immediate right and left 
of the driver is allowed, provided the parallel luminous transmittance 
through the colored or tinted glazing is not less than 70 percent of the 
light at normal incidence in those portions of the windshield or windows 
which are marked as having a parallel luminous transmittance of not less 
than 70 percent. The transmittance restriction does not apply to other 
windows on the commercial motor vehicle.
    (e) Prohibition on obstructions to the driver's field of view--(1) 
Devices mounted at the top of the windshield. Antennas, transponders, 
and similar devices must not be mounted more than 152 mm (6 inches) 
below the upper edge of the windshield. These devices must be located 
outside the area swept by the windshield wipers, and outside the 
driver's sight lines to the road and highway signs and signals.
    (2) Decals and stickers mounted on the windshield. Commercial 
Vehicle Safety Alliance (CVSA) inspection decals, and stickers and/or 
decals required under Federal or State laws may be placed at the bottom 
or sides of the windshield provided such decals or stickers do not 
extend more than 115 mm (4\1/2\ inches) from the bottom of the 
windshield and are located outside the area swept by the windshield 
wipers, and outside the driver's sight lines to the road and highway 
signs or signals.

[63 FR 1387, Jan. 9, 1998]



Sec. 393.61  Window construction.

    (a) Windows in trucks and truck tractors. Every truck and truck 
tractor, except vehicles engaged in armored car service, shall have, in 
addition to the area provided by the windshield, at least one window on 
each side of the driver's compartment, which window shall have 
sufficient area to contain either an ellipse having a major axis of 18 
inches and a minor axis of 13 inches or an opening containing 200 square 
inches formed by a rectangle 13 inches by 17\3/4\ inches with corner 
arcs of 6-inch maximum radius. The major axis of the ellipse and the 
long axis of the rectangle shall not make an angle of

[[Page 937]]

more than 45 degrees with the surface on which the unladen vehicle 
stands; however, if the cab is designed with a folding door or doors or 
with clear openings where doors or windows are customarily located, then 
no windows shall be required in such locations.
    (b) Bus windows. (1) Except as provided in paragraph (b)(3) of this 
section a bus manufactured before September 1, 1973, having a seating 
capacity of more than eight persons shall have, in addition to the area 
provided by the windshield, adequate means of escape for passengers 
through windows. The adequacy of such means shall be determined in 
accordance with the following standards: For each seated passenger space 
provided, inclusive of the driver there shall be at least 67 square 
inches of glazing if such glazing is not contained in a push-out window; 
or at least 67 square inches of free opening resulting from opening of a 
push-out type window. No area shall be included in this minimum 
prescribed area unless it will provide an unobstructed opening 
sufficient to contain an ellipse having a major axis of 18 inches and a 
minor axis of 13 inches or an opening containing 200 square inches 
formed by a rectangle 13 inches by 17\3/4\ inches with corner arcs of 6-
inch maximum radius. The major axis of the elipse and the long axis of 
the rectangle shall make an angle of not more than 45 deg. with the 
surface on which the unladen vehicle stands. The area shall be measured 
either by removal of the glazing if not of the push-out type or of the 
movable sash if of the push-out type, and it shall be either glazed with 
laminated safety glass or comply with paragraph (c) of this section. No 
less than 40 percent of such prescribed glazing or opening shall be on 
one side of any bus.
    (2) A bus, including a school bus, manufactured on and after 
September 1, 1973, having a seating capacity of more than 10 persons 
shall have emergency exits in conformity with Federal Motor Vehicle 
Safety Standard No. 217, part 571 of this title.
    (3) A bus manufactured before September 1, 1973, may conform to 
Federal Motor Vehicle Safety Standard No. 217, part 571 of this title, 
in lieu of conforming to paragraph (b)(1) of this section.
    (c) Push-out window requirements. (1) Except as provided in 
paragraph (c)(3) of this section, every glazed opening in a bus 
manufactured before September 1, 1973, and having a seating capacity of 
more than eight persons, used to satisfy the requirements of paragraph 
(b)(1) of this section, if not glazed with laminated safety glass, shall 
have a frame or sash so designed, constructed, and maintained that it 
will yield outwardly to provide the required free opening when subjected 
to the drop test specified in Test 25 of the American Standard Safety 
Code referred to in Sec. 393.60. The height of drop required to open 
such push-out windows shall not exceed the height of drop required to 
break the glass in the same window when glazed with the type of 
laminated glass specified in Test 25 of the Code. The sash for such 
windows shall be constructed of such material and be of such design and 
construction as to be continuously capable of complying with the above 
requirement.
    (2) On a bus manufactured on and after September 1, 1973, having a 
seating capacity of more than 10 persons, each push-out window shall 
conform to Federal Motor Vehicle Safety Standard No. 217, (Sec. 571.217) 
of this title.
    (3) A bus manufactured before September 1, 1973, may conform to 
Federal Motor Vehicle Safety Standard No. 217 (Sec. 571.217) of this 
title, in lieu of conforming to paragraph (c)(1) of this section.

[33 FR 19735, Dec. 25, 1968, as amended at 37 FR 11677, June 10, 1972]



Sec. 393.62  Window obstructions.

    Windows, if otherwise capable of complying with Sec. 393.61 (a) and 
(b), shall not be obstructed by bars or other such means located either 
inside or outside such windows such as would hinder the escape of 
occupants unless such bars or other such means are so constructed as to 
provide a clear opening, at least equal to the opening provided by the 
window to which it is adjacent, when subjected to the same test 
specified in Sec. 393.61(c). The point of application of such test force 
shall be such as will be most likely to result in the removal of the 
obstruction.

[[Page 938]]



Sec. 393.63  Windows, markings.

    (a) On a bus manufactured before September 1, 1973, each bus push-
out window and any other bus escape window glazed with laminated safety 
glass required in Sec. 393.61 shall be identified as such by clearly 
legible and visible signs, lettering, or decalcomania. Such marking 
shall include appropriate wording to indicate that it is an escape 
window and also the method to be used for obtaining emergency exit.
    (b) On a bus manufactured on and after September 1, 1973, emergency 
exits required in Sec. 393.61 shall be marked to conform to Federal 
Motor Vehicle Safety Standard No. 217 (Sec. 571.217), of this title.
    (c) A bus manufactured before September 1, 1973, may mark emergency 
exits to conform to Federal Motor Vehicle Safety Standard No. 217 
(Sec. 571.217), of this title in lieu of conforming to paragraph (a) of 
this section.

[37 FR 11678, June 10, 1972]



                         Subpart E--Fuel Systems

    Authority: Sec. 204, Interstate Commerce Act, as amended, 49 U.S.C. 
304; sec. 6, Department of Transportation Act, 49 U.S.C. 1655; 
delegation of authority at 49 CFR 1.48 and 389.4.



Sec. 393.65  All fuel systems.

    (a) Application of the rules in this section. The rules in this 
section apply to systems for containing and supplying fuel for the 
operation of motor vehicles or for the operation of auxiliary equipment 
installed on, or used in connection with, motor vehicles.
    (b) Location. Each fuel system must be located on the motor vehicle 
so that--
    (1) No part of the system extends beyond the widest part of the 
vehicle;
    (2) No part of a fuel tank is forward of the front axle of a power 
unit;
    (3) Fuel spilled vertically from a fuel tank while it is being 
filled will not contact any part of the exhaust or electrical systems of 
the vehicle, except the fuel level indicator assembly;
    (4) Fill pipe openings are located outside the vehicle's passenger 
compartment and its cargo compartment;
    (5) A fuel line does not extend between a towed vehicle and the 
vehicle that is towing it while the combination of vehicles is in 
motion; and
    (6) No part of the fuel system of a bus manufactured on or after 
January 1, 1973, is located within or above the passenger compartment.
    (c) Fuel tank installation. Each fuel tank must be securely attached 
to the motor vehicle in a workmanlike manner.
    (d) Gravity or syphon feed prohibited. A fuel system must not supply 
fuel by gravity or syphon feed directly to the carburetor or injector.
    (e) Selection control valve location. If a fuel system includes a 
selection control valve which is operable by the driver to regulate the 
flow of fuel from two or more fuel tanks, the valve must be installed so 
that either--
    (1) The driver may operate it while watching the roadway and without 
leaving his/her driving position; or
    (2) The driver must stop the vehicle and leave his/her seat in order 
to operate the valve.
    (f) Fuel lines. A fuel line which is not completely enclosed in a 
protective housing must not extend more than 2 inches below the fuel 
tank or its sump. Diesel fuel crossover, return, and withdrawal lines 
which extend below the bottom of the tank or sump must be protected 
against damage from impact. Every fuel line must be--
    (1) Long enough and flexible enough to accommodate normal movements 
of the parts to which it is attached without incurring damage; and
    (2) Secured against chafing, kinking, or other causes of mechanical 
damage.
    (g) Excess flow valve. When pressure devices are used to force fuel 
from a fuel tank, a device which prevents the flow of fuel from the fuel 
tank if the fuel feed line is broken must be installed in the fuel 
system.

[36 FR 15445, Aug. 14, 1971, as amended at 37 FR 4341, Mar. 2, 1972; 37 
FR 28752, Dec. 29, 1972]



Sec. 393.67  Liquid fuel tanks.

    (a) Application of the rules in this section. (1) A liquid fuel tank 
manufactured on or after January 1, 1973, and a side-mounted gasoline 
tank must conform to all the rules in this section.

[[Page 939]]

    (2) A diesel fuel tank manufactured before January 1, 1973, and 
mounted on a bus must conform to the rules in paragraphs (c)(7)(iii) and 
(d)(2) of this section.
    (3) A diesel fuel tank manufactured before January 1, 1973, and 
mounted on a vehicle other than a bus must conform to the rules in 
paragraph (c)(7)(iii) of this section.
    (4) A gasoline tank, other than a side-mounted gasoline tank, 
manufactured before January 1, 1973, and mounted on a bus must conform 
to the rules in paragraphs (c) (1) through (10) and (d)(2) of this 
section.
    (5) A gasoline tank, other than a side-mounted gasoline tank, 
manufactured before January 1, 1973, and mounted on a vehicle other than 
a bus must conform to the rules in paragraphs (c) (1) through (10), 
inclusive, of this section.
    (6) Private motor carrier of passengers. Motor carriers engaged in 
the private transportation of passengers may continue to operate a 
commercial motor vehicle which was not subject to this section or 49 CFR 
571.301 at the time of its manufacture, provided the fuel tank of such 
vehicle is maintained to the original manufacturer's standards.
    (b) Definitions. As used in this section--
    (1) The term liquid fuel tank means a fuel tank designed to contain 
a fuel that is liquid at normal atmospheric pressures and temperatures.
    (2) A side-mounted fuel tank is a liquid fuel tank which--
    (i) If mounted on a truck tractor, extends outboard of the vehicle 
frame and outside of the plan view outline of the cab; or
    (ii) If mounted on a truck, extends outboard of a line parallel to 
the longitudinal centerline of the truck and tangent to the outboard 
side of a front tire in a straight ahead position. In determining 
whether a fuel tank on a truck or truck tractor is side-mounted, the 
fill pipe is not considered a part of the tank.
    (c) Construction of liquid fuel tanks--(1) Joints. Joints of a fuel 
tank body must be closed by arc-, gas-, seam-, or spot-welding, by 
brazing, by silver soldering, or by techniques which provide heat 
resistance and mechanical securement at least equal to those 
specifically named. Joints must not be closed solely by crimping or by 
soldering with a lead-based or other soft solder.
    (2) Fittings. The fuel tank body must have flanges or spuds suitable 
for the installation of all fittings.
    (3) Threads. The threads of all fittings must be Dryseal American 
Standard Taper Pipe Thread or Dryseal SAE Short Taper Pipe Thread, 
specified in Society of Automotive Engineers Standard J476, as contained 
in the 1971 edition of the ``SAE Handbook,'' except that straight 
(nontapered) threads may be used on fittings having integral flanges and 
using gaskets for sealing. At least four full threads must be in 
engagement in each fitting.
    (4) Drains and bottom fittings. (i) Drains or other bottom fittings 
must not extend more than three-fourths of an inch below the lowest part 
of the fuel tank or sump.
    (ii) Drains or other bottom fittings must be protected against 
damage from impact.
    (iii) If a fuel tank has drains the drain fittings must permit 
substantially complete drainage of the tank.
    (iv) Drains or other bottom fittings must be installed in a flange 
or spud designed to accommodate it.
    (5) Fuel withdrawal fittings. Except for diesel fuel tanks, the 
fittings through which fuel is withdrawn from a fuel tank must be 
located above the normal level of fuel in the tank when the tank is 
full.
    (6) [Reserved]
    (7) Fill pipe. (i) Each fill pipe must be designed and constructed 
to minimize the risk of fuel spillage during fueling operations and when 
the vehicle is involved in a crash.
    (ii) The fill pipe and vents of a fuel tank having a capacity of 
more than 25 gallons of fuel must permit filling the tank with fuel at a 
rate of at least 20 gallons per minute without fuel spillage.
    (iii) Each fill pipe must be fitted with a cap that can be fastened 
securely over the opening in the fill pipe. Screw threads or a bayonet-
type joint are methods of conforming to the requirements of this 
subdivision.

[[Page 940]]

    (8) Safety venting system. A liquid fuel tank with a capacity of 
more than 25 gallons of fuel must have a venting system which, in the 
event the tank is subjected to fire, will prevent internal tank pressure 
from rupturing the tank's body, seams, or bottom opening (if any).
    (9) Pressure resistance. The body and fittings of a liquid fuel tank 
with a capacity of more than 25 gallons of fuel must be capable of 
withstanding an internal hydrostatic pressure equal to 150 percent of 
the maximum internal pressure reached in the tank during the safety 
venting systems test specified in paragraph (d)(1) of this section.
    (10) Air vent. Each fuel tank must be equipped with a nonspill air 
vent (such as a ball check). The air vent may be combined with the fill-
pipe cap or safety vent, or it may be a separate unit installed on the 
fuel tank.
    (11) Markings. If the body of a fuel tank is readily visible when 
the tank is installed on the vehicle, the tank must be plainly marked 
with its liquid capacity. The tank must also be plainly marked with a 
warning against filling it to more than 95 percent of its liquid 
capacity.
    (12) Overfill restriction. A liquid fuel tank manufactured on or 
after January 1, 1973, must be designed and constructed so that--
    (i) The tank cannot be filled, in a normal filling operation, with a 
quantity of fuel that exceeds 95 percent of the tank's liquid capacity; 
and
    (ii) When the tank is filled, normal expansion of the fuel will not 
cause fuel spillage.
    (d) Liquid fuel tank tests. Each liquid fuel tank must be capable of 
passing the tests specified in paragraphs (d) (1) and (2) of this 
section. \1\
    (1) Safety venting system test--(i) Procedure. Fill the tank three-
fourths full with fuel, seal the fuel feed outlet, and invert the tank. 
When the fuel temperature is between 50 deg. F. and 80 deg. F., apply an 
enveloping flame to the tank so that the temperature of the fuel rises 
at a rate of not less than 6 deg. F. and not more than 8 deg. F. per 
minute.
    (ii) Required performance. The safety venting system required by 
paragraph (c)(8) of this section must activate before the internal 
pressure in the tank exceeds 50 pounds per square inch, gauge, and the 
internal pressure must not thereafter exceed the pressure at which the 
system activated by more than five pounds per square inch despite any 
further increase in the temperature of the fuel.
    (2) Leakage test--(i) Procedure. Fill the tank to capacity with fuel 
having a temperature between 50 deg. F. and 80 deg. F. With the fill-
pipe cap installed, turn the tank through an angle of 150 deg. in any 
direction about any axis from its normal position.
    (ii) Required performance. Neither the tank nor any fitting may leak 
more than a total of one ounce by weight of fuel per minute in any 
position the tank assumes during the test.
    (e) Side-mounted liquid fuel tank tests. Each side-mounted liquid 
fuel tank must be capable of passing the tests specified in paragraphs 
(e) (1) and (2) of this section and the tests specified in paragraphs 
(d) (1) and (2) of this section. \1\
---------------------------------------------------------------------------

    \1\ The specified tests are a measure of performance only. 
Manufacturers and carriers may use any alternative procedures which 
assure that their equipment meets the required performance criteria.
---------------------------------------------------------------------------

    (1) Drop test--(i) Procedure. Fill the tank with a quantity of water 
having a weight equal to the weight of the maximum fuel load of the tank 
and drop the tank 30 feet onto an unyielding surface so that it lands 
squarely on one corner.
    (ii) Required performance. Neither the tank nor any fitting may leak 
more than a total of 1 ounce by weight of water per minute.
    (2) Fill-pipe test--(i) Procedure. Fill the tank with a quantity of 
water having a weight equal to the weight of the maximum fuel load of 
the tank and drop the tank 10 feet onto an unyielding surface so that it 
lands squarely on its fill-pipe.
    (ii) Required performance. Neither the tank nor any fitting may leak 
more than a total of 1 ounce by weight of water per minute.
    (f) Certification and markings. Each liquid fuel tank shall be 
legibly and permanently marked by the manufacturer with the following 
minimum information:

[[Page 941]]

    (1) The month and year of manufacture,
    (2) The manufacturer's name on tanks manufactured on and after July 
1, 1988, and means of identifying the facility at which the tank was 
manufactured, and
    (3) A certificate that it conforms to the rules in this section 
applicable to the tank. The certificate must be in the form set forth in 
either of the following:
    (i) If a tank conforms to all rules in this section pertaining to 
side-mounted fuel tanks: ``Meets all FHWA side-mounted tank 
requirements.''
    (ii) If a tank conforms to all rules in this section pertaining to 
tanks which are not side-mounted fuel tanks: ``Meets all FHWA 
requirements for non-side-mounted fuel tanks.''
    (iii) The form of certificate specified in paragraph (f)(3) (i) or 
(ii) of this section may be used on a liquid fuel tank manufactured 
before July 11, 1973, but it is not mandatory for liquid fuel tanks 
manufactured before March 7, 1989. The form of certification 
manufactured on or before March 7, 1989, must meet the requirements in 
effect at the time of manufacture.

[36 FR 15445, Aug. 14, 1971, as amended at 37 FR 4341, Mar. 2, 1972; 37 
FR 28753, Dec. 29, 1972; 45 FR 46424, July 10, 1980; 53 FR 49400, Dec. 
7, 1988; 59 FR 8753, Feb. 23, 1994]



Sec. 393.69  Liquefied petroleum gas systems.

    (a) A fuel system that uses liquefied petroleum gas as a fuel for 
the operation of a motor vehicle or for the operation of auxiliary 
equipment installed on, or used in connection with, a motor vehicle must 
conform to the ``Standards for the Storage and Handling of Liquefied 
Petroleum Gases'' of the National Fire Protection Association, Battery 
March Park, Quincy, MA 02269, as follows:
    (1) A fuel system installed before December 31, 1962, must conform 
to the 1951 edition of the Standards.
    (2) A fuel system installed on or after December 31, 1962, and 
before January 1, 1973, must conform to Division IV of the June 1959 
edition of the Standards.
    (3) A fuel system installed on or after January 1, 1973, and 
providing fuel for propulsion of the motor vehicle must conform to 
Division IV of the 1969 edition of the Standards.
    (4) A fuel system installed on or after January 1, 1973, and 
providing fuel for the operation of auxiliary equipment must conform to 
Division VII of the 1969 edition of the Standards.
    (b) When the rules in this section require a fuel system to conform 
to a specific edition of the Standards, the fuel system may conform to 
the applicable provisions in a later edition of the Standards specified 
in this section.
    (c) The tank of a fuel system must be marked to indicate that the 
system conforms to the Standards.

[36 FR 15445, Aug. 14, 1971, as amended at 37 FR 4342, Mar. 2, 1972; 41 
FR 53031, Dec. 3, 1976; 53 FR 49400, Dec. 7, 1988]



             Subpart F--Coupling Devices and Towing Methods



Sec. 393.70  Coupling devices and towing methods, except for driveaway-towaway operations.

    (a) Tracking. When two or more vehicles are operated in combination, 
the coupling devices connecting the vehicles shall be designed, 
constructed, and installed, and the vehicles shall be designed and 
constructed, so that when the combination is operated in a straight line 
on a level, smooth, paved surface, the path of the towed vehicle will 
not deviate more than 3 inches to either side of the path of the vehicle 
that tows it.
    (b) Fifth wheel assemblies--(1) Mounting--(i) Lower half. The lower 
half of a fifth wheel mounted on a truck tractor or converter dolly must 
be secured to the frame of that vehicle with properly designed brackets, 
mounting plates or angles and properly tightened bolts of adequate size 
and grade, or devices that provide equivalent security. The installation 
shall not cause cracking, warping, or deformation of the frame. The 
installation must include a device for positively preventing the lower 
half of the fifth wheel from shifting on the frame to which it is 
attached.
    (ii) Upper half. The upper half of a fifth wheel must be fastened to 
the motor vehicle with at least the same security required for the 
installation of the lower half on a truck tractor or converter dolly.

[[Page 942]]

    (2) Locking. Every fifth wheel assembly must have a locking 
mechanism. The locking mechanism, and any adapter used in conjunction 
with it, must prevent separation of the upper and lower halves of the 
fifth wheel assembly unless a positive manual release is activated. The 
release may be located so that the driver can operate it from the cab. 
If a motor vehicle has a fifth wheel designed and constructed to be 
readily separable, the fifth wheel locking devices shall apply 
automatically on coupling.
    (3) Location. The lower half of a fifth wheel shall be located so 
that, regardless of the condition of loading, the relationship between 
the kingpin and the rear axle or axles of the towing motor vehicle will 
properly distribute the gross weight of both the towed and towing 
vehicles on the axles of those vehicles, will not unduly interfere with 
the steering, braking, and other maneuvering of the towing vehicle, and 
will not otherwise contribute to unsafe operation of the vehicles 
comprising the combination. The upper half of a fifth wheel shall be 
located so that the weight of the vehicles is properly distributed on 
their axles and the combination of vehicles will operate safely during 
normal operation.
    (c) Towing of full trailers. A full trailer must be equipped with a 
tow-bar and a means of attaching the tow-bar to the towing and towed 
vehicles. The tow-bar and the means of attaching it must--
    (1) Be structurally adequate for the weight being drawn;
    (2) Be properly and securely mounted;
    (3) Provide for adequate articulation at the connection without 
excessive slack at that location; and
    (4) Be provided with a locking device that prevents accidental 
separation of the towed and towing vehicles. The mounting of the trailer 
hitch (pintle hook or equivalent mechanism) on the towing vehicle must 
include reinforcement or bracing of the frame sufficient to produce 
strength and rigidity of the frame to prevent its undue distortion.
    (d) Safety devices in case of tow-bar failure or disconnection. 
Every full trailer and every converter dolly used to convert a 
semitrailer to a full trailer must be coupled to the frame, or an 
extension of the frame, of the motor vehicle which tows it with one or 
more safety devices to prevent the towed vehicle from breaking loose in 
the event the tow-bar fails or becomes disconnected. The safety device 
must meet the following requirements:
    (1) The safety device must not be attached to the pintle hook or any 
other device on the towing vehicle to which the tow-bar is attached. 
However, if the pintle hook or other device was manufactured prior to 
July 1, 1973, the safety device may be attached to the towing vehicle at 
a place on a pintle hook forging or casting if that place is independent 
of the pintle hook.
    (2) The safety device must have no more slack than is necessary to 
permit the vehicles to be turned properly.
    (3) The safety device, and the means of attaching it to the 
vehicles, must have an ultimate strength of not less than the gross 
weight of the vehicle or vehicles being towed.
    (4) The safety device must be connected to the towed and towing 
vehicles and to the tow-bar in a manner which prevents the tow-bar from 
dropping to the ground in the event it fails or becomes disconnected.
    (5) Except as provided in paragraph (d)(6) of this section, if the 
safety device consists of safety chains or cables, the towed vehicle 
must be equipped with either two safety chains or cables or with a 
bridle arrangement of a single chain or cable attached to its frame or 
axle at two points as far apart as the configuration of the frame or 
axle permits. The safety chains or cables shall be either two separate 
pieces, each equipped with a hook or other means for attachment to the 
towing vehicle, or a single piece leading along each side of the tow-bar 
from the two points of attachment on the towed vehicle and arranged into 
a bridle with a single means of attachment to be connected to the towing 
vehicle. When a single length of cable is used, a thimble and twin-base 
cable clamps shall be used to form the forward bridle eye. The hook or 
other means of attachment to the towing vehicle shall be secured to the 
chains or cables in a fixed position.
    (6) If the towed vehicle is a converter dolly with a solid tongue 
and without a

[[Page 943]]

hinged tow-bar or other swivel between the fifth wheel mounting and the 
attachment point of the tongue eye or other hitch device--
    (i) Safety chains or cables, when used as the safety device for that 
vehicle, may consist of either two chains or cables or a single chain or 
cable used alone;
    (ii) A single safety device, including a single chain or cable used 
alone as the safety device, must be in line with the centerline of the 
trailer tongue; and
    (iii) The device may be attached to the converter dolly at any point 
to the rear of the attachment point of the tongue eye or other hitch 
device.
    (7) Safety devices other than safety chains or cables must provide 
strength, security of attachment, and directional stability equal to, or 
greater than, safety chains or cables installed in accordance with 
paragraphs (d) (5) and (6) of this section.
    (8) When two safety devices, including two safety chains or cables, 
are used and are attached to the towing vehicle at separate points, the 
points of attachment on the towing vehicle shall be located equally 
distant from, and on opposite sides of, the centerline of the towing 
vehicle. Where two chains or cables are attached to the same point on 
the towing vehicle, and where a bridle or a single chain or cable is 
used, the point of attachment must be on the longitudinal centerline of 
the towing vehicle. A single safety device, other than a chain or cable, 
must also be attached to the towing vehicle at a point on its 
longitudinal centerline.

[37 FR 21439, Oct. 11, 1972]



Sec. 393.71  Coupling devices and towing methods, driveaway-towaway operations.

    (a) Number in combination. (1) No more than three saddle-mounts may 
be used in any combination.
    (2) No more than one tow-bar may be used in any combination.
    (3) When motor vehicles are towed by means of triple saddle-mounts, 
the towed vehicles shall have brakes acting on all wheels which are in 
contact with the roadway.
    (b) Carrying vehicles on towing vehicle. (1) When adequately and 
securely attached by means equivalent in security to that provided in 
paragraph (j)(2) of this section, a motor vehicle or motor vehicles may 
be full-mounted on the structure of a towing vehicle engaged in any 
driveaway-towaway operation.
    (2) No motor vehicle or motor vehicles may be full-mounted on a 
towing vehicle unless the relationship of such full-mounted vehicles to 
the rear axle or axles results in proper distribution of the total gross 
weight of the vehicles and does not unduly interfere with the steering, 
braking, or maneuvering of the towing vehicle, or otherwise contribute 
to the unsafe operation of the vehicles comprising the combination.
    (c) Carrying vehicles on towed vehicles. (1) When adequately and 
securely attached by means equivalent in security to that provided in 
paragraph (j)(2) of this section, a motor vehicle or motor vehicles may 
be full-mounted on the structure of towed vehicles engaged in any 
driveaway-towaway operation.
    (2) No motor vehicle shall be full-mounted on a motor vehicle towed 
by means of a tow-bar unless the towed vehicle is equipped with brakes 
and is provided with means for effective application of brakes acting on 
all wheels and is towed on its own wheels.
    (3) No motor vehicle or motor vehicles shall be full-mounted on a 
motor vehicle towed by means of a saddle-mount unless the center line of 
the kingpin or equivalent means of attachment of such towed vehicle 
shall be so located on the towing vehicle that the relationship to the 
rear axle or axles results in proper distribution of the total gross 
weight of the vehicles and does not unduly interfere with the steering, 
braking, or maneuvering of the towing vehicle or otherwise contribute to 
the unsafe operation of vehicles comprising the combination; and unless 
a perpendicular to the ground from the center of gravity of the full-
mounted vehicles lies forward of the center line of the rear axle of the 
saddle-mounted vehicle.
    (4) If a motor vehicle towed by means of a double saddle-mount has 
any vehicle full-mounted on it, such saddle-mounted vehicle shall at all 
times while so loaded have effective brakes acting on those wheels which 
are in contact with the roadway.

[[Page 944]]

    (d) Bumper tow-bars on heavy vehicles prohibited. Tow-bars of the 
type which depend upon the bumpers as a means of transmitting forces 
between the vehicles shall not be used to tow a motor vehicle weighing 
more than 5,000 pounds.
    (e) Front wheels of saddle-mounted vehicles restrained. A motor 
vehicle towed by means of a saddle-mount shall have the motion of the 
front wheels restrained if under any condition of turning of such wheels 
they will project beyond the widest part of either the towed or towing 
vehicle.
    (f) Vehicles to be towed in forward position. Unless the steering 
mechanism is adequately locked in a straight-forward position, all motor 
vehicles towed by means of a saddle-mount shall be towed with the front 
end mounted on the towing vehicle.
    (g) Means required for towing. (1) No motor vehicle or motor 
vehicles shall be towed in driveaway-towaway operations by means other 
than tow-bar or saddle-mount connections which shall meet the 
requirements of this section.
    (2) For the purpose of the regulations of this part:
    (i) Coupling devices such as those used for towing house trailers 
and employing ball and socket connections shall be considered as tow-
bars.
    (ii) Motor vehicles or parts of motor vehicles adequately, securely, 
and rigidly attached by devices meeting the requirements of paragraph 
(n) of this section shall be considered as one vehicle in any position 
in any combination.
    (h) Requirements for tow-bars. Tow-bars shall comply with the 
following requirements:
    (1) Tow-bars, structural adequacy and mounting. Every tow-bar shall 
be structurally adequate and properly installed and maintained. To 
insure that it is structurally adequate, it must, at least, meet the 
requirements of the following table:

------------------------------------------------------------------------
                                    Longitudinal strength in tension and
                                               compression\2\
                                   -------------------------------------
                                                 New tow-
                                                   bars      Strength as
   Gross weight of towed vehicle                 acquired    a beam (in
            (pounds)\1\                          and used        any
                                     All tow-   by a motor    direction
                                       bars       carrier   concentrated
                                                   after       load at
                                                 Sept. 30,   center)2,3
                                                   1948
------------------------------------------------------------------------
                                                   Pounds
 
                                   -------------------------------------
Less than 5,000...................       3,000       6,500        3,000
5,000 and over....................  ..........  ..........  ............
Less than 10,000..................       6,000      (\1\ )       (\1\ )
10,000 and over...................  ..........  ..........  ............
Less than 15,000..................       9,000      (\1\ )       (\1\ )
------------------------------------------------------------------------
\1\ The required strength of tow-bars for towed vehicles of 15,000
  pounds and over gross weight and of new tow-bars acquired and used
  after Sept. 30, 1948, for towed vehicles of 5,000 pounds and over
  gross weight shall be computed by means of the following formulae:
  Longitudinal strength=gross weight of towed vehicle x 1.3. Strength as
  a beam=gross weight of towed vehicle x 0.6.
\2\ In testing, the whole unit shall be tested with all clamps, joints,
  and pins so mounted and fastened as to approximate conditions of
  actual operation.
\3\ This test shall be applicable only to tow-bars which are, in normal
  operation, subjected to a bending movement such as tow-bars for house
  trailers.

    (2) Tow-bars, jointed. The tow-bar shall be so constructed as to 
freely permit motion in both horizontal and vertical planes between the 
towed and towing vehicles. The means used to provide the motion shall be 
such as to prohibit the transmission of stresses under normal operation 
between the towed and towing vehicles, except along the longitudinal 
axis of the tongue or tongues.
    (3) Tow-bar fastenings. The means used to transmit the stresses to 
the chassis or frames of the towed and towing vehicles may be either 
temporary structures or bumpers or other integral parts of the vehicles: 
Provided, however, That the means used shall be so constructed, 
installed, and maintained that when tested as an assembly, failure in 
such members shall not occur when the weakest new tow-bar which is 
permissible under paragraph (h)(1) of this section is subjected to the 
tests given therein.
    (4) Means of adjusting length. On tow-bars, adjustable as to length, 
the means used to make such adjustment shall fit tightly and not result 
in any slackness or permit the tow-bar to

[[Page 945]]

bend. With the tow-bar supported rigidly at both ends and with a load of 
50 pounds at the center, the sag, measured at the center, in any 
direction shall not exceed 0.25 inch under any condition of adjustment 
as to length.
    (5) Method of clamping. Adequate means shall be provided for 
securely fastening the tow-bar to the towed and towing vehicles.
    (6) Tow-bar connection to steering mechanism. The tow-bar shall be 
provided with suitable means of attachment to and actuation of the 
steering mechanism, if any, of the towed vehicle. The attachment shall 
provide for sufficient angularity of movement of the front wheels of the 
towed vehicle so that it may follow substantially in the path of the 
towing vehicle without cramping the tow-bar. The tow-bar shall be 
provided with suitable joints to permit such movement.
    (7) Tracking. The tow-bar shall be so designed, constructed, 
maintained, and mounted as to cause the towed vehicle to follow 
substantially in the path of the towing vehicle. Tow-bars of such design 
on in our condition as to permit the towed vehicle to deviate more than 
3 inches to either side of the path of a towing vehicle moving in a 
straight line as measured from the center of the towing vehicle are 
prohibited.
    (8) Passenger car-trailer type couplings. Trailer couplings used for 
driveaway-towaway operations of passenger car trailers shall conform to 
Society of Automotive Engineers Standard No. J684c, ``Trailer Couplings 
and Hitches--Automotive Type,'' July 1970.1
---------------------------------------------------------------------------

    1  See footnote 1 to Sec. 393.24(c).
---------------------------------------------------------------------------

    (9) Marking tow-bars. Every tow-bar acquired and used in driveaway-
towaway operations by a motor carrier shall be plainly marked with the 
following certification of the manufacturer thereof (or words of 
equivalent meaning):

    This tow-bar complies with the requirements of the Federal Highway 
Administration for (maximum gross weight for which tow-bar is 
manufactured) vehicles.
Allowable Maximum Gross Weight__________________________________________
Manufactured____________________________________________________________
                    (month and year)
by______________________________________________________________________
          (name of manufacturer)


Tow-bar certification manufactured before the effective date of this 
regulation must meet requirements in effect at the time of manufacture.
    (10) Safety devices in case of tow-bar failure or disconnection. (i) 
The towed vehicle shall be connected to the towing vehicle by a safety 
device to prevent the towed vehicle from breaking loose in the event the 
tow-bar fails or becomes disconnected. When safety chains or cables are 
used as the safety device for that vehicle, at least two safety chains 
or cables meeting the requirements of paragraph (h)(10)(ii) of this 
section shall be used. The tensile strength of the safety device and the 
means of attachment to the vehicles shall be at least equivalent to the 
corresponding longitudinal strength for tow-bars required in the table 
of paragraph (h)(1) of this section. If safety chains or cables are used 
as the safety device, the required strength shall be the combined 
strength of the combination of chains and cables.
    (ii) If chains or cables are used as the safety device, they shall 
be crossed and attached to the vehicles near the points of bumper 
attachments to the chassis of the vehicles. The length of chain used 
shall be no more than necessary to permit free turning of the vehicles. 
The chains shall be attached to the tow-bar at the point of crossing or 
as close to that point as is practicable.
    (iii) A safety device other than safety chains or cables must 
provide strength, security of attachment, and directional stability 
equal to, or greater than, that provided by safety chains or cables 
installed in accordance with paragraph (h)(10)(ii) of this section. A 
safety device other than safety chains or cables must be designed, 
constructed, and installed so that, if the tow-bar fails or becomes 
disconnected, the tow-bar will not drop to the ground.
    (i) [Reserved]
    (j) Requirements for upper-half of saddle-mounts. The upper-half of 
any saddle-mount shall comply with the following requirements:
    (1) Upper-half connection to towed vehicle. The upper-half shall be 
securely attached to the frame or axle of the towed vehicle by means of 
U-bolts or other means providing at least equivalent security.

[[Page 946]]

    (2) U-bolts or other attachments. U-bolts used to attach the upper 
half to the towed vehicle shall be made of steel rod, free of defects, 
so shaped as to avoid at any point a radius of less than 1 inch: 
Provided, however, That a lesser radius may be utilized if the U-bolt is 
so fabricated as not to cause more than 5 percent reduction in cross-
sectional area at points of curvature, in which latter event the minimum 
radius shall be one-sixteenth inch. U-bolts shall have a diameter not 
less than required by the following table:

                      Diameter of U-Bolts in Inches
------------------------------------------------------------------------
                                        Double or triple saddle-mount
                                    ------------------------------------
 Weight in pounds of heaviest towed            Middle
              vehicle                 Front      or      Rear    Single
                                      mount    front    mount    saddle-
                                               mount            mount\1\
------------------------------------------------------------------------
Up to 5,000........................    0.625   0.5625    0.500     0.500
5,000 and over.....................   0.6875    0.625   0.5625    0.5625
------------------------------------------------------------------------
\1\ The total weight of all the vehicles being towed shall govern. If
  other devices are used to accomplish the same purposes as U-bolts they
  shall have at least equivalent strength of U-bolts made of mild steel.
  Cast iron shall not be used for clamps or any other holding devices.

    (3) U-bolts and points of support, location. The distance between 
the most widely separated U-bolts shall not be less than 9 inches. The 
distance between the widely separated points where the upper-half 
supports the towed vehicle shall not be less than 9 inches, except that 
saddle-mounts employing ball and socket joints shall employ a device 
which clamps the axle of the towed vehicle throughout a length of not 
less than 5 inches.
    (4) Cradle-type upper-halves, specifications. Upper-halves of the 
cradle-type using vertical members to restrain the towed vehicle from 
relative movement in the direction of motion of the vehicles shall be 
substantially constructed and adequate for the purpose. Such cradle-
mounts shall be equipped with at least one bolt or equivalent means to 
provide against relative vertical movement between the upper-half and 
the towed vehicle. Bolts, if used, shall be at least one-half inch in 
diameter. Devices using equivalent means shall have at least equivalent 
strength. The means used to provide against relative vertical motion 
between the upper-half and the towed vehicle shall be such as not to 
permit a relative motion of over one-half inch. The distance between the 
most widely separated points of support between the upper-half and the 
towed vehicle shall be at least 9 inches.
    (5) Lateral movement of towed vehicle. (i) Towed vehicles having a 
straight axle or an axle having a drop of less than 3 inches, unless the 
saddle-mount is constructed in accordance with paragraph (m)(2) of this 
section, shall be securely fastened by means of chains or cables to the 
upper-half so as to insure against relative lateral motion between the 
towed vehicle and the upper-half. The chains or cables shall be at least 
\3/16\-inch diameter and secured by bolts of at least equal diameter.
    (ii) Towed vehicles with an axle with a drop of 3 inches or more, or 
connected by a saddle-mount constructed in accordance with paragraph 
(m)(2) of this section, need not be restrained by chains or cables 
provided that the upper-half is so designed as to provide against such 
relative motion.
    (iii) Chains or cables shall not be required if the upper-half is so 
designed as positively to provide against lateral movement of the axle.
    (k) Requirements for lower half of saddle-mounts. The lower half of 
any saddle-mount shall comply with the following requirements:
    (1) U-bolts or other attachments. U-bolts used to attach the lower 
half to the towing vehicle shall be made of steel rod, free of defects, 
so shaped as to avoid at any point a radius of less than 1 inch: 
Provided, however, That a lesser radius may be utilized if the U-bolt is 
so fabricated as not to cause more than 5 percent reduction in cross-
sectional area at points of curvature, in which latter event the minimum 
radius shall be one-sixteenth inch. U-bolts shall have a total cross-
sectional area not less than as required by the following table:

         Total Cross-Sectional Area of U-Bolts in Square Inches
------------------------------------------------------------------------
                                        Double or triple saddle-mount
                                    ------------------------------------
 Weight in pounds of heaviest towed            Middle
              vehicle                 Front      or      Rear    Single
                                      mount    front    mount    saddle-
                                               mount            mount\1\
------------------------------------------------------------------------
Up to 5,000........................      1.2      1.0      0.8       0.8
5,000 and over.....................      1.4      1.2      1.0       1.0
------------------------------------------------------------------------
\1\ The total weight of all the vehicles being towed shall govern. If
  other devices are used to accomplish the same purposes as U-bolts they
  shall have at least equivalent strength of U-bolts made of mild steel.
  Cast iron shall not be used for clamps or any other holding devices.


[[Page 947]]

    (2) Shifting. Adequate provision shall be made by design and 
installation to provide against relative movement between the lower-half 
and the towing vehicle especially during periods of rapid acceleration 
and deceleration. To insure against shifting, designs of the tripod type 
shall be equipped with adequate and securely fastened hold-back chains 
or similar devices.
    (3) Swaying. (i) Adequate provision shall be made by design and 
installation to provide against swaying or lateral movement of the towed 
vehicle relative to the towing vehicle. To insure against swaying, 
lower-halves designed with cross-members attached to but separable from 
vertical members shall have such cross-members fastened to the vertical 
members by at least two bolts on each side. Such bolts shall be of at 
least equivalent cross-sectional area as those required for U-bolts for 
the corresponding saddle-mount as given in the table in paragraph (k)(1) 
of this section. The minimum distance between the most widely separated 
points of support of the cross-member by the vertical member shall be 
three inches as measured in a direction parallel to the longitudinal 
axis of the towing vehicle.
    (ii) The lower-half shall have a bearing surface on the frame of the 
towing vehicle of such dimensions that the pressure exerted by the 
lower-half upon the frame of the towing vehicle shall not exceed 200 
pounds per square inch under any conditions of static loading. Hardwood 
blocks or blocks of other suitable material, such as hard rubber, 
aluminum or brakelining, if used between the lower half and the frame of 
the towing vehicle shall be at least \1/2\ inch thick, 3 inches wide, 
and a combined length of 6 inches.
    (iii) Under no condition shall the highest point of support of the 
towed vehicle by the upper-half be more than 24 inches, measured 
vertically, above the top of the frame of the towing vehicle, measured 
at the point where the lower-half rests on the towing vehicle.
    (4) Wood blocks. (i) Hardwood blocks of good quality may be used to 
build up the height of the front end of the towed vehicle, provided that 
the total height of such wood blocks shall not exceed 8 inches and not 
over two separate pieces are placed upon each other to obtain such 
height; however, hardwood blocks, not over 4 in number, to a total 
height not to exceed 14 inches, may be used if the total cross-sectional 
area of the U-bolts used to attach the lower-half of the towing vehicle 
is at least 50 percent greater than that required by the table contained 
in paragraph (k)(1) of this section, or, if other devices are used in 
lieu of U-bolts, they shall provide for as great a resistance to bending 
as is provided by the larger U-bolts above prescribed.
    (ii) Hardwood blocks must be at least 4 inches in width and the 
surfaces between blocks or block and lower-half or block and upper-half 
shall be planed and so installed and maintained as to minimize any 
tendency of the towed vehicle to sway or rock.
    (5) Cross-member, general requirements. The cross-member, which is 
that part of the lower-half used to distribute the weight of the towed 
vehicle equally to each member of the frame of the towing vehicle, if 
used, shall be structurally adequate and properly installed and 
maintained adequately to perform this function.
    (6) Cross-member, use of wood. No materials, other than suitable 
metals, shall be used as the cross-member, and wood may not be used 
structurally in any manner that will result in its being subject to 
tensile stresses. Wood may be used in cross-members if supported 
throughout its length by suitable metal cross-members.
    (7) Lower half strength. The lower half shall be capable of 
supporting the loads given in the following table. For the purpose of 
test, the saddle-mount shall be mounted as normally operated and the 
load applied through the upper half:

                       Minimum Test Load in Pounds
------------------------------------------------------------------------
                                        Double or triple saddle-mount
                                    ------------------------------------
 Weight in pounds of heaviest towed            Middle
              vehicle                 Front      or      Rear    Single
                                      mount    front    mount    saddle-
                                               mount            mount\1\
------------------------------------------------------------------------
Up to 5,000........................   15,000   10,000    5,000     5,000
5,000 and over.....................   30,000   20,000   10,000    10,000
------------------------------------------------------------------------
\1\ The total weight of all the vehicles being towed shall govern.

    (l) Requirements for kingpins of saddle-mounts. The kingpin of any 
saddle-

[[Page 948]]

mount shall comply with the following requirements:
    (1) Kingpin size. (i) Kingpins shall be constructed of steel 
suitable for the purpose, free of defects, and having a diameter not 
less than required by the following table:

                                       Diameter of Solid Kingpin in Inches
----------------------------------------------------------------------------------------------------------------
                                                            Double or triple saddle-mount
                                   -----------------------------------------------------------------------------
                                        Front mount       Middle or front       Rear mount       Single saddle-
Weight in pounds of heaviest towed --------------------        mount       --------------------     mount\1\
              vehicle                                  --------------------                    -----------------
                                      Mild   H.T.S.\2\    Mild                Mild   H.T.S.\2\    Mild
                                     steel               steel   H.T.S.\2\   steel               steel    H.T.S.
----------------------------------------------------------------------------------------------------------------
Up to 5,000.......................    1.125     1.000     1.000     0.875     0.875     0.750     0.875    0.750
5,000 and over....................    1.500     1.125     1.250     1.000     1.000     0.875     1.000    0.875
----------------------------------------------------------------------------------------------------------------
\1\ The total weight of all the vehicles being towed shall govern.
\2\ High-tensile steel is steel having a minimum ultimate strength of 65,000 pounds per square inch.

    (ii) If a ball and socket joint is used in place of a kingpin, the 
diameter of the neck of the ball shall be at least equal to the diameter 
of the corresponding solid kingpin given in the above table. If hollow 
kingpins are used, the metallic cross-sectional area shall be at least 
equal to the cross-sectional area of the corresponding solid kingpin.
    (2) Kingpin fit. If a kingpin bushing is not used, the king-pin 
shall fit snugly into the upper and lower-halves but shall not bind. 
Those portions of the upper or lower-halves in moving contact with the 
kingpin shall be smoothly machined with no rough or sharp edges. The 
bearing surface thus provided shall not be less in depth than the radius 
of the kingpin.
    (3) Kingpin bushing on saddle-mounts. The kingpin of all new saddle-
mounts acquired and used shall be snugly enclosed in a bushing at least 
along such length of the kingpin as may be in moving contact with either 
the upper or lower-halves. The bearing surface thus provided shall not 
be less in depth than the radius of the kingpin.
    (4) Kingpin to restrain vertical motion. The kingpin shall be so 
designed and installed as to restrain the upper-half from moving in a 
vertical direction relative to the lower-half.
    (m) Additional requirements for saddle-mounts. Saddle-mounts shall 
comply with the following requirements:
    (1) Bearing surface between upper and lower-halves. The upper and 
lower-halves shall be so constructed and connected that the bearing 
surface between the two halves shall not be less than 16 square inches 
under any conditions of angularity between the towing and towed 
vehicles: Provided, however, That saddle-mounts using a ball and socket 
joint shall have a ball of such dimension that the static bearing load 
shall not exceed 800 pounds per square inch, based on the projected 
cross-sectional area of the ball: And further provided, That saddle-
mounts having the upper-half supported by ball, taper, or roller-
bearings shall not have such bearings loaded beyond the limits 
prescribed for such bearings by the manufacturer thereof. The upper-half 
shall rest evenly and smoothly upon the lower-half and the contact 
surfaces shall be lubricated and maintained so that there shall be a 
minimum of frictional resistance between the parts.
    (2) Saddle-mounts, angularity. All saddle-mounts acquired and used 
shall provide for angularity between the towing and towed vehicles due 
to vertical curvatures of the highway. Such means shall not depend upon 
either the looseness or deformation of the parts of either the saddle-
mount or the vehicles to provide for such angularity.
    (3) Tracking. The saddle-mount shall be so designed, constructed, 
maintained, and installed that the towed vehicle or vehicles will follow 
substantially in the path of the towing vehicle without swerving. Towed 
vehicles shall not deviate more than 3 inches to either side of the path 
of the towing vehicle when moving in a straight line.
    (4) Prevention of frame bending. Where necessary, provision shall be 
made to prevent the bending of the frame of the

[[Page 949]]

towing vehicle by insertion of suitable blocks inside the frame channel 
to prevent kinking. The saddle-mount shall not be so located as to cause 
deformation of the frame by reason of cantilever action.
    (5) Extension of frame. No saddle-mount shall be located at a point 
to the rear of the frame of a towing vehicle.
    (6) Nuts, secured. All nuts used on bolts, U-bolts, king-pins, or in 
any other part of the saddle-mount shall be secured against accidental 
disconnection by means of cotter-keys, lock-washers, double nuts, safety 
nuts, or equivalent means. Parts shall be so designed and installed that 
nuts shall be fully engaged.
    (7) Inspection of all parts. The saddle-mount shall be so designed 
that it may be disassembled and each separate part inspected for worn, 
bent, cracked, broken, or missing parts.
    (8) Saddle-mounts, marking. Every new saddle-mount acquired and used 
in driveaway-towaway operations by a motor carrier shall have the upper-
half and the lower-half separately marked with the following 
certification of the manufacturer thereof (or words of equivalent 
meaning).

    This saddle-mount complies with the requirements of the Federal 
Highway Administration for vehicles up to 5,000 pounds (or over 5,000 
pounds):

Manufactured____________________________________________________________
                                                        (Month and year)
by______________________________________________________________________
                                                  (Name of manufacturer)

    (n) Requirements for devices used to connect motor vehicles or parts 
of motor vehicles together to form one vehicle--(1) Front axle 
attachment. The front axle of one motor vehicle intended to be coupled 
with another vehicle as defined in paragraph (g)(2)(ii) of this section 
shall be attached with U-bolts meeting the requirements of paragraph 
(j)(2) of this section.
    (2) Rear axle attachment. The rear axle of one vehicle shall be 
coupled to the frame of the other vehicle by means of a connecting 
device which when in place forms a rectangle. The device shall be 
composed of two pieces, top and bottom. The device shall be made of 4-
inch by \1/2\-inch steel bar bent to shape and shall have the corners 
reinforced with a plate at least 3 inches by \1/2\ inch by 8 inches 
long. The device shall be bolted together with \3/4\-inch bolts and at 
least three shall be used on each side. Wood may be used as spacers to 
keep the frames apart and it shall be at least 4 inches square.

(Sec. 12, 80 Stat. 931; 49 U.S.C. 1651 note; section 6 of the Department 
of Transportation Act, 49 U.S.C. 1655, and the delegations of authority 
at 49 CFR 1.48 and 389.4)

[33 FR 19735, Dec. 25, 1968, as amended at 35 FR 10907, July 7, 1970; 37 
FR 21440, Oct. 11, 1972; 53 FR 49400, Dec. 7, 1988]



             Subpart G--Miscellaneous Parts and Accessories



Sec. 393.75  Tires.

    (a) No motor vehicle shall be operated on any tire that (1) has body 
ply or belt material exposed through the tread or sidewall, (2) has any 
tread or sidewall separation, (3) is flat or has an audible leak, or (4) 
has a cut to the extent that the ply or belt material is exposed.
    (b) Any tire on the front wheels of a bus, truck, or truck tractor 
shall have a tread groove pattern depth of at least \4/32\ of an inch 
when measured at any point on a major tread groove. The measurements 
shall not be made where tie bars, humps, or fillets are located.
    (c) Except as provided in paragraph (b) of this section, tires shall 
have a tread groove pattern depth of at least \2/32\ of an inch when 
measured in a major tread groove. The measurement shall not be made 
where tie bars, humps or fillets are located.
    (d) No bus shall be operated with regrooved, recapped or retreaded 
tires on the front wheels.
    (e) No truck or truck tractor shall be operated with regrooved tires 
on the front wheels which have a load carrying capacity equal to or 
greater than that of 8.25-20 8 ply-rating tires.
    (f) Tire loading restrictions. With the exception of manufactured 
homes, no motor vehicle shall be operated with tires that carry a weight 
greater than that marked on the sidewall of the tire or, in the absence 
of such a marking, a weight greater than that specified for the tires in 
any of the publications of

[[Page 950]]

any of the organizations listed in Federal Motor Vehicle Safety Standard 
No. 119 (49 CFR 571.119, S5.1(b)) unless:
    (1) The vehicle is being operated under the terms of a special 
permit issued by the State; and
    (2) The vehicle is being operated at a reduced speed to compensate 
for the tire loading in excess of the manufacturer's rated capacity for 
the tire. In no case shall the speed exceed 80 km/hr (50 mph).
    (g) Tire loading restrictions for manufactured homes. Effective 
November 16, 1998, tires used for the transportation of manufactured 
homes (i.e., tires marked or labeled 7-14.5MH and 8-14.5MH) may be 
loaded up to 18 percent over the load rating marked on the sidewall of 
the tire or, in the absence of such a marking, 18 percent over the load 
rating specified in any of the publications of any of the organizations 
listed in FMVSS No. 119 (49 CFR 571.119, S5.1(b)). Manufactured homes 
which are labeled (24 CFR 3282.7(r)) on or after November 16, 1998 shall 
comply with this section. Manufactured homes transported on tires 
overloaded by 9 percent or more must not be operated at speeds exceeding 
80 km/hr (50 mph). This provision will expire November 20, 2000 unless 
extended by mutual consent of the FHWA and the Department of Housing and 
Urban Development after review of appropriate tests or other data 
submitted by the industry or other interested parties.
    (h) Tire inflation pressure. (1) No motor vehicle shall be operated 
on a tire which has a cold inflation pressure less than that specified 
for the load being carried.
    (2) If the inflation pressure of the tire has been increased by heat 
because of the recent operation of the vehicle, the cold inflation 
pressure shall be estimated by subtracting the inflation buildup factor 
shown in Table 1 from the measured inflation pressure.

      Table 1.--Inflation Pressure Measurement Correction for Heat
------------------------------------------------------------------------
                                    Minimum inflation pressure buildup
                                 ---------------------------------------
Average speed of vehicle  in the   Tires with 1,814
          previous hour             kg (4,000 lbs.)     Tires with over
                                     maximum load       1,814 kg (4,000
                                    rating or less     lbs.) load rating
------------------------------------------------------------------------
66-88.5 km/hr (41-55 mph).......  34.5 kPa (5 psi)..  103.4 kPa (15
                                                       psi).
------------------------------------------------------------------------


[34 FR 9344, June 13, 1969, as amended at 40 FR 44557, Sept. 29, 1975; 
41 FR 36657, Aug. 31, 1976; 44 FR 25455, May 1, 1979; 44 FR 47938, Aug. 
16, 1979; 53 FR 18057, May 19, 1988; 53 FR 49401, Dec. 7, 1988; 63 FR 
8339, Feb. 18, 1998]



Sec. 393.76  Sleeper berths.

    (a) Dimensions--(1) Size. A sleeper berth must be at least the 
following size:

------------------------------------------------------------------------
                                                    Width       Height
                                      Length      measured     measured
                                    measured on      on          from
  Date of installation on motor     centerline   centerline    highest
             vehicle                    of           of        point of
                                   longitudinal  transverse     top of
                                       axis         axis       mattress
                                     (inches)     (inches)   (inches)\1\
------------------------------------------------------------------------
Before January 1, 1953...........           72           18           18
After December 31, 1952, and                75           21           21
 before October 1, 1975..........
After September 30, 1975.........           75           24           24
------------------------------------------------------------------------
\1\ In the case of a sleeper berth which utilizes an adjustable
  mechanical suspension system, the required clearance can be measured
  when the suspension system is adjusted to the height to which it would
  settle when occupied by a driver.

    (2) Shape. A sleeper berth installed on a motor vehicle on or after 
January 1, 1953 must be of generally rectangular shape, except that the 
horizontal corners and the roof corners may be rounded to radii not 
exceeding 10\1/2\ inches.
    (3) Access. A sleeper berth must be constructed so that an 
occupant's ready entrance to, and exit from, the sleeper berth is not 
unduly hindered.
    (b) Location. (1) A sleeper berth must not be installed in or on a 
semitrailer or a full trailer other than a house trailer.
    (2) A sleeper berth located within the cargo space of a motor 
vehicle must be securely compartmentalized from the

[[Page 951]]

remainder of the cargo space. A sleeper berth installed on or after 
January 1, 1953 must be located in the cab or immediately adjacent to 
the cab and must be securely fixed with relation to the cab.
    (c) Exit from the berth. (1) Except as provided in paragraph (c)(2) 
of this section, there must be a direct and ready means of exit from a 
sleeper berth into the driver's seat or compartment. If the sleeper 
berth was installed on or after January 1, 1963, the exit must be a 
doorway or opening at least 18 inches high and 36 inches wide. If the 
sleeper berth was installed before January 1, 1963, the exit must have 
sufficient area to contain an ellipse having a major axis of 24 inches 
and a minor axis of 16 inches.
    (2) A sleeper berth installed before January 1, 1953 must either:
    (i) Conform to the requirements of paragraph (c)(1) of this section; 
or
    (ii) Have at least two exits, each of which is at least 18 inches 
high and 21 inches wide, located at opposite ends of the vehicle and 
useable by the occupant without the assistance of any other person.
    (d) Communication with the driver. A sleeper berth which is not 
located within the driver's compartment and has no direct entrance into 
the driver's compartment must be equipped with a means of communication 
between the occupant and the driver. The means of communication may 
consist of a telephone, speaker tube, buzzer, pull cord, or other 
mechanical or electrical device.
    (e) Equipment. A sleeper berth must be properly equipped for 
sleeping. Its equipment must include:
    (1) Adequate bedclothing and blankets; and
    (2) Either:
    (i) Springs and a mattress; or
    (ii) An innerspring mattress; or
    (iii) A cellular rubber or flexible foam mattress at least four 
inches thick; or
    (iv) A mattress filled with a fluid and of sufficient thickness when 
filled to prevent ``bottoming-out'' when occupied while the vehicle is 
in motion.
    (f) Ventilation. A sleeper berth must have louvers or other means of 
providing adequate ventilation. A sleeper berth must be reasonably tight 
against dust and rain.
    (g) Protection against exhaust and fuel leaks and exhaust heat. A 
sleeper berth must be located so that leaks in the vehicle's exhaust 
system or fuel system do not permit fuel, fuel system gases, or exhaust 
gases to enter the sleeper berth. A sleeper berth must be located so 
that it will not be overheated or damaged by reason of its proximity to 
the vehicle's exhaust system.
    (h) Occupant restraint. A motor vehicle manufactured on or after 
July 1, 1971, and equipped with a sleeper berth must be equipped with a 
means of preventing ejection of the occupant of the sleeper berth during 
deceleration of the vehicle. The restraint system must be designed, 
installed, and maintained to withstand a minimum total force of 6,000 
pounds applied toward the front of the vehicle and parallel to the 
longitudinal axis of the vehicle.

[39 FR 14711, Apr. 26, 1974; 39 FR 17233, May 14, 1974, as amended at 53 
FR 49401, Dec. 7, 1988]



Sec. 393.77  Heaters.

    On every motor vehicle, every heater shall comply with the following 
requirements:
    (a) Prohibited types of heaters. The installation or use of the 
following types of heaters is prohibited:
    (1) Exhaust heaters. Any type of exhaust heater in which the engine 
exhaust gases are conducted into or through any space occupied by 
persons or any heater which conducts engine compartment air into any 
such space.
    (2) Unenclosed flame heaters. Any type of heater employing a flame 
which is not fully enclosed, except that such heaters are not prohibited 
when used for heating the cargo of tank motor vehicles.
    (3) Heaters permitting fuel leakage. Any type of heater from the 
burner of which there could be spillage or leakage of fuel upon the 
tilting or overturning of the vehicle in which it is mounted.
    (4) Heaters permitting air contamination. Any heater taking air, 
heated or to be heated, from the engine compartment or from direct 
contact with any portion of the exhaust system; or any heater taking air 
in ducts from the outside atmosphere to be conveyed

[[Page 952]]

through the engine compartment, unless said ducts are so constructed and 
installed as to prevent contamination of the air so conveyed by exhaust 
or engine compartment gases.
    (5) Solid fuel heaters except wood charcoal. Any stove or other 
heater employing solid fuel except wood charcoal.
    (6) Portable heaters. Portable heaters shall not be used in any 
space occupied by persons except the cargo space of motor vehicles which 
are being loaded or unloaded.
    (b) Heater specifications. All heaters shall comply with the 
following specifications:
    (1) Heating elements, protection. Every heater shall be so located 
or protected as to prevent contact therewith by occupants, unless the 
surface temperature of the protecting grilles or of any exposed portions 
of the heaters, inclusive of exhaust stacks, pipes, or conduits shall be 
lower than would cause contact burns. Adequate protection shall be 
afforded against igniting parts of the vehicle or burning occupants by 
direct radiation. Wood charcoal heaters shall be enclosed within a metal 
barrel, drum, or similar protective enclosure which enclosure shall be 
provided with a securely fastened cover.
    (2) Moving parts, guards. Effective guards shall be provided for the 
protection of passengers or occupants against injury by fans, belts, or 
any other moving parts.
    (3) Heaters, secured. Every heater and every heater enclosure shall 
be securely fastened to the vehicle in a substantial manner so as to 
provide against relative motion within the vehicle during normal usage 
or in the event the vehicle overturns. Every heater shall be so 
designed, constructed, and mounted as to minimize the likelihood of 
disassembly of any of its parts, including exhaust stacks, pipes, or 
conduits, upon overturn of the vehicle in or on which it is mounted. 
Wood charcoal heaters shall be secured against relative motion within 
the enclosure required by paragraph (c)(1) of this section, and the 
enclosure shall be securely fastened to the motor vehicle.
    (4) Relative motion between fuel tank and heater. When either in 
normal operation or in the event of overturn, there is or is likely to 
be relative motion between the fuel tank for a heater and the heater, or 
between either of such units and the fuel lines between them, a suitable 
means shall be provided at the point of greatest relative motion so as 
to allow this motion without causing failure of the fuel lines.
    (5) Operating controls to be protected. On every bus designed to 
transport more than 15 passengers, including the driver, means shall be 
provided to prevent unauthorized persons from tampering with the 
operating controls. Such means may include remote control by the driver; 
installation of controls at inaccessible places; control of adjustments 
by key or keys; enclosure of controls in a locked space, locking of 
controls, or other means of accomplishing this purpose.
    (6) Heater hoses. Hoses for all hot water and steam heater systems 
shall be specifically designed and constructed for that purpose.
    (7) Electrical apparatus. Every heater employing any electrical 
apparatus shall be equipped with electrical conductors, switches, 
connectors, and other electrical parts of ample current-carrying 
capacity to provide against overheating; any electric motor employed in 
any heater shall be of adequate size and so located that it will not be 
overheated; electrical circuits shall be provided with fuses and/or 
circuit breakers to provide against electrical overloading; and all 
electrical conductors employed in or leading to any heater shall be 
secured against dangling, chafing, and rubbing and shall have suitable 
protection against any other condition likely to produce short or open 
circuits.

    Note: Electrical parts certified as proper for use by Underwriters' 
Laboratories, Inc., shall be deemed to comply with the foregoing 
requirements.

    (8) Storage battery caps. If a separate storage battery is located 
within the personnel or cargo space, such battery shall be securely 
mounted and equipped with nonspill filler caps.
    (9) Combustion heater exhaust construction. Every heater employing 
the combustion of oil, gas, liquefied petroleum gas, or any other 
combustible material shall be provided with substantial means of 
conducting the products of

[[Page 953]]

combustion to the outside of the vehicle: Provided, however, That this 
requirement shall not apply to heaters used solely to heat the cargo 
space of motor vehicles where such motor vehicles or heaters are 
equipped with means specifically designed and maintained so that the 
carbon monoxide concentration will never exceed 0.2 percent in the cargo 
space. The exhaust pipe, stack, or conduit if required shall be 
sufficiently substantial and so secured as to provide reasonable 
assurance against leakage or discharge of products of combustion within 
the vehicle and, if necessary, shall be so insulated as to make unlikely 
the burning or charring of parts of the vehicle by radiation or by 
direct contact. The place of discharge of the products of combustion to 
the atmosphere and the means of discharge of such products shall be such 
as to minimize the likelihood of their reentry into the vehicle under 
all operating conditions.
    (10) Combustion chamber construction. The design and construction of 
any combustion-type heater except cargo space heaters permitted by the 
proviso of paragraph (c)(9) of this section and unenclosed flame heaters 
used for heating cargo of tank motor vehicles shall be such as to 
provide against the leakage of products of combustion into air to be 
heated and circulated. The material employed in combustion chambers 
shall be such as to provide against leakage because of corrosion, 
oxidation, or other deterioration. Joints between combustion chambers 
and the air chambers with which they are in thermal and mechanical 
contact shall be so designed and constructed as to prevent leakage 
between the chambers and the materials employed in such joints shall 
have melting points substantially higher than the maximum temperatures 
likely to be attained at the points of jointure.
    (11) Heater fuel tank location. Every bus designed to transport more 
than 15 passengers, including the driver, with heaters of the combustion 
type shall have fuel tanks therefor located outside of and lower than 
the passenger space. When necessary, suitable protection shall be 
afforded by shielding or other means against the puncturing of any such 
tank or its connections by flying stones or other objects.
    (12) Heater, automatic fuel control. Gravity or siphon feed shall 
not be permitted for heaters using liquid fuels. Heaters using liquid 
fuels shall be equipped with automatic means for shutting off the fuel 
or for reducing such flow of fuel to the smallest practicable magnitude, 
in the event of overturn of the vehicle. Heaters using liquefied 
petroleum gas as fuel shall have the fuel line equipped with automatic 
means at the source of supply for shutting off the fuel in the event of 
separation, breakage, or disconnection of any of the fuel lines between 
the supply source and the heater.
    (13) ``Tell-tale'' indicators. Heaters subject to paragraph (c)(14) 
of this section and not provided with automatic controls shall be 
provided with ``tell-tale'' means to indicate to the driver that the 
heater is properly functioning. This requirement shall not apply to 
heaters used solely for the cargo space in semitrailers or full 
trailers.
    (14) Shut-off control. Automatic means, or manual means if the 
control is readily accessible to the driver without moving from the 
driver's seat, shall be provided to shut off the fuel and electrical 
supply in case of failure of the heater to function for any reason, or 
in case the heater should function improperly or overheat. This 
requirement shall not apply to wood charcoal heaters or to heaters used 
solely to heat the contents of cargo tank motor vehicles, but wood 
charcoal heaters must be provided with a controlled method of regulating 
the flow of combustion air.
    (15) Certification required. Every combustion-type heater, except 
wood charcoal heaters, the date of manufacture of which is subsequent to 
December 31, 1952, and every wood charcoal heater, the date of 
manufacture of which is subsequent to September 1, 1953, shall be marked 
plainly to indicate the type of service for which such heater is 
designed and with a certification by the manufacturer that the heater 
meets the applicable requirements for such use. For example, ``Meets 
I.C.C. Bus Heater Requirements,'' Meets I.C.C. Flue-Vented Cargo Space 
Heater Requirements,'' and after December 31,

[[Page 954]]

1967, such certification shall read ``Meets FHWA Bus Heater 
Requirements,'' ``Meets FHWA Flue-Vented Cargo Space Heater 
Requirements,'' etc.
    (i) Exception. The certification for a catalytic heater which is 
used in transporting flammable liquid or gas shall be as prescribed 
under Sec. 177.834(1) of this title.

[33 FR 19735, Dec. 25, 1968, as amended at 40 FR 51198, Nov. 4, 1975; 53 
FR 49401, Dec. 7, 1988]



Sec. 393.78  Windshield wipers.

    (a) Every bus, truck, and truck tractor, having a windshield, shall 
be equipped with at least two automatically-operating windshield wiper 
blades, one on each side of the centerline of the windshield, for 
cleaning rain, snow, or other moisture from the windshield and which 
shall be in such condition as to provide clear vision for the driver, 
unless one such blade be so arranged as to clean an area of the 
windshield extending to within 1 inch of the limit of vision through the 
windshield at each side: Provided, however, That in driveaway-towaway 
operations this section shall apply only to the driven vehicle: And 
provided further, That one windshield wiper blade will suffice under 
this section when such driven vehicle in driveaway-towaway operation 
constitutes part or all of the property being transported and has no 
provision for two such blades.
    (b) Every bus, truck, and truck tractor, the date of manufacture of 
which is subsequent to June 30, 1953, which depends upon vacuum to 
operate the windshield wipers, shall be so constructed that the 
operation of the wipers will not be materially impaired by change in the 
intake manifold pressure.



Sec. 393.79  Defrosting device.

    Every bus, truck, and truck tractor having a windshield, when 
operating under conditions such that ice, snow, or frost would be likely 
to collect on the outside of the windshield or condensation on the 
inside of the windshield, shall be equipped with a device or other 
means, not manually operated, for preventing or removing such 
obstructions to the driver's view: Provided, however, That this section 
shall not apply in driveaway-towaway operations when the driven vehicle 
is a part of the shipment being delivered.



Sec. 393.80  Rear-vision mirrors.

    (a) Every bus, truck, and truck tractor shall be equipped with two 
rear-vision mirrors, one at each side, firmly attached to the outside of 
the motor vehicle, and so located as to reflect to the driver a view of 
the highway to the rear, along both sides of the vehicle. All such 
regulated rear-vision mirrors and their replacements shall meet, as a 
minimum, the requirements of FMVSS No. 111 (49 CFR 571.111) in force at 
the time the vehicle was manufactured.
    (b) Exceptions. (1) Mirrors installed on a vehicle manufactured 
prior to January 1, 1981, may be continued in service, provided that if 
the mirrors are replaced they shall be replaced with mirrors meeting, as 
a minimum, the requirements of FMVSS No. 111 (49 CFR 571.111) in force 
at the time the vehicle was manufactured.
    (2) Only one outside mirror shall be required, which shall be on the 
driver's side, on trucks which are so constructed that the driver has a 
view to the rear by means of an interior mirror.
    (3) In driveway-towaway operations, the driven vehicle shall have at 
least one mirror furnishing a clear view to the rear. (49 U.S.C. 3102; 
49 CFR 1.48.)

[48 FR 57139, Dec. 28, 1983]



Sec. 393.81  Horn.

    Every bus, truck, truck-tractor, and every driven motor vehicle in 
driveaway-towaway operations shall be equipped with a horn and actuating 
elements which shall be in such condition as to give an adequate and 
reliable warning signal.



Sec. 393.82  Speedometer.

    Every bus, truck, and truck-tractor shall be equipped with a 
speedometer indicating vehicle speed in miles per hour, which shall be 
operative with reasonable accuracy; however, this requirement shall not 
apply to any driven vehicle which is part of a shipment being delivered 
in a driveaway-

[[Page 955]]

towaway operation if such driven vehicle is equipped with an effective 
means of limiting its maximum speed to 45 miles per hour, nor to any 
towed vehicle.



Sec. 393.83  Exhaust systems.

    (a) Every motor vehicle having a device (other than as part of its 
cargo) capable of expelling harmful combustion fumes shall have a system 
to direct the discharge of such fumes. No part shall be located where 
its location would likely result in burning, charring, or damaging the 
electrical wiring, the fuel supply, or any combustible part of the motor 
vehicle.
    (b) No exhaust system shall discharge to the atmosphere at a 
location immediately below the fuel tank or the fuel tank filler pipe.
    (c) The exhaust system of a bus powered by a gasoline engine shall 
discharge to the atmosphere at or within 6 inches forward of the 
rearmost part of the bus.
    (d) The exhaust system of a bus using fuels other than gasoline 
shall discharge to the atmosphere either:
    (1) At or within 15 inches forward of the rearmost part of the 
vehicle; or
    (2) To the rear of all doors or windows designed to be open, except 
windows designed to be opened solely as emergency exits.
    (e) The exhaust system of every truck and truck tractor shall 
discharge to the atmosphere at a location to the rear of the cab or, if 
the exhaust projects above the cab, at a location near the rear of the 
cab.
    (f) No part of the exhaust system shall be temporarily repaired with 
wrap or patches.
    (g) No part of the exhaust system shall leak or discharge at a point 
forward of or directly below the driver/sleeper compartment. The exhaust 
outlet may discharge above the cab/sleeper roofline.
    (h) The exhaust system must be securely fastened to the vehicle.
    (i) Exhaust systems may use hangers which permit required movement 
due to expansion and contraction caused by heat of the exhaust and 
relative motion between engine and chassis of a vehicle.

[53 FR 49401, Dec. 7, 1988]



Sec. 393.84  Floors.

    The flooring in all motor vehicles shall be substantially 
constructed, free of unnecessary holes and openings, and shall be 
maintained so as to minimize the entrance of fumes, exhaust gases, or 
fire. Floors shall not be permeated with oil or other substances likely 
to cause injury to persons using the floor as a traction surface.

[53 FR 49401, Dec. 7, 1988]



Sec. 393.85  [Reserved]



Sec. 393.86  Rear impact guards and rear end protection.

    (a)(1) General requirements for trailers and semitrailers 
manufactured on or after January 26, 1998. Each trailer and semitrailer 
with a gross vehicle weight rating of 4,536 kg (10,000 pounds) or more, 
and manufactured on or after January 26, 1998, must be equipped with a 
rear impact guard that meets the requirements of Federal Motor Vehicle 
Safety Standard No. 223 (49 CFR 571.223) in effect at the time the 
vehicle was manufactured. When the rear impact guard is installed on the 
trailer or semitrailer, the vehicle must, at a minimum, meet the 
requirements of FMVSS No. 224 (49 CFR 571.224) in effect at the time the 
vehicle was manufactured. The requirements of paragraph (a) of this 
section do not apply to pole trailers (as defined in Sec. 390.5 of this 
chapter); pulpwood trailers, low chassis vehicles, special purpose 
vehicles, wheels back vehicles (as defined in Sec. 393.5); and trailers 
towed in driveaway-towaway operations (as defined in Sec. 390.5).
    (2) Impact guard width. The outermost surfaces of the horizontal 
member of the guard must extend to within 100 mm (4 inches) of the side 
extremities of the vehicle. The outermost surface of the horizontal 
member shall not extend beyond the side extremity of the vehicle.
    (3) Guard height. The vertical distance between the bottom edge of 
the horizontal member of the guard and the ground shall not exceed 560 
mm (22 inches) at any point across the full width of the member. Guards 
with rounded corners may curve upward

[[Page 956]]

within 255 mm (10 inches) of the longitudinal vertical planes that are 
tangent to the side extremities of the vehicle.
    (4) Guard rear surface. At any height 560 mm (22 inches) or more 
above the ground, the rearmost surface of the horizontal member of the 
guard must be within 305 mm (12 inches) of the rear extremity of the 
vehicle. This paragraph shall not be construed to prohibit the rear 
surface of the guard from extending beyond the rear extremity of the 
vehicle. Guards with rounded corners may curve forward within 255 mm (10 
inches) of the side extremity.
    (5) Cross-sectional vertical height. The horizontal member of each 
guard must have a cross sectional vertical height of at least 100 mm 
(3.94 inches) at any point across the guard width.
    (6) Certification and labeling requirements for rear impact 
protection guards. Each rear impact guard used to satisfy the 
requirements of paragraph (a)(1) of this section must be permanently 
marked or labeled as required by FMVSS No. 223 (49 CFR 571.223, S5.3). 
The label must be on the forward-facing surface of the horizontal member 
of the guard, 305 mm (12 inches) inboard of the right end of the guard. 
The certification label must contain the following information:
    (i) The impact guard manufacturer's name and address;
    (ii) The statement ``Manufactured in ____'' (inserting the month and 
year that the guard was manufactured); and,
    (iii) The letters ``DOT'', constituting a certification by the guard 
manufacturer that the guard conforms to all requirements of FMVSS No. 
223.
    (b)(1) Requirements for motor vehicles manufactured after December 
31, 1952 (except trailers or semitrailers manufactured on or after 
January 26, 1998). Each motor vehicle manufactured after December 31, 
1952, (except truck tractors, pole trailers, pulpwood trailers, or 
vehicles in driveaway-towaway operations) in which the vertical distance 
between the rear bottom edge of the body (or the chassis assembly if the 
chassis is the rearmost part of the vehicle) and the ground is greater 
than 76.2 cm (30 inches) when the motor vehicle is empty, shall be 
equipped with a rear impact guard(s). The rear impact guard(s) must be 
installed and maintained in such a manner that:
    (i) The vertical distance between the bottom of the guard(s) and the 
ground does not exceed 76.2 cm (30 inches) when the motor vehicle is 
empty;
    (ii) The maximum lateral distance between the closest points between 
guards, if more than one is used, does not exceed 61 cm (24 inches);
    (iii) The outermost surfaces of the horizontal member of the guard 
are no more than 45.7 cm (18 inches) from each side extremity of the 
motor vehicle;
    (iv) The impact guard(s) are no more than 61 cm (24 inches) forward 
of the rear extremity of the motor vehicle.
    (2) Construction and attachment. The rear impact guard(s) must be 
substantially constructed and attached by means of bolts, welding, or 
other comparable means.
    (3) Vehicle components and structures that may be used to satisfy 
the requirements of paragraph (g) of this section. Low chassis vehicles, 
special purpose vehicles, or wheels back vehicles constructed and 
maintained so that the body, chassis, or other parts of the vehicle 
provide the rear end protection comparable to impact guard(s) conforming 
to the requirements of paragraph (b)(1) of this section shall be 
considered to be in compliance with those requirements.

[64 FR 47708, Sept. 1, 1999]



Sec. 393.87  Flags on projecting loads.

    Any motor vehicle having a load or vehicle component which extends 
beyond the sides more than 4 inches or more than 4 feet beyond the rear 
shall have the extremities of the load marked with a red flag, not less 
than 12 inches square, at each point where a lamp is required by Table 
1, Sec. 393.11.

[53 FR 49401, Dec. 7, 1988]



Sec. 393.88  Television receivers.

    Any motor vehicle equipped with a television viewer, screen or other 
means of visually receiving a television broadcast shall have the viewer 
or screen located in the motor vehicle at a point to the rear of the 
back of the driver's seat if such viewer or screen is in the same 
compartment as the driver

[[Page 957]]

and the viewer or screen shall be so located as not to be visible to the 
driver, while he/she is driving the motor vehicle. The operating 
controls for the television receiver shall be so located that the driver 
cannot operate them without leaving the driver's seat.



Sec. 393.89  Buses, driveshaft protection.

    Any driveshaft extending lengthways under the floor of the passenger 
compartment of a bus shall be protected by means of at least one guard 
or bracket at that end of the shaft which is provided with a sliding 
connection (spline or other such device) to prevent the whipping of the 
shaft in the event of failure thereof or of any of its component parts. 
A shaft contained within a torque tube shall not require any such 
device.

[33 FR 19735, Dec. 25, 1968, as amended at 53 FR 49402, Dec. 7, 1988]



Sec. 393.90  Buses, standee line or bar.

    Except as provided below, every bus, which is designed and 
constructed so as to allow standees, shall be plainly marked with a line 
of contrasting color at least 2 inches wide or equipped with some other 
means so as to indicate to any person that he/she is prohibited from 
occupying a space forward of a perpendicular plane drawn through the 
rear of the driver's seat and perpendicular to the longitudinal axis of 
the bus. Every bus shall have clearly posted at or near the front, a 
sign with letters at least one-half inch high stating that it is a 
violation of the Federal Highway Administration's regulations for a bus 
to be operated with persons occupying the prohibited area. The 
requirements of this section shall not apply to any bus being 
transported in driveaway-towaway operation or to any level of the bus 
other that the level in which the driver is located nor shall they be 
construed to prohibit any seated person from occupying permanent seats 
located in the prohibited area provided such seats are so located that 
persons sitting therein will not interfere with the driver's safe 
operation of the bus.



Sec. 393.91  Buses, aisle seats prohibited.

    No bus shall be equipped with aisle seats unless such seats are so 
designed and installed as to automatically fold and leave a clear aisle 
when they are unoccupied. No bus shall be operated if any seat therein 
is not securely fastened to the vehicle.

[53 FR 49402, Dec. 7, 1988]



Sec. 393.92  Buses, marking emergency doors.

    Any bus equipped with an emergency door shall have such door clearly 
marked in letters at least 1 inch in height with the words ``Emergency 
Door'' or ``Emergency Exit.'' Emergency doors shall also be identified 
by a red electric lamp readily visible to passengers which lamp shall be 
lighted at all times when lamps are required to be lighted by 
Sec. 392.30.



Sec. 393.93  Seats, seat belt assemblies, and seat belt assembly anchorages.

    (a) Buses--(1) Buses manufactured on or after January 1, 1965, and 
before July 1, 1971. After June 30, 1972, every bus manufactured on or 
after January 1, 1965, and before July 1, 1971, must be equipped with a 
Type 1 or Type 2 seat belt assembly that conforms to Federal Motor 
Vehicle Safety Standard No. 2091 (Sec. 571.209) installed at 
the driver's seat and seat belt assembly anchorages that conform to the 
location and geometric requirements of Federal Motor Vehicle Safety 
Standard No. 2101  (Sec. 571.210) for that seat belt 
assembly.
---------------------------------------------------------------------------

    1  Individual copies of Federal Motor Vehicle Safety 
Standards may be obtained from the National Highway Traffic Safety 
Administration. Nassif Building, 400 Seventh Street SW., Washington, 
D.C. 20590.
---------------------------------------------------------------------------

    (2) Buses manufactured on or after July 1, 1971. Every bus 
manufactured on or after July 1, 1971, must conform to the requirements 
of Federal Motor Vehicle Safety Standard No. 208 1 
(Sec. 571.208) (relating to installation of seat belt assemblies) and 
Federal Motor Vehicle Safety Standard No. 210 1 
(Sec. 571.210) (relating to installation of seat belt assembly 
anchorages).
    (3) Buses manufactured on or after January 1, 1972. Every bus 
manufactured on or after January 1, 1972, must conform to the 
requirements of Federal Motor Vehicle Safety Standard No. 207 1 
(Sec. 571.207) (relating to seating systems).

[[Page 958]]

    (b) Trucks and truck tractors--(1) Trucks and truck tractors 
manufactured on and after January 1, 1965, and before July 1, 1971. 
Except as provided in paragraph (d) of this section, after June 30, 
1972, every truck and truck tractor manufactured on or after January 1, 
1965, and before July 1, 1971, must be equipped with a Type 1 or Type 2 
seat belt assembly that conforms to Federal Motor Vehicle Safety 
Standard No. 209 (Sec. 571.209) installed at the driver's seat and at 
the right front outboard seat, if the vehicle has one, and seat belt 
assembly anchorages that conform to the location and geometric 
requirements of Federal Motor Vehicle Safety Standard No. 210 
(Sec. 571.210) for each seat belt assembly that is required by this 
subparagraph.
    (2) Trucks and truck tractors manufactured on or after July 1, 1971. 
Every truck and truck tractor manufactured on or after July 1, 1971, 
except a truck or truck tractor being transported in driveaway-towaway 
operation and having an incomplete vehicle seating and cab 
configuration, must conform to the requirements of Federal Motor Vehicle 
Safety Standard No. 208 1 (Sec. 571.208) (relating to 
installation of seat belt assemblies) and Federal Motor Vehicle Safety 
Standard No. 210 1 (Sec. 571.210) (relating to installation of seat belt 
assembly anchorages).
---------------------------------------------------------------------------

    1 See footnote to Sec. 393.93(a).
---------------------------------------------------------------------------

    (3) Trucks and truck tractors manufactured on or after January 1, 
1972. Every truck and truck tractor manufactured on or after January 1, 
1972, except a truck or truck tractor being transported in driveaway-
towaway operation and having an incomplete vehicle seating and cab 
configuration, must conform to the requirements of Federal Motor Vehicle 
Safety Standard No. 207 1 (Sec. 571.207) (relating to seating 
systems).
    (c) Effective date of standards. Whenever paragraph (a) or (b) of 
this section requires conformity to a Federal Motor Vehicle Safety 
Standard, the vehicle or equipment must conform to the version of the 
Standard that is in effect on the date the vehicle is manufactured or on 
the date the vehicle is modified to conform to the requirements of 
paragraph (a) or (b) of this section, whichever is later.
    (d) Trucks and truck tractors manufactured on or after January 1, 
1965, and before July 1, 1971, and operated in the State of Hawaii, must 
comply with the provisions of paragraph (b) of this section on and after 
January 1, 1976.

[35 FR 16839, Oct. 30, 1970, as amended at 39 FR 32561, Sept. 9, 1974; 
40 FR 32336, Aug. 1, 1975]



Sec. 393.94  Vehicle interior noise levels.

    (a) Application of the rule in this section. Except as provided in 
paragraph (d) of this section, this section applies to all motor 
vehicles manufactured on and after October 1, 1974. On and after April 
1, 1975, this section applies to all motor vehicles manufactured before 
October 1, 1974.
    (b) General rule. The interior sound level at the driver's seating 
position of a motor vehicle must not exceed 90 dB(A) when measured in 
accordance with paragraph (c) of this section.
    (c) Test procedure.2 (1) Park the vehicle at a location 
so that no large reflecting surfaces, such as other vehicles, 
signboards, buildings, or hills, are within 50 feet of the driver's 
seating position.
---------------------------------------------------------------------------

    2 Standards of the American National Standards Institute 
are published by the American National Standards Institute. Information 
and copies may be obtained by writing to the Institute at 1430 Broadway, 
New York, N.Y. 10018.
---------------------------------------------------------------------------

    (2) Close all vehicle doors, windows, and vents. Turn off all power-
operated accessories.
    (3) Place the driver in his/her normal seated position at the 
vehicle's controls. Evacuate all occupants except the driver and the 
person conducting the test.
    (4) Use a sound level meter which meets the requirements of the 
American National Standards Institute Standard ANSI S1.4-1971 
Specification for Sound Level Meters, for Type 2 Meters. Set the meter 
to the A-weighting network, ``fast'' meter response.
    (5) Locate the microphone, oriented vertically upward, 6 inches to 
the right of, in the same plane as, and directly in line with, the 
driver's right ear.

[[Page 959]]

    (6) With the vehicle's transmission in neutral gear, accelerate its 
engine to either its maximum governed engine speed, if it is equipped 
with an engine governor, or its speed at its maximum rated horsepower, 
if it is not equipped with an engine governor. Stabilize the engine at 
that speed.
    (7) Observe the A-weighted sound level reading on the meter for the 
stabilized engine speed condition. Record that reading, if the reading 
has not been influenced by extraneous noise sources such as motor 
vehicles operating on adjacent roadways.
    (8) Return the vehicle's engine speed to idle and repeat the 
procedures specified in paragraphs (c) (6) and (7) of this section until 
two maximum sound levels within 2 dB of each other are recorded. 
Numerically average those two maximum sound level readings.
    (9) The average obtained in accordance with paragraph (c)(8) of this 
section is the vehicle's interior sound level at the driver's seating 
position for the purpose of determining whether the vehicle conforms to 
the rule in paragraph (b) of this section. However, a 2 dB tolerance 
over the sound level limitation specified in that paragraph is permitted 
to allow for variations in test conditions and variations in the 
capabilities of meters.
    (10) If the motor vehicle's engine radiator fan drive is equipped 
with a clutch or similar device that automatically either reduces the 
rotational speed of the fan or completely disengages the fan from its 
power source in response to reduced engine cooling loads the vehicle may 
be parked before testing with its engine running at high idle or any 
other speed the operator may choose, for sufficient time but not more 
than 10 minutes, to permit the engine radiator fan to automatically 
disengage.
    (d) Vehicles manufactured before October 1, 1974, and operated 
wholly within the State of Hawaii, need not comply with this section 
until April 1, 1976.

[38 FR 30881, Nov. 8, 1973, as amended at 40 FR 32336, Aug. 1, 1975; 41 
FR 28268, July 9, 1976]



                     Subpart H--Emergency Equipment



Sec. 393.95  Emergency equipment on all power units.

    Except for a lightweight vehicle, every bus, truck, truck-tractor, 
and every driven vehicle in driveaway-towaway operation must be equipped 
as follows:
    (a) Fire extinguisher. (1) Except as provided in paragraph (a)(4) of 
this section, every power unit must be equipped with a fire extinguisher 
that is properly filled and located so that it is readily accessible for 
use. The fire extinguisher must be securely mounted on the vehicle. The 
fire extinguisher must be designed, constructed, and maintained to 
permit visual determination of whether it is fully charged. The fire 
extinguisher must have an extinguishing agent that does not need 
protection from freezing. The fire extinguisher must not use a 
vaporizing liquid that gives off vapors more toxic than those produced 
by the substances shown as having a toxicity rating of 5 or 6 in the 
Underwriters' Laboratories ``Classification of Comparative Life Hazard 
of Gases and Vapors.'' 1
---------------------------------------------------------------------------

    1  Copies of the Classification can be obtained by writing to 
Underwriters' Laboratories, Inc., 205 East Ohio Street, Chicago, Ill. 
60611.
---------------------------------------------------------------------------

    (2)(i) Before July 1, 1971, a power unit that is used to transport 
hazardous materials must be equipped with a fire extinguisher having an 
Underwriters' Laboratories rating 2 of 4 B:C or more. On and 
after July 1, 1971, a power unit that is used to transport hazardous 
materials must be equipped with a fire extinguisher having an 
Underwriters' Laboratories rating 2 of 10 B:C or more.
---------------------------------------------------------------------------

    2  Underwriters' Laboratories ratings are given to fire 
entinguishers under the standards of Underwriters' Laboratories, Inc., 
205 East Ohio Street, Chicago, Ill. 60611. Extinguishers must conform to 
the standards in effect on the date of manufacture or on Jan. 1, 1969, 
whichever is earlier.
---------------------------------------------------------------------------

    (ii) Before January 1, 1973, a power unit that is not used to 
transport hazardous materials must be equipped with a fire extinguisher 
having an Underwriters' Laboratories rating 2 of 4 B:C or 
more. On and after January 1, 1973, a power unit that is not used to

[[Page 960]]

transport hazardous materials must be equipped with either--
    (A) A fire extinguisher having an Underwriters' Laboratories rating 
2 of 5 B:C or more; or
    (B) Two fire extinguishers, each of which has an Underwriters' 
Laboratories rating 2 of 4 B:C or more.
    (iii) Each fire extinguisher required by this subparagraph must be 
labeled or marked with its Underwriters' Laboratories rating 2 
and must meet the requirements of paragraph (a)(1) of this section.
    (3) For purposes of this paragraph, a power unit is used to 
transport hazardous materials only if the power unit or a motor vehicle 
towed by the power unit must be marked or placarded in accordance with 
Sec. 177.823 of this title.
    (4) This paragraph does not apply to the driven unit in a driveaway-
towaway operation.
    (b) [Reserved]
    (c) Spare fuses. At least one spare fuse or other overload 
protective device, if the devices used are not of a reset type, for each 
kind and size used. In driveaway-towaway operations, spares located on 
any one of the vehicles will be deemed adequate.
    (d)-(e)  [Reserved]
    (f) Warning devices for stopped vehicles. Except as provided in 
paragraph (g) of this section, one of the following combinations of 
warning devices:
    (1) Vehicles equipped with warning devices before January 1, 1974. 
Warning devices specified below may be used until replacements are 
necessary:
    (i) Three liquid-burning emergency flares which satisfy the 
requirements of SAE Standard J597, ``Liquid Burning Emergency Flares,'' 
and three fusees and two red flags; or
    (ii) Three electric emergency lanterns which satisfy the 
requirements of SAE Standard J596, ``Electric Emergency Lanterns,'' and 
two red flags; or
    (iii) Three red emergency reflectors which satisfy the requirements 
of paragraph (i) of this section, and two red flags; or
    (iv) Three red emergency reflective triangles which satisfy the 
requirements of paragraph (h) of this section; or
    (v) Three bidirectional emergency reflective triangles that conform 
to the requirements of Federal Motor Vehicle Safety Standard No. 125, 
Sec. 571.125 of this title.
    (2) Vehicles equipped with warning devices on and after January 1, 
1974. (i) Three bidirectional emergency reflective triangles that 
conform to the requirements of Federal Motor Vehicle Safety Standard No. 
125, Sec. 571.125 of this title; or
    (ii) At least 6 fusees or 3 liquid-burning flares. The vehicle must 
have as many additional fusees or liquid-burning flares as are necessary 
to satisfy the requirements of Sec. 392.22.
    (3) Supplemental warning devices. Other warning devices may be used 
in addition to, but not in lieu of, the required warning devices, 
provided those warning devices do not decrease the effectiveness of the 
required warning devices.
    (g) Restrictions on the use of flame-producing devices. Liquid-
burning flares, fusees, oil lanterns, or any signal produced by a flame 
shall not be carried on any commercial motor vehicle transporting 
Division 1.1, 1.2, 1.3 (explosives) hazardous materials; any cargo tank 
motor vehicle used for the transportation of Division 2.1 (flammable 
gas) or Class 3 (flammable liquid) hazardous materials whether loaded or 
empty; or any commercial motor vehicle using compressed gas as a motor 
fuel.
    (h) Requirements for emergency reflective triangles manufactured 
before January 1, 1974. (1) Each reflector shall be a collapsible 
equilateral triangle, with legs not less than 17 inches long and not 
less than 2 inches wide. The front and back of the exposed leg surfaces 
shall be covered with red reflective material not less than one half 
inch in width. The reflective surface, front and back, shall be 
approximately parallel. When placed in position, one point of the 
triangle shall be upward. The area within the sides of the triangle 
shall be open.
    (2) Reflective material: The reflecting material covering the leg of 
the equilateral triangle shall comply either with:
    (i) The requirements for reflex-reflector elements made of red 
methyl-methacrylate plastic material, meeting the color, sealing, 
minimum candle-power,

[[Page 961]]

wind test, vibration test, and corrosion resistance test of section 3 
and 4 of Federal Specification RR-R-1185, dated November 17, 1966, or
    (ii) The requirements for red reflective sheeting of Federal 
Specification L-S-300, dated September 7, 1965, except that the 
aggregate candlepower of the assembled triangle, in one direction, shall 
be not less than eight when measured at 0.2 deg. divergence angle and --
4 deg. incidence angle, and not less than 80 percent of the candlepower 
specified for 1 square foot of material at all other angles shown in 
Table II, Reflective Intensity Values, of L-S-300.
    (3) Reflective surfaces alignment: Every reflective triangle shall 
be so constructed that, when the triangle is properly placed, the 
reflective surfaces shall be in a plane perpendicular to the plane of 
the roadway surface with a permissible tolerance of 
plus-minus10 deg.. Reflective triangles which are collapsible 
shall be provided with means for holding the reflective surfaces within 
the required tolerance. Such holding means shall be readily capable of 
adjustment without the use of tools or special equipment.
    (4) Reflectors mechanical adequacy: Every reflective triangle shall 
be of such weight and dimensions as to remain stationary when subjected 
to a 40 mile per hour wind when properly placed on any clean, dry paved 
road surface. The reflective triangle shall be so constructed as to 
withstand reasonable shocks without breakage.
    (5) Reflectors, incorporation in holding device: Each set of 
reflective triangles shall be adequately protected by enclosure in a 
box, rack, or other adequate container specially designed and 
constructed so that the reflectors may be readily extracted for use.
    (6) Certification: Every red emergency reflective triangle designed 
and constructed to comply with these requirements shall be plainly 
marked with the certification of the manufacturer that it complies 
therewith.
    (i) Requirements for red emergency reflectors. Each red emergency 
reflector shall conform in all respects to the following requirements:
    (1) Reflecting elements required. Each reflector shall be composed 
of at least two reflecting elements or surfaces on each side, front and 
back. The reflecting elements, front and back, shall be approximately 
parallel.
    (2) Reflecting elements to be Class A. Each reflecting element or 
surface shall meet the requirement for a red Class A reflector contained 
in the SAE Recommended Practice 1 ``Reflex Reflectors.'' The 
aggregate candlepower output of all the reflecting elements or surface 
in one direction shall not be less than 12 when tested in a 
perpendicular position with observation at one-third degree as specified 
in the Photometric Test contained in the above-mentioned Recommended 
Practice.
---------------------------------------------------------------------------

    1  See footnote 1 to Sec. 393.24(c).
---------------------------------------------------------------------------

    (3) Reflecting surfaces, protection. If the reflector or the 
reflecting elements are so designed or constructed that the reflecting 
surfaces would be adversely affected by dust, soot, or other foreign 
matter or contacts with other parts of the reflector or its container, 
then such reflecting surfaces shall be adequately sealed within the body 
of the reflector.
    (4) Reflecting surfaces to be perpendicular. Every reflector shall 
be so constructed that, when the reflector is properly placed, every 
reflecting element or surface is in a plane perpendicular to the plane 
of the roadway surface. Reflectors which are collapsible shall be 
provided with means for locking the reflector elements or surfaces in 
the required position; such locking means shall be readily capable of 
adjustment without the use of tools or special equipment.
    (5) Reflectors, mechanical adequacy. Every reflector shall be of 
such weight and dimensions as to remain stationary when subjected to a 
40 mile per hour wind when properly placed on any clean, dry, paved road 
surface. The reflector shall be so constructed as to withstand 
reasonable shocks without breakage.
    (6) Reflectors, incorporation on holding device. Each set of 
reflectors and the reflecting elements or surfaces incorporated therein 
shall be adequately protected by enclosure in a box, rack, or other 
adequate container specially designed and constructed so that the

[[Page 962]]

reflectors may be readily extracted for use.
    (7) Certification. Every red emergency reflector designed and 
constructed to comply with these requirements shall be plainly marked 
with the certification of the manufacturer that it complies therewith.
    (j) Requirements for fusees and liquid-burning flares. Each fusee 
shall be capable of burning for 30 minutes, and each liquid-burning 
flare shall contain enough fuel to burn continuously for at least 60 
minutes. Fusees and liquid-burning flares shall conform to the 
requirements of Underwriters Laboratories, Inc., UL No. 912, Highway 
Emergency Signals, Fourth Edition, July 30, 1979, (with an amendment 
dated November 9, 1981). (See Sec. 393.7(b) for information on the 
incorporation by reference and availability of this document.) Each 
fusee and liquid-burning flare shall be marked with the UL symbol in 
accordance with the requirements of UL 912.
    (k) Requirements for red flags. Red flags shall be not less than 12 
inches square, with standards adequate to maintain the flags in an 
upright position.

(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)

[33 FR 19735, Dec. 25, 1968, as amended at 35 FR 13019, Aug. 15, 1970; 
35 FR 14619, Sept. 18, 1970; 37 FR 17176, Aug. 25, 1972; 40 FR 10685, 
Mar. 7, 1975; 41 FR 53031, Dec. 3, 1976; 47 FR 47837, Oct. 28, 1982; 59 
FR 34712, July 6, 1994]



         Subpart I--Protection Against Shifting or Falling Cargo

    Source: 38 FR 23522, Aug. 31, 1973, unless otherwise noted.



Sec. 393.100  General rules for protection against shifting or falling cargo.

    (a) Application and scope of the rules in this section. This section 
applies to trucks, truck tractors, semitrailers, full trailers, and pole 
trailers. Each of those motor vehicles must, when transporting cargo, be 
loaded and equipped to prevent the shifting or falling of the cargo in 
the manner prescribed by the rules in paragraph (b) of this section. In 
addition, each cargo-carrying motor vehicle must conform to the 
applicable rules in Secs. 393.102, 393.104, and 393.106.
    (b) Basic protection components. Each cargo-carrying motor vehicle 
must be equipped with devices providing protection against shifting or 
falling cargo that meet the requirements of either paragraph (b) (1), 
(2), (3), or (4) of this section.
    (1) Option A. The vehicle must have sides, side-boards, or stakes, 
and a rear endgate, endboard, or stakes. Those devices must be strong 
enough and high enough to assure that cargo will not shift upon, or fall 
from the vehicle. Those devices must have no aperture large enough to 
permit cargo in contact with one or more of the devices to pass through 
it.
    (2) Option B. The vehicle must have at least one tiedown assembly 
that meets the requirements of Sec. 393.102 for each 10 linear feet of 
lading or fraction thereof. (However, a pole trailer or an expandable 
trailer transporting metal articles under the special rules in paragraph 
(c) of this section is required only to have two or more of those 
tiedown assemblies at each end of the trailer.) In addition, the vehicle 
must have as many additional tiedown assemblies meeting the requirements 
of Sec. 393.102 as are necessary to secure all cargo being transported 
either by direct contact between the cargo and the tiedown assemblies or 
by dunnage which is in contact with the cargo and is secured by tiedown 
assemblies.1
---------------------------------------------------------------------------

    1  Tiedown assemblies or dunnage in contact with sufficient 
exterior (including topmost) pieces of the cargo and securely holding 
each interior or lower piece comply with this requirement.
---------------------------------------------------------------------------

    (3) Option C (for vehicles transporting metal articles only). A 
vehicle transporting cargo which consists of metal articles must conform 
to either the rules in paragraph (b) (1), (2), or (4) of this section, 
or the special rules for transportation of metal articles set forth in 
paragraph (c) of this section.
    (4) Option D. The vehicle must have other means of protecting 
against shifting or falling cargo which are similar to, and at least as 
effective as, those specified in paragraph (b) (1), (2), or (3) of this 
section.
    (c) Special rules for metal articles--(1) Scope of the rules in this 
paragraph. The rules in this paragraph apply to a

[[Page 963]]

motor vehicle transporting cargo consisting of metal articles if that 
vehicle does not conform to the rules in paragraph (b) (1), (2), or (4) 
of this section.
    (2) Application of other sections. A motor vehicle transporting 
property consisting of metal articles must, regardless of whether the 
rules in this paragraph apply to it, conform to the rules in 
Sec. 393.102 (relating to securement systems), Sec. 393.104 (relating to 
blocking and bracing of cargo), and Sec. 393.106 (relating to front-end 
structure requirements).
    (3) Coils. Whenever a motor carrier transports one or more coils of 
metal which, individually or as a combination banded together, weigh 
5,000 pounds or more, the coils shall be secured in the following 
manner:
    (i) Coils with eyes vertical: One or more coils which are grouped 
and loaded side by side in a transverse or longitudinal row must be 
secured by--
    (a) A tiedown assembly against the front of the coil or row of 
coils, restraining against forward motion;
    (b) A tiedown assembly against the rear of the coil or row of coils, 
restraining against rearward motion; and
    (c) A tiedown assembly over the top of each coil or transverse row 
of coils, restraining against vertical motion.

The same tiedown assembly shall not be used to comply with more than one 
of the requirements of paragraph (c)(3)(i) (a), (b), or (c) of this 
section.
[GRAPHIC] [TIFF OMITTED] TC01AP91.031

    (ii) Coils with eyes crosswise: Each coil or transverse row of coils 
loaded side by side and having approximately the same outside diameters 
must be secured by--
    (a) A tiedown assembly through the eye of each coil, restricting 
against forward motion and making an angle of less than 45 deg. with the 
horizontal when viewed from the side of the vehicle;
    (b) A tiedown assembly through the eye of each coil, restricting 
against rearward motion and making an angle of less than 45 deg. with 
the horizontal when viewed from the side of the vehicle; and
    (c) Timbers, having a nominal cross section of 4 x 4 inches or more 
and a length which is at least 75 percent of the width of the coil or 
row of coils, tightly placed against both the front and rear sides of 
the coil or row of coils and restrained to prevent movement of the coil 
or coils in the forward and rearward directions.
    (d) If coils are loaded to contact each other in the longitudinal 
direction and relative motion between coils, and between coils and the 
vehicle, is prevented by tiedown assemblies and timbers--
    (1) Only the foremost and rearmost coils must be secured with 
timbers; and
    (2) A single tiedown assembly, restricting against forward motion, 
may be used to secure any coil except the rearmost one, which must be 
restrained against rearward motion.
[GRAPHIC] [TIFF OMITTED] TC01AP91.032

    (iii) Coils with eyes lengthwise: A coil or transverse row of coils 
having approximately equal outside diameters and loaded side by side or 
a longitudinal row of coils having approximately equal outside diameters 
and loaded end to end must be secured as follows:
    (a) The coil or coils must be restrained against side-by-side and 
fore-and-aft movement by--
    (1) One or more tiedown assemblies over the top of each coil or 
transverse row; or
    (2) Two or more tiedown assemblies through the eye of each coil or 
longitudinal row; or
    (3) One or more tiedown assemblies, crossing from one side of the 
vehicle to

[[Page 964]]

the other, through the eye of each coil or longitudinal row of coils in 
a transverse row.
    (b) Timbers having nominal cross section of 4 x 4 inches or more 
must be tightly placed against the sides of each coil or against the 
outboard sides of each transverse row of coils which are loaded side by 
side so that the timbers restrain against side-to-side movement.
    (c) If, in accordance with paragraph (c)(3)(iii)(a)(1) of this 
section, only one tiedown assembly over the top of each coil or 
transverse row of coils is used to restrain against side-to-side 
movement and fore-and-aft movement, timbers having a nominal cross 
section of 2 x 4 inches or more and which are firmly secured to 
longitudinal blocking must be tightly placed against the front and back 
of each coil, each longitudinal row of coils, and each transverse row of 
coils in a manner which restricts forward and rearward movement.
[GRAPHIC] [TIFF OMITTED] TC01AP91.033

    (iv) Timber which is used for blocking must be sound lumber which is 
free of defects (such as knots or cracks) that materially reduce its 
strength.
    (v) Timbers need not be used on vehicles which have depressions in 
the floor or are equipped with other restraining devices which perform 
the functions specified for timbers by the rules in this section.
    (vi) As used in this section, the term ``nominal'', when used to 
describe timber, means commercially dressed sizes generally designated 
by the dimensions indicated.
    (4) Miscellaneous metal articles. Except as provided in paragraph 
(c)(4)(iv) of this section, whenever a motor carrier transports metal 
articles consisting of cut-to-length bars, plates, rods, sheet and tin 
mill products, billets, blooms, ingots, slabs, structural shapes, or 
pipe, and other tubular products and those articles, either individually 
or as a combination of articles banded or boxed together and handled as 
a single unit, weigh more than 2,000 pounds, the article shall be 
secured in the following manner:
    (i) A single article, a group of articles, or a combination of 
articles loaded side by side across the width of the vehicle must be 
secured by at least one tiedown assembly over its top for at least every 
8 feet of its length and at least two tiedown assemblies securing each 
individual article or combination of articles banded or otherwise 
secured together and handled as a single unit. However, articles which 
individually have a length of 8 feet or less and which are securely 
butted against each other in the fore-and-after direction may be secured 
by metal angles secured by tiedown assemblies, or they may be secured by 
a timber having a nominal cross section of 4 x 4 inches or more placed 
longitudinally over the articles and secured by tiedown assemblies. 
Tiedown assemblies may not be located beyond the ends of the article 
which they secure.
    (ii) If articles are tiered and each tiered article rests securely 
on the one beneath it, the tier may be secured in the same manner as a 
single level of those articles is secured in accordance with the rules 
in this section.
    (iii) Pole trailers must either comply with the requirements of 
paragraph (c)(4) (i) and (ii) of this section or have at least two 
tiedown assemblies securing the load to the forward bolster and at least 
two tiedown assemblies securing the load to the rear bolster.
    (iv) The rules in this paragraph do not apply to special loads 
consisting of machinery or fabricated structural items, such as beams, 
girders, and trusses, which are fastened by special methods. However, 
those loads must be securely and adequately fastened to the vehicle.
    (d) Special rule for special-purpose vehicles. The rules in this 
section do not apply to a vehicle transporting one or more articles 
which, because of their size, shape, or weight, must be carried on 
special-purpose vehicles or must be

[[Page 965]]

fastened by special methods. However, any article carried on that 
vehicle must be securely and adequately fastened to the vehicle.
    (e) Special rule for intermodal cargo containers. Containers 
designed for the transportation of containerized, intermodal cargo and 
having integral securement devices must be fastened to the chassis of 
the motor vehicle with securement devices that prevent them from being 
unintentionally unfastened. The securement devices must restrain the 
container from moving more than one-half inch forward, more than one-
half inch aft, more than one-half inch to the right, more than one-half 
inch to the left, or more than one inch vertically when the container is 
subjected to the following accelerations relative to the vehicle:

------------------------------------------------------------------------
    Direction of force relative to longitudinal axis of     Acceleration
                          vehicle                              in G's
------------------------------------------------------------------------
Downward..................................................         1.70
Upward....................................................         0.50
Lateral...................................................         0.30
Longitudinal..............................................         1.80
------------------------------------------------------------------------

    (f) Effective date. This section is effective on October 1, 1973.



Sec. 393.102  Securement systems.

    (a) Application and scope of the rules in this section. The rules in 
this section apply to tiedown assemblies (including chains, cables, 
steel straps, and fiber webbing), other securement devices, and 
attachment or fastening devices used in conjunction therewith, which are 
used to secure cargo to motor vehicles in transit. All devices which are 
used to secure cargo to a motor vehicle in transit under the rules in 
this subpart must conform to the requirements of this section.
    (b) Tiedown assemblies. Except for integral securement devices of 
containers designed for the transportation of containerized, intermodal 
cargo which conform to the rules in Sec. 393.100(e), the aggregate 
working load limit of the tiedown assemblies used to secure an article 
against movement in any direction must be at least 1/2 times the weight 
of the article. With the exception of marking identification, tiedowns 
used must meet applicable manufacturing standards listed in this 
paragraph (b).
    (1) Steel strapping. Steel strapping used as a component of a 
tiedown assembly must conform to the requirements of the 1991 edition of 
the American Society for Testing and Materials' Standard Specification 
for Strapping, Flat Steel and Seals, ASTM D3953-91. Steel strapping 
which is not marked by the manufacturer with a working load limit, shall 
be considered to have a working load limit equal to 1/4 of the breaking 
strength listed in ASTM D3953-91. (See Sec. 393.7(b) for information on 
the incorporation by reference and availability of this document.) Steel 
strapping that is one inch wide or wider must have at least two pairs of 
crimps in each seal and when an end-over-end lap joint is formed, it 
must be sealed with at least two seals.
    (2) Chain. Chain used as a component of a tiedown assembly must 
conform to the requirements of the June 15, 1990, edition of the 
National Association of Chain Manufacturers' Welded Steel Chain 
Specifications applicable to all types of chain. (See Sec. 393.7(b) for 
information on the incorporation by reference and availability of this 
document.)
    (3) Webbing. Webbing used as a component of a tiedown assembly must 
conform to the requirements of the 1991 edition of the Web Sling and 
Tiedown Association's Recommended Standard Specification for Synthetic 
Webbing Tiedowns. (See Sec. 393.7(b) for information on the 
incorporation by reference and availability of this document.)
    (4) Wire rope. Wire rope used as a component of a tiedown assembly 
must conform to the requirements of the November 1985 second edition of 
the Wire Rope Technical Board's Wire Rope Users Manual. Wire rope which 
is not marked by the manufacturer with a working load limit, shall be 
considered to have a working load limit equal to \1/4\ of the nominal 
strength listed in the Wire Rope Users Manual. (See Sec. 393.7(b) for 
information on the incorporation by reference and availability of this 
document.)
    (5) Cordage. Cordage used as a component of a tiedown assembly, must 
conform to the applicable Cordage Institute rope standards listed below: 
PETRS-2, Polyester Fiber Rope, 3-Strand and 8-Strand Constructions,

[[Page 966]]

January, 1993; PPRS-2, Polypropylene Fiber Rope, 3-Strand and 8-Strand 
Constructions, August, 1992; CRS-1, Polyester/Polypropylene Composite 
Rope Specifications, Three- and Eight-Strand Standard Construction, May 
1979; NRS-1, Nylon Rope Specifications, Three- and Eight-Strand Standard 
Construction, May 1979; C1, Double Braided Nylon Rope Specifications, 
DBN-January 1984. (See Sec. 393.7(b) for information on the 
incorporation by reference and availability of these documents.)
    (6) Tables of working load limits. The working load limits listed in 
the tables in this paragraph are to be used when the tiedown material is 
not marked by the manufacturer with the working load limit. Tiedown 
materials which are marked by the manufacturer with working load limits 
which differ from the table, shall be considered to have a working load 
limit equal to the value for which they are marked. Synthetic cordage 
(e.g., nylon, polypropylene, polyester) which is not marked or labeled 
to enable identification of its composition or working load limit shall 
be considered to have a working load limit equal to that for 
polypropylene fiber rope.

                            Tables to Sec.  393.102(b)(6)--Working Load Limits (WLL)
                                           [Chain WLL in pounds (kg)]
----------------------------------------------------------------------------------------------------------------
                                            Grade 3 proof     Grade 4 high         Grade 7
             Size inch (mm)                     coil              test            transport       Grade 8 alloy
----------------------------------------------------------------------------------------------------------------
\1/4\ (7)...............................        1300 (590)       2600 (1180)       3150 (1430)       3500 (1590)
\5/16\ (8)..............................        1900 (860)       3900 (1770)       4700 (2130)       5100 (2310)
\3/8\ (10)..............................       2650 (1200)       5400 (2450)       6600 (2990)       7100 (3220)
\7/16\ (11).............................       3500 (1590)       5800 (2630)       8750 (3970)  ................
\1/2\ (13)..............................       4500 (2040)       9200 (4170)      11300 (5130)      12000 (5440)
\5/8\ (16)..............................       6900 (3130)      11500 (5220)      15800 (7170)      18100 (8210)
Chain Mark..............................                PC                HT  ................                 T
Examples................................                 3                 4                 7                 8
                                                        30                40                70                80
----------------------------------------------------------------------------------------------------------------


                          Synthetic Webbing WLL
------------------------------------------------------------------------
                    Width inch (mm)                      WLL pounds (kg)
------------------------------------------------------------------------
1-\3/4\ (45)..........................................        1750 (790)
2 (50)................................................        2000 (910)
3 (75)................................................       3000 (1360)
4 (100)...............................................       4000 (1810)
------------------------------------------------------------------------


                   Wire Rope (6 X 37, Fiber Core) WLL
------------------------------------------------------------------------
                  Diameter inch (mm)                     WLL pounds (kg)
------------------------------------------------------------------------
\1/4\ (7).............................................        1400 (640)
\5/16\ (8)............................................        2100 (950)
\3/8\ (10)............................................       3000 (1360)
\7/16\ (11)...........................................       4100 (1860)
\1/2\ (13)............................................       5300 (2400)
\5/8\ (16)............................................       8300 (3770)
\3/4\ (20)............................................      10900 (4940)
\7/8\ (22)............................................      16100 (7300)
1 (25)................................................      20900 (9480)
------------------------------------------------------------------------


                             Manila Rope WLL
------------------------------------------------------------------------
                  Diameter inch (mm)                     WLL pounds (kg)
------------------------------------------------------------------------
\3/8\ (10)............................................          205 (90)
\7/16\ (11)...........................................         265 (120)
\1/2\ (13)............................................         315 (150)
\5/8\ (16)............................................         465 (210)
\3/4\ (20)............................................         640 (290)
1 (25)................................................        1050 (480)
------------------------------------------------------------------------


   Polypropylene Fiber Rope WLL (3-Strand and 8-Strand Constructions)
------------------------------------------------------------------------
                  Diameter inch (mm)                     WLL pounds (kg)
------------------------------------------------------------------------
\3/8\ (10)............................................         400 (180)
\7/16\ (11)...........................................         525 (240)

[[Page 967]]

 
\1/2\ (13)............................................         625 (280)
\5/8\ (16)............................................         925 (420)
\3/4\ (20)............................................        1275 (580)
1 (25)................................................        2100 (950)
------------------------------------------------------------------------


     Polyester Fiber Rope WLL (3-Strand and 8-Strand Constructions)
------------------------------------------------------------------------
                  Diameter inch (mm)                     WLL pounds (kg)
------------------------------------------------------------------------
\3/8\ (10)............................................         555 (250)
\7/16\ (11)...........................................         750 (340)
\1/2\ (13)............................................         960 (440)
\5/8\ (16)............................................        1500 (680)
\3/4\ (20)............................................        1880 (850)
1 (25)................................................       3300 (1500)
------------------------------------------------------------------------


                             Nylon Rope WLL
------------------------------------------------------------------------
                  Diameter inch (mm)                     WLL pounds (kg)
------------------------------------------------------------------------
\3/8\ (10)............................................         278 (130)
\7/16\ (11)...........................................         410 (190)
\1/2\ (13)............................................         525 (240)
\5/8\ (16)............................................         935 (420)
\3/4\ (20)............................................        1420 (640)
1 (25)................................................       2520 (1140)
------------------------------------------------------------------------


                      Double Braided Nylon Rope WLL
------------------------------------------------------------------------
                  Diameter inch (mm)                     WLL pounds (kg)
------------------------------------------------------------------------
\3/8\ (10)............................................         336 (150)
\7/16\ (11)...........................................         502 (230)
\1/2\ (13)............................................         655 (300)
\5/8\ (16)............................................        1130 (510)
\3/4\ (20)............................................        1840 (830)
1 (25)................................................       3250 (1470)
------------------------------------------------------------------------


                           Steel Strapping WLL
------------------------------------------------------------------------
                Width - thickness inch                   WLL pounds (kg)
------------------------------------------------------------------------
1-\1/4\  x  0.029.....................................        1190 (540)
1-\1/4\  x  0.031.....................................        1190 (540)
1-\1/4\  x  0.035.....................................        1190 (540)
1-\1/4\  x  0.044.....................................        1690 (770)
1-\1/4\  x  0.050.....................................        1690 (770)
1-\1/4\  x  0.057.....................................        1925 (870)
2  x  0.044...........................................       2650 (1200)
2  x  0.050...........................................       2650 (1200)
------------------------------------------------------------------------

    (c) Load binders and hardware. The strength of load binders and 
hardware that are part of, or used in conjunction with, a tiedown 
assembly must be equal to, or greater than the minimum strength 
specified for that tiedown assembly in paragraph (b) of this section.
    (d) Attachment to the vehicle. The hook, bolt, weld, or other 
connector by which a tiedown assembly is attached to a vehicle, and the 
mounting place and means of mounting the connector, must be at least as 
strong as the tiedown assembly when that connector is loaded in any 
direction in which the tiedown assembly may load it.
    (e) Winches or other fastenings. The anchorages of a winch or other 
fastening device mounted on a vehicle and used in conjunction with a 
tiedown assembly must have a combined tensile strength equal to, or 
greater than, the strength of the tiedown assembly.
    (f) Adjustability. A tiedown assembly and its associated connectors 
and attachment devices must be designed, constructed, and maintained so 
that the driver of an in-transit vehicle can tighten them. However, the 
rules in

[[Page 968]]

this paragraph do not apply to a securement system in which the tiedown 
assembly consists of steel strapping or to a tiedown assembly which is 
not required by the rules in this section.

(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)

[38 FR 23522, Aug. 31, 1973, as amended at 47 FR 47837, Oct. 28, 1982; 
59 FR 34718, July 6, 1994; 59 FR 43898, Aug. 25, 1994]



Sec. 393.104  Blocking and bracing.

    (a) Protection against longitudinal movement. When a motor vehicle 
carries cargo that is not firmly braced against a front-end structure 
that conforms to the requirements of Sec. 393.106, the cargo must be 
secured so that, when the vehicle decelerates at a rate of 20 feet per 
second per second, the cargo will remain on the vehicle and will not 
penetrate the vehicle's front-end structure.
    (b) Protection against lateral movement. When a vehicle carries 
cargo that may shift sideways in transit, the cargo must either be 
securely blocked or braced against the sides, sideboards, or stakes of 
the vehicle or be secured by devices that conform to the requirements of 
paragraph (b)(2), (b)(3), or (b)(4) of Sec. 393.100.
    (c) Effective date. This section is effective on October 1, 1973.

[38 FR 23522, Aug. 31, 1973, as amended at 38 FR 25183, Sept. 12, 1973]



Sec. 393.106  Front-end structure.

    (a) General rule. (1) Except as provided in paragraph (g) of this 
section, every cargo-carrying motor vehicle must be equipped with a 
headerboard or similar device of sufficient strength to prevent load 
shifting and penetration or crushing of the driver's compartment.
    (2) On and after the effective dates specified in paragraph (h) of 
this section, every cargo-carrying motor vehicle must have a front-end 
structure that conforms to the rules in this section.
    (b) Location. The front-end structure must be located between the 
vehicle's cargo and the vehicle's driver.
    (c) Height and width. The front-end structure must extend either to 
a height of 4 feet above the floor of the vehicle or to a height at 
which it blocks forward movement of any item of cargo being carried on 
the vehicle, whichever is lower. The front-end structure must have a 
width which is at least equal to the width of the vehicle or which 
blocks forward movement of any item of cargo being transported on the 
vehicle, whichever is narrower.
    (d) Strength. The front-end structure must be capable of 
withstanding the horizontal forward static load specified in either 
paragraph (d) (1) or (2) of this section.
    (1) For a front-end structure less than 6 feet in height, a 
horizontal forward static load equal to one half (\1/2\) of the weight 
of the cargo being transported on the vehicle uniformly distributed over 
the entire portion of the front-end structure that is within 4 feet 
above the vehicle's floor or that is at or below a height above the 
vehicle's floor at which it blocks forward movement of any item of the 
vehicle's cargo, whichever is less.
    (2) For a front-end structure 6 feet in height or higher, a 
horizontal forward static load equal to four-tenths (0.4) of the weight 
of the cargo being transported on the vehicle uniformly distributed over 
the entire front-end structure.
    (e) Penetration resistance. The front-end structure must be 
designed, constructed and maintained so that it is capable of resisting 
penetration by any item of cargo that contacts it when the vehicle 
decelerates at a rate of 20 feet per second per second. The front-end 
structure must have no aperture large enough to permit any item of cargo 
in contact with the structure to pass through it.
    (f) Substitute devices. The requirements of this section may be met 
by the use of devices performing the same functions as a front-end 
structure, if the devices are at least as strong as, and provide 
protection against shifting cargo at least equal to, a front-end 
structure which conforms to those requirements.
    (g) Exemptions. The following motor vehicles are exempt from the 
rules in this section:
    (1) A vehicle which is designed and used exclusively to transport 
other vehicles, if each vehicle it transports is securely tied down by 
devices that conform to the requirements of Sec. 393.102.

[[Page 969]]

    (2) A pole trailer or semitrailer being towed by a truck tractor 
that is equipped with a front-end structure that conforms to the rules 
in this section.
    (3) A full trailer being towed by a vehicle that is equipped with a 
front-end structure that conforms to the requirements of this section 
for a front-end structure.
    (4) A full trailer being towed by a vehicle that is loaded in such a 
manner that the cargo on the towing vehicle conforms to the requirements 
of this section for a front-end structure.
    (5) The rules in paragraphs (d) and (e) of this section do not apply 
to a motor vehicle manufactured before January 1, 1974.
    (h) Effective dates. Cargo-carrying motor vehicles which are not 
exempted by paragraph (g) of this section must conform to the rules in 
this section as follows:

------------------------------------------------------------------------
                                  It must conform to
If the vehicle was manufactured--    the rules in       On and after--
                                      paragraph--
------------------------------------------------------------------------
Before Jan. 1, 1974.............  (a), (b), and (f).  October 1, 1973 or
                                                       the date it was
                                                       manu- factured,
                                                       whichever is
                                                       later.
Before Jan. 1, 1974.............  (c)...............  January 1, 1975.
On or after Jan. 1, 1974........  (a) through (f)     The date it was
                                   inclusive.          manufactured.
------------------------------------------------------------------------


Paragraphs (d) and (e) of this section do not apply to a motor vehicle 
that was manufactured before January 1, 1974.



   Subpart J--Frames, Cab and Body Components, Wheels, Steering, and 
                           Suspension Systems

    Source: 53 FR 49402, Dec. 7, 1988, unless otherwise noted.



Sec. 393.201  Frames.

    (a) The frame of every bus, truck, and truck tractor shall not be 
cracked, loose, sagging or broken.
    (b) Bolts or brackets securing the cab or the body of the vehicle to 
the frame must not be loose, broken, or missing.
    (c) The frame rail flanges between the axles shall not be bent, cut 
or notched, except as specified by the manufacturer.
    (d) All accessories mounted to the truck tractor frame must be 
bolted or riveted.
    (e) No holes shall be drilled in the top or bottom rail flanges, 
except as specified by the manufacturer.
    (f) Field repairs are allowed.



Sec. 393.203  Cab and body components.

    (a) The cab compartment doors or door parts used as an entrance or 
exist shall not be missing or broken. Doors shall not sag so that they 
cannot be properly opened or closed. No door shall be wired shut or 
otherwise secured in the closed position so that it cannot be readily 
opened. Exception: When the vehicle is loaded with pipe or bar stock 
that blocks the door and the cab has a roof exit.
    (b) Bolts or brackets securing the cab or the body of the vehicle to 
the frame shall not be loose, broken, or missing.
    (c) The hood must be securely fastened.
    (d) All seats must be securely mounted.
    (e) The front bumper must not be missing, loosely attached, or 
protruding beyond the confines of the vehicle so as to create a hazard.



Sec. 393.205  Wheels.

    (a) Wheels and rims shall not be cracked or broken.
    (b) Stud or bolt holes on the wheels shall shall not be elongated 
(out of round).
    (c) Nuts or bolts shall not be missing or loose.



Sec. 393.207  Suspension systems.

    (a) Axles. No axle positioning part shall be cracked, broken, loose 
or missing. All axles must be in proper alignment.
    (b) Adjustable axles. Adjustable axle assemblies shall not have 
locking pins missing or disengaged.
    (c) Leaf springs. No leaf spring shall be cracked, broken, or 
missing nor shifted out of position.
    (d) Coil springs. No coil spring shall be cracked or broken.
    (e) Torsion bar. No torsion bar or torsion bar suspension shall be 
cracked or broken.
    (f) Air suspensions. The air pressure regulator valve shall not 
allow air into

[[Page 970]]

the suspension system until at least 55 psi is in the braking system. 
The vehicle shall be level (not tilting to the left or right). Air 
leakage shall not be greater than 3 psi in a 5-minute time period when 
the vehicle's air pressure gauge shows normal operating pressure.



Sec. 393.209  Steering wheel systems.

    (a) The steering wheel shall be secured and must not have any spokes 
cracked through or missing.
    (b) The steering wheel lash shall not exceed the following 
parameters:

------------------------------------------------------------------------
                                                   Manual       Power
            Steering wheel diameter               steering     steering
                                                   system       system
------------------------------------------------------------------------
16" or less...................................          2"+     4\1/2\"+
18"...........................................     2\1/4\"+     4\3/4\"+
20"...........................................     2\1/2\"+     5\1/4\"+
22"...........................................     2\3/4\"+     5\3/4\"+
------------------------------------------------------------------------

    (c) Steering column. The steering column must be securely fastened.
    (d) Steering system. Universal joints shall not be worn, faulty or 
repaired by welding. The steering gear box shall not have loose or 
missing mounting bolts or cracks in the gear box or mounting brackets. 
The pitman arm on the steering gear output shaft shall not be loose. 
Steering wheels shall turn freely through the limit of travel in both 
directions.
    (e) Power steering systems. All components of the power system must 
be in operating condition. No parts shall be loose or broken. Belts 
shall not be frayed, cracked or slipping. The system shall not leak. The 
power steering system shall have sufficient fluid in the reservoir.

                           PART 394 [RESERVED]



PART 395--HOURS OF SERVICE OF DRIVERS--Table of Contents




Sec.
395.1  Scope of rules in this part.
395.2  Definitions.
395.3  Maximum driving time.
395.7  [Reserved]
395.8  Driver's record of duty status.
395.10-395.12  [Reserved]
395.13  Drivers declared out of service.
395.15  Automatic on-board recording devices.

    Authority: 49 U.S.C. 31133, 31136, and 31502; sec. 345, Pub.L. 104-
59, 109 Stat. 568, 613; and 49 CFR 1.48.

    Source: 33 FR 19758, Dec. 25, 1968, unless otherwise noted.



Sec. 395.1  Scope of rules in this part.

    (a) General. (1) The rules in this part apply to all motor carriers 
and drivers, except as provided in paragraphs (b) through (n) of this 
section.
    (2) The exceptions from Federal requirements contained in paragraphs 
(l) through (n) do not preempt State laws and regulations governing the 
safe operation of commercial motor vehicles.
    (b) Adverse driving conditions. (1) Except as provided in paragraph 
(i)(2) of this section, a driver who encounters adverse driving 
conditions, as defined in Sec. 395.2, and cannot, because of those 
conditions, safely complete the run within the 10-hour maximum driving 
time permitted by Sec. 395.3(a) may drive and be permitted or required 
to drive a commercial motor vehicle for not more than 2 additional hours 
in order to complete that run or to reach a place offering safety for 
the occupants of the commercial motor vehicle and security for the 
commercial motor vehicle and its cargo. However, that driver may not 
drive or be permitted to drive--
    (i) For more than 12 hours in the aggregate following 8 consecutive 
hours off duty; or
    (ii) After he/she has been on duty 15 hours following 8 consecutive 
hours off duty.
    (2) Emergency conditions. In case of any emergency, a driver may 
complete his/her run without being in violation of the provisions of the 
regulations in this part, if such run reasonably could have been 
completed absent the emergency.
    (c) Driver-salesperson. The provisions of Sec. 395.3(b) shall not 
apply to any driver-salesperson whose total driving time does not exceed 
40 hours in any period of 7 consecutive days.
    (d) Oilfield operations. (1) In the instance of drivers of 
commercial motor vehicles used exclusively in the transportation of 
oilfield equipment, including the stringing and picking up of pipe used 
in pipelines, and servicing of the field operations of the natural gas 
and

[[Page 971]]

oil industry, any period of 8 consecutive days may end with the 
beginning of any off-duty period of 24 or more successive hours.
    (2) In the case of specially trained drivers of commercial motor 
vehicles which are specially constructed to service oil wells, on-duty 
time shall not include waiting time at a natural gas or oil well site; 
provided, that all such time shall be fully and accurately accounted for 
in records to be maintained by the motor carrier. Such records shall be 
made available upon request of the Federal Highway Administration.
    (e) 100 air-mile radius driver. A driver is exempt from the 
requirements of Sec. 395.8 if:
    (1) The driver operates within a 100 air-mile radius of the normal 
work reporting location;
    (2) The driver, except a driver salesperson, returns to the work 
reporting location and is released from work within 12 consecutive 
hours;
    (3) At least 8 consecutive hours off duty separate each 12 hours on 
duty;
    (4) The driver does not exceed 10 hours maximum driving time 
following 8 consecutive hours off duty; and,
    (5) The motor carrier that employs the driver maintains and retains 
for a period of 6 months accurate and true time records showing:
    (i) The time the driver reports for duty each day;
    (ii) The total number of hours the driver is on duty each day;
    (iii) The time the driver is released from duty each day; and
    (iv) The total time for the preceding 7 days in accordance with 
Sec. 395.8(j)(2) for drivers used for the first time or intermittently.
    (f) Retail store deliveries. The provisions of Sec. 395.3 (a) and 
(b) shall not apply with respect to drivers of commercial motor vehicles 
engaged solely in making local deliveries from retail stores and/or 
retail catalog businesses to the ultimate consumer, when driving solely 
within a 100-air mile radius of the driver's work-reporting location, 
during the period from December 10 to December 25, both inclusive, of 
each year.
    (g) Sleeper berths. Drivers using sleeper berth equipment as defined 
in Sec. 395.2 or who are off duty at a natural gas or oil well location, 
may cumulate the required 8 consecutive hours off duty, as required by 
Sec. 395.3, resting in a sleeper berth in two separate periods totaling 
8 hours, neither period to be less than 2 hours, or resting while off 
duty in other sleeping accommodations at a natural gas or oil well 
location.
    (h) State of Alaska. (1) The provisions of Sec. 395.3 shall not 
apply to any driver who is driving a commercial motor vehicle in the 
State of Alaska. A driver who is driving a commercial motor vehicle in 
the State of Alaska must not drive or be required or permitted to 
drive--
    (i) More than 15 hours following 8 consecutive hours off duty;
    (ii) After being on duty for 20 hours or more following 8 
consecutive hours off duty;
    (iii) After having been on duty for 70 hours in any period of 7 
consecutive days, if the motor carrier for which the driver drives does 
not operate every day in the week; or
    (iv) After having been on duty for 80 hours in any period of 8 
consecutive days, if the motor carrier for which the driver drives 
operates every day in the week.
    (2) A driver who is driving a commercial motor vehicle in the State 
of Alaska and who encounters adverse driving conditions (as defined in 
Sec. 395.2) may drive and be permitted or required to drive a commercial 
motor vehicle for the period of time needed to complete the run. After 
he/she completes the run, that driver must be off duty for 8 consecutive 
hours before he/she drives again.
    (i) State of Hawaii. The rules in Sec. 395.8 do not apply to a 
driver who drives a commercial motor vehicle in the State of Hawaii, if 
the motor carrier who employs the driver maintains and retains for a 
period of 6 months accurate and true records showing--
    (1) The total number of hours the driver is on duty each day; and
    (2) The time at which the driver reports for, and is released from, 
duty each day.
    (j) Travel time. When a driver at the direction of the motor carrier 
is traveling, but not driving or assuming any other responsibility to 
the carrier,

[[Page 972]]

such time shall be counted as on-duty time unless the driver is afforded 
at least 8 consecutive hours off duty when arriving at destination, in 
which case he/she shall be considered off duty for the entire period.
    (k) Agricultural operations. The provisions of Sec. 395.3 shall not 
apply to drivers transporting agricultural commodities or farm supplies 
for agricultural purposes in a State if such transportation:
    (1) Is limited to an area within a 100 air mile radius from the 
source of the commodities or the distribution point for the farm 
supplies, and
    (2) Is conducted during the planting and harvesting seasons within 
such State, as determined by the State.
    (l) Ground water well drilling operations. In the instance of a 
driver of a commercial motor vehicle who is used primarily in the 
transportation and operations of a ground water well drilling rig, any 
period of 7 or 8 consecutive days may end with the beginning of any off-
duty period of 24 or more successive hours.
    (m) Construction materials and equipment. In the instance of a 
driver of a commercial motor vehicle who is used primarily in the 
transportation of construction materials and equipment, any period of 7 
or 8 consecutive days may end with the beginning of any off-duty period 
of 24 or more successive hours.
    (n) Utility service vehicles. In the instance of a driver of a 
utility service vehicle, any period of 7 or 8 consecutive days may end 
with the beginning of any off-duty period of 24 or more successive 
hours.

[57 FR 33647, July 30, 1992, as amended at 58 FR 33777, June 21, 1993; 
60 FR 38748, July 28, 1995; 61 FR 14679, Apr. 3, 1996; 63 FR 33279, June 
18, 1998]



Sec. 395.2  Definitions.

    As used in this part, the following words and terms are construed to 
mean:
    Adverse driving conditions means snow, sleet, fog, other adverse 
weather conditions, a highway covered with snow or ice, or unusual road 
and traffic conditions, none of which were apparent on the basis of 
information known to the person dispatching the run at the time it was 
begun.
    Automatic on-board recording device means an electric, electronic, 
electromechanical, or mechanical device capable of recording driver's 
duty status information accurately and automatically as required by 
Sec. 395.15. The device must be integrally synchronized with specific 
operations of the commercial motor vehicle in which it is installed. At 
a minimum, the device must record engine use, road speed, miles driven, 
the date, and time of day.
    Driver-salesperson means any employee who is employed solely as such 
by a private carrier of property by commercial motor vehicle, who is 
engaged both in selling goods, services, or the use of goods, and in 
delivering by commercial motor vehicle the goods sold or provided or 
upon which the services are performed, who does so entirely within a 
radius of 100 miles of the point at which he/she reports for duty, who 
devotes not more than 50 percent of his/her hours on duty to driving 
time. The term selling goods for purposes of this section shall include 
in all cases solicitation or obtaining of reorders or new accounts, and 
may also include other selling or merchandising activities designed to 
retain the customer or to increase the sale of goods or services, in 
addition to solicitation or obtaining of reorders or new accounts.
    Driving time means all time spent at the driving controls of a 
commercial motor vehicle in operation.
    Eight consecutive days means the period of 8 consecutive days 
beginning on any day at the time designated by the motor carrier for a 
24-hour period.
    Ground water well drilling rig means any vehicle, machine, tractor, 
trailer, semi-trailer, or specialized mobile equipment propelled or 
drawn by mechanical power and used on highways to transport water well 
field operating equipment, including water well drilling and pump 
service rigs equipped to access ground water.
    Multiple stops means all stops made in any one village, town, or 
city may be computed as one.

[[Page 973]]

    On duty time means all time from the time a driver begins to work or 
is required to be in readiness to work until the time the driver is 
relieved from work and all responsibility for performing work. On duty 
time shall include:
    (1) All time at a plant, terminal, facility, or other property of a 
motor carrier or shipper, or on any public property, waiting to be 
dispatched, unless the driver has been relieved from duty by the motor 
carrier;
    (2) All time inspecting, servicing, or conditioning any commercial 
motor vehicle at any time;
    (3) All driving time as defined in the term driving time;
    (4) All time, other than driving time, in or upon any commercial 
motor vehicle except time spent resting in a sleeper berth;
    (5) All time loading or unloading a commercial motor vehicle, 
supervising, or assisting in the loading or unloading, attending a 
commercial motor vehicle being loaded or unloaded, remaining in 
readiness to operate the commercial motor vehicle, or in giving or 
receiving receipts for shipments loaded or unloaded;
    (6) All time repairing, obtaining assistance, or remaining in 
attendance upon a disabled commercial motor vehicle;
    (7) All time spent providing a breath sample or urine specimen, 
including travel time to and from the collection site, in order to 
comply with the random, reasonable suspicion, post-accident, or follow-
up testing required by part 382 of this subchapter when directed by a 
motor carrier;
    (8) Performing any other work in the capacity, employ, or service of 
a motor carrier; and
    (9) Performing any compensated work for a person who is not a motor 
carrier.
    Seven consecutive days means the period of 7 consecutive days 
beginning on any day at the time designated by the motor carrier for a 
24-hour period.
    Sleeper berth means a berth conforming to the requirements of 
Sec. 393.76 of this chapter.
    Transportation of construction materials and equipment means the 
transportation of construction and pavement materials, construction 
equipment, and construction maintenance vehicles, by a driver to or from 
an active construction site (a construction site between mobilization of 
equipment and materials to the site to the final completion of the 
construction project) within a 50 air mile radius of the normal work 
reporting location of the driver. This paragraph does not apply to the 
transportation of material found by the Secretary to be hazardous under 
49 U.S.C. 5103 in a quantity requiring placarding under regulations 
issued to carry out such section.
    Twenty-four-hour period means any 24-consecutive-hour period 
beginning at the time designated by the motor carrier for the terminal 
from which the driver is normally dispatched.
    Utility service vehicle means any commercial motor vehicle:
    (1) Used in the furtherance of repairing, maintaining, or operating 
any structures or any other physical facilities necessary for the 
delivery of public utility services, including the furnishing of 
electric, gas, water, sanitary sewer, telephone, and television cable or 
community antenna service;
    (2) While engaged in any activity necessarily related to the 
ultimate delivery of such public utility services to consumers, 
including travel or movement to, from, upon, or between activity sites 
(including occasional travel or movement outside the service area 
necessitated by any utility emergency as determined by the utility 
provider); and
    (3) Except for any occasional emergency use, operated primarily 
within the service area of a utility's subscribers or consumers, without 
regard to whether the vehicle is owned, leased, or rented by the 
utility.

[57 FR 33648, July 30, 1992, as amended at 59 FR 7515, Feb. 15, 1994; 59 
FR 60324, Nov. 23, 1994; 60 FR 38748, July 28, 1995; 61 FR 14679, Apr. 
3, 1996; 63 FR 33279, June 18, 1998]



Sec. 395.3  Maximum driving time.

    (a) Except as provided in Secs. 395.1(b)(1), 395.1(f), and 395.1(i), 
no motor carrier shall permit or require any driver used by it to drive 
nor shall any such driver drive:
    (1) More than 10 hours following 8 consecutive hours off duty; or

[[Page 974]]

    (2) For any period after having been on duty 15 hours following 8 
consecutive hours off duty.
    (b) No motor carrier shall permit or require a driver of a 
commercial motor vehicle to drive, nor shall any driver drive, 
regardless of the number of motor carriers using the driver's services, 
for any period after--
    (1) Having been on duty 60 hours in any 7 consecutive days if the 
employing motor carrier does not operate commercial motor vehicles every 
day of the week; or
    (2) Having been on duty 70 hours in any period of 8 consecutive days 
if the employing motor carrier operates commercial motor vehicles every 
day of the week.

[57 FR 33649, July 30, 1992, as amended at 60 FR 38748, July 28, 1995]



Sec. 395.7  [Reserved]



Sec. 395.8  Driver's record of duty status.

    (a) Except for a private motor carrier of passengers (nonbusiness), 
every motor carrier shall require every driver used by the motor carrier 
to record his/her duty status for each 24 hour period using the methods 
prescribed in either paragraph (a)(1) or (2) of this section.
    (1) Every driver who operates a commercial motor vehicle shall 
record his/her duty status, in duplicate, for each 24-hour period. The 
duty status time shall be recorded on a specified grid, as shown in 
paragraph (g) of this section. The grid and the requirements of 
paragraph (d) of this section may be combined with any company forms. 
The previously approved format of the Daily Log, Form MCS-59 or the 
Multi-day Log, MCS-139 and 139A, which meets the requirements of this 
section, may continue to be used.
    (2) Every driver who operates a commercial motor vehicle shall 
record his/her duty status by using an automatic on-board recording 
device that meets the requirements of Sec. 395.15 of this part. The 
requirements of Sec. 395.8 shall not apply, except paragraphs (e) and 
(k) (1) and (2) of this section.
    (b) The duty status shall be recorded as follows:
    (1) ``Off duty'' or ``OFF.''
    (2) ``Sleeper berth'' or ``SB'' (only if a sleeper berth used).
    (3) ``Driving'' or ``D.''
    (4) ``On-duty not driving'' or ``ON.''
    (c) For each change of duty status (e.g., the place of reporting for 
work, starting to drive, on-duty not driving and where released from 
work), the name of the city, town, or village, with State abbreviation, 
shall be recorded.

    Note: If a change of duty status occurs at a location other than a 
city, town, or village, show one of the following: (1) The highway 
number and nearest milepost followed by the name of the nearest city, 
town, or village and State abbreviation, (2) the highway number and the 
name of the service plaza followed by the name of the nearest city, 
town, or village and State abbreviation, or (3) the highway numbers of 
the nearest two intersecting roadways followed by the name of the nerest 
city, town, or village and State abbreviation.

    (d) The following information must be included on the form in 
addition to the grid:
    (1) Date;
    (2) Total miles driving today;
    (3) Truck or tractor and trailer number;
    (4) Name of carrier;
    (5) Driver's signature/certification;
    (6) 24-hour period starting time (e.g. midnight, 9:00 a.m., noon, 
3:00 p.m.);
    (7) Main office address;
    (8) Remarks;
    (9) Name of co-driver;
    (10) Total hours (far right edge of grid);
    (11) Shipping document number(s), or name of shipper and commodity;
    (e) Failure to complete the record of duty activities of this 
section or Sec. 395.15, failure to preserve a record of such duty 
activities, or making of false reports in connection with such duty 
activities shall make the driver and/or the carrier liable to 
prosecution.
    (f) The driver's activities shall be recorded in accordance with the 
following provisions:
    (1) Entries to be current. Drivers shall keep their records of duty 
status current to the time shown for the last change of duty status.
    (2) Entries made by driver only. All entries relating to driver's 
duty status must be legible and in the driver's own handwriting.
    (3) Date. The month, day and year for the beginning of each 24-hour 
period

[[Page 975]]

shall be shown on the form containing the driver's duty status record.
    (4) Total miles driving today. Total mileage driven during the 24-
hour period shall be recorded on the form containing the driver's duty 
status record.
    (5) Commercial motor vehicle identification. The driver shall show 
the number assigned by the motor carrier, or the license number and 
licensing State of each commercial motor vehicle operated during each 
24-hour period on his/her record of duty status. The driver of an 
articulated (combination) commercial motor vehicle shall show the number 
assigned by the motor carrier, or the license number and licensing State 
of each motor vehicle used in each commercial motor vehicle combination 
operated during that 24-hour period on his/her record of duty status.
    (6) Name of motor carrier. The name(s) of the motor carrier(s) for 
which work is performed shall be shown on the form containing the 
driver's record of duty status. When work is performed for more than one 
motor carrier during the same 24-hour period, the beginning and 
finishing time, showing a.m. or p.m., worked for each motor carrier 
shall be shown after each motor carrier's name. Drivers of leased 
commercial motor vehicles shall show the name of the motor carrier 
performing the transportation.
    (7) Signature/certification. The driver shall certify to the 
correctness of all entries by signing the form containing the driver's 
duty status record with his/her legal name or name of record. The 
driver's signature certifies that all entries required by this section 
made by the driver are true and correct.
    (8) Time base to be used. (i) The driver's duty status record shall 
be prepared, maintained, and submitted using the time standard in effect 
at the driver's home terminal, for a 24-hour period beginning with the 
time specified by the motor carrier for that driver's home terminal.
    (ii) The term ``7 or 8 consecutive days'' means the 7 or 8 
consecutive 24-hour periods as designated by the carrier for the 
driver's home terminal.
    (iii) The 24-hour period starting time must be identified on the 
driver's duty status record. One-hour increments must appear on the 
graph, be identified, and preprinted. The words ``Midnight'' and 
``Noon'' must appear above or beside the appropriate one-hour increment.
    (9) Main office address. The motor carrier's main office address 
shall be shown on the form containing the driver's duty status record.
    (10) Recording days off duty. Two or more consecutive 24-hour 
periods off duty may be recorded on one duty status record.
    (11) Total hours. The total hours in each duty status: ff duty other 
than in a sleeper berth; off duty in a sleeper berth; driving, and on 
duty not driving, shall be entered to the right of the grid, the total 
of such entries shall equal 24 hours.
    (12) Shipping document number(s) or name of shipper and commodity 
shall be shown on the driver's record of duty status.
    (g) Graph grid. The following graph grid must be incorporated into a 
motor carrier recordkeeping system which must also contain the 
information required in paragraph (d) of this section.

[[Page 976]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.034

    (h) Graph grid preparation. The graph grid may be used horizontally 
or vertically and shall be completed as follows:
    (1) Off duty. Except for time spent resting in a sleeper berth, a 
continuous line shall be drawn between the appropriate time markers to 
record the period(s) of time when the driver is not on duty, is not 
required to be in readiness to work, or is not under any responsibility 
for performing work.
    (2) Sleeper berth. A continuous line shall be drawn between the 
appropriate time markers to record the period(s) of time off duty 
resting in a sleeper berth, as defined in Sec. 395.2. (If a non-sleeper 
berth operation, sleeper berth need not be shown on the grid.)
    (3) Driving. A continuous line shall be drawn between the 
appropriate time markers to record the period(s) of driving time, as 
defined in Sec. 395.2.
    (4) On duty not driving. A continuous line shall be drawn between 
the appropriate time markers to record the period(s) of time on duty not 
driving specified in Sec. 395.2.
    (5) Location--remarks. The name of the city, town, or village, with 
State abbreviation where each change of duty status occurs shall be 
recorded.


[[Page 977]]


    Note: If a change of duty status occurs at a location other than a 
city, town, or village, show one of the following: (1) The highway 
number and nearest milepost followed by the name of the nearest city, 
town, or village and State abbreviation, (2) the highway number and the 
name of the service plaza followed by the name of the nearest city, 
town, or village and State abbreviation, or (3) the highway numbers of 
the nearest two intersecting roadways followed by the name of the 
nearest city, town, or village and State abbreviation.

    (i) Filing driver's record of duty status. The driver shall submit 
or forward by mail the original driver's record of duty status to the 
regular employing motor carrier within 13 days following the completion 
of the form.
    (j) Drivers used by more than one motor carrier. (1) When the 
services of a driver are used by more than one motor carrier during any 
24-hour period in effect at the driver's home terminal, the driver shall 
submit a copy of the record of duty status to each motor carrier. The 
record shall include:
    (i) All duty time for the entire 24-hour period;
    (ii) The name of each motor carrier served by the driver during that 
period; and
    (iii) The beginning and finishing time, including a.m. or p.m., 
worked for each carrier.
    (2) Motor carriers, when using a driver for the first time or 
intermittently, shall obtain from the driver a signed statement giving 
the total time on duty during the immediately preceding 7 days and the 
time at which the driver was last relieved from duty prior to beginning 
work for the motor carriers.
    (k) Retention of driver's record of duty status. (1) Each motor 
carrier shall maintain records of duty status and all supporting 
documents for each driver it employs for a period of six months from the 
date of receipt.
    (2) The driver shall retain a copy of each record of duty status for 
the previous 7 consecutive days which shall be in his/her possession and 
available for inspection while on duty.

    Note: Driver's Record of Duty Status.

    The graph grid, when incorporated as part of any form used by a 
motor carrier, must be of sufficient size to be legible.
    The following executed specimen grid illustrates how a driver's duty 
status should be recorded for a trip from Richmond, Virginia, to Newark, 
New Jersey. The grid reflects the midnight to midnight 24 hour period.

[GRAPHIC] [TIFF OMITTED] TC01AP91.035

               Graph Grid (Midnight to Midnight Operation)

    The driver in this instance reported for duty at the motor carrier's 
terminal. The driver reported for work at 6 a.m., helped load, checked 
with dispatch, made a pretrip inspection, and performed other duties 
until 7:30 a.m. when the driver began driving. At 9 a.m. the driver had 
a minor accident in Fredericksburg, Virginia, and spent one half hour 
handling details with the local police. The driver arrived at the 
company's Baltimore, Maryland, terminal at noon and went to lunch while 
minor repairs were made to the tractor. At 1 p.m. the driver resumed the 
trip and made a delivery in Philadelphia, Pennsylvania, between 3 p.m. 
and 3:30 p.m. at which time the driver started driving again. Upon 
arrival at Cherry Hill, New Jersey, at 4 p.m., the driver entered the 
sleeper berth

[[Page 978]]

for a rest break until 5:45 p.m. at which time the driver resumed 
driving again. At 7 p.m. the driver arrived at the company's terminal in 
Newark, New Jersey. Between 7 p.m. and 8 p.m. the driver prepared the 
required paperwork including completing the driver's record of duty 
status, driver vehicle inspection report, insurance report for the 
Fredericksburg, Virginia accident, checked for the next day's dispatch, 
etc. At 8 p.m., the driver went off duty.

(Approved by the Office of Management and Budget under control number 
2125-0016)

[47 FR 53389, Nov. 26, 1982, as amended at 49 FR 38290, Sept. 28, 1984; 
49 FR 46147, Nov. 23, 1984; 51 FR 12622, Apr. 14, 1986; 52 FR 41721, 
Oct. 30, 1987; 53 FR 18058, May 19, 1988; 53 FR 38670, Sept. 30, 1988; 
57 FR 33649, July 30, 1992; 58 FR 33777, June 21, 1993; 59 FR 8753, Feb. 
23, 1994; 60 FR 38748, July 28, 1995; 62 FR 16709, Apr. 8, 1997; 63 FR 
33279, June 18, 1998]



Secs. 395.10-395.12  [Reserved]



Sec. 395.13  Drivers declared out of service.

    (a) Authority to declare drivers out of service. Every special agent 
of the Federal Highway Administration (as defined in appendix B to this 
subchapter) is authorized to declare a driver out of service and to 
notify the motor carrier of that declaration, upon finding at the time 
and place of examination that the driver has violated the out of service 
criteria as set forth in paragraph (b) of this section.
    (b) Out of service criteria. (1) No driver shall drive after being 
on duty in excess of the maximum periods permitted by this part.
    (2) No driver required to maintain a record of duty status under 
Sec. 395.8 or Sec. 395.15 of this part shall fail to have a record of 
duty status current on the day of examination and for the prior seven 
consecutive days.
    (3) Exception. A driver failing only to have possession of a record 
of duty status current on the day of examination and the prior day, but 
has completed records of duty status up to that time (previous 6 days), 
will be given the opportunity to make the duty status record current.
    (c) Responsibilities of motor carriers. (1) No motor carrier shall:
    (i) Require or permit a driver who has been declared out of service 
to operate a commercial motor vehicle until that driver may lawfully do 
so under the rules in this part.
    (ii) Require a driver who has been declared out of service for 
failure to prepare a record of duty status to operate a commercial motor 
vehicle until that driver has been off duty for 8 consecutive hours and 
is in compliance with this section. The consecutive 8 hour off-duty 
period may include sleeper berth time.
    (2) A motor carrier shall complete the ``Motor Carrier Certification 
of Action Taken'' portion of the form MCS-63 (Driver-Vehicle Examination 
Report) and deliver the copy of the form either personally or by mail to 
the Regional Director of Motor Carriers, Federal Highway Administration, 
at the address specified upon the form within 15 days following the date 
of examination. If the motor carrier mails the form, delivery is made on 
the date it is postmarked.
    (d) Responsibilities of the driver. (1) No driver who has been 
declared out of service shall operate a commercial motor vehicle until 
that driver may lawfully do so under the rules of this part.
    (2) No driver who has been declared out of service, for failing to 
prepare a record of duty status, shall operate a commercial motor 
vehicle until the driver has been off duty for 8 consecutive hours and 
is in compliance with this section.
    (3) A driver to whom a form has been tendered declaring the driver 
out of service shall within 24 hours thereafter deliver or mail the copy 
to a person or place designated by motor carrier to receive it.
    (4) Section 395.13 does not alter the hazardous materials 
requirements prescribed in Sec. 397.5 pertaining to attendance and 
surveillance of commercial motor vehicles.

[44 FR 34963, June 18, 1979, as amended at 47 FR 53392, Nov. 26, 1982; 
51 FR 12622, Apr. 14, 1986; 53 FR 18058, May 19, 1988; 53 FR 38670, 
Sept. 30, 1988; 53 FR 47544, Nov. 23, 1988; 60 FR 38748, July 28, 1995]



Sec. 395.15  Automatic on-board recording devices.

    (a) Authority to use automatic on-board recording device. (1) A 
motor carrier

[[Page 979]]

may require a driver to use an automatic on-board recording device to 
record the driver's hours of service in lieu of complying with the 
requirements of Sec. 395.8 of this part.
    (2) Every driver required by a motor carrier to use an automatic on-
board recording device shall use such device to record the driver's 
hours of service.
    (b) Information requirements. (1) Automatic on-board recording 
devices shall produce, upon demand, a driver's hours of service chart, 
electronic display, or printout showing the time and sequence of duty 
status changes including the drivers' starting time at the beginning of 
each day.
    (2) The device shall provide a means whereby authorized Federal, 
State, or local officials can immediately check the status of a driver's 
hours of service. This information may be used in conjunction with 
handwritten or printed records of duty status, for the previous 7 days.
    (3) Support systems used in conjunction with on-board recorders at a 
driver's home terminal or the motor carrier's principal place of 
business must be capable of providing authorized Federal, State or local 
officials with summaries of an individual driver's hours of service 
records, including the information specified in Sec. 395.8(d) of this 
part. The support systems must also provide information concerning on-
board system sensor failures and identification of edited data. Such 
support systems should meet the information interchange requirements of 
the American National Standard Code for Information Interchange (ANSCII) 
(EIARS-232/CCITT V.24 port (National Bureau of Standards ``Code for 
Information Interchange,'' FIPS PUB 1-1)).
    (4) The driver shall have in his/her possession records of duty 
status for the previous 7 consecutive days available for inspection 
while on duty. These records shall consist of information stored in and 
retrievable from the automatic on-board recording device, handwitten 
records, computer generated records, or any combination thereof.
    (5) All hard copies of the driver's record of duty status must be 
signed by the driver. The driver's signature certifies that the 
information contained thereon is true and correct.
    (c) The duty status and additional information shall be recorded as 
follows:
    (1) ``Off duty'' or ``OFF'', or by an identifiable code or 
character;
    (2) ``Sleeper berth'' or ``SB'' or by an identifiable code or 
character (only if the sleeper berth is used);
    (3) ``Driving'' or ``D'', or by an identifiable code or character; 
and
    (4) ``On-duty not driving'' or ``ON'', or by an identifiable code or 
character.
    (5) Date;
    (6) Total miles driving today;
    (7) Truck or tractor and trailer number;
    (8) Name of carrier;
    (9) Main office address;
    (10) 24-hour period starting time (e.g., midnight, 9:00 a.m., noon, 
3:00 p.m.)
    (11) Name of co-driver;
    (12) Total hours; and
    (13) Shipping document number(s), or name of shipper and commodity.
    (d) Location of duty status change. (1) For each change of duty 
status (e.g., the place and time of reporting for work, starting to 
drive, on-duty not driving and where released from work), the name of 
the city, town, or village, with State abbreviation, shall be recorded.
    (2) Motor carriers are permitted to use location codes in lieu of 
the requirements of paragraph (d)(1) of this section. A list of such 
codes showing all possible location identifiers shall be carried in the 
cab of the commercial motor vehicle and available at the motor carrier's 
principal place of business. Such lists shall be made available to an 
enforcement official on request.
    (e) Entries made by driver only. If a driver is required to make 
written entries relating to the driver's duty status, such entries must 
be legible and in the driver's own handwriting.
    (f) Reconstruction of records of duty status. Drivers are required 
to note any failure of automatic on-board recording devices, and to 
reconstruct the driver's record of duty status for the current day, and 
the past 7 days, less any days for which the drivers have records, and 
to continue to prepare a handwritten record of all subsequent duty 
status until the device is again operational.

[[Page 980]]

    (g) On-board information. Each commercial motor vehicle must have 
on-board the commercial motor vehicle an information packet containing 
the following items:
    (1) An instruction sheet describing in detail how data may be stored 
and retrieved from an automatic on-board recording system; and
    (2) A supply of blank driver's records of duty status graph-grids 
sufficient to record the driver's duty status and other related 
information for the duration of the current trip.
    (h) Submission of driver's record of duty status. (1) The driver 
shall submit, electronically or by mail, to the employing motor carrier, 
each record of the driver's duty status within 13 days following the 
completion of each record;
    (2) The driver shall review and verify that all entries are accurate 
prior to submission to the employing motor carrier; and
    (3) The submission of the record of duty status certifies that all 
entries made by the driver are true and correct.
    (i) Performance of recorders. Motor carriers that use automatic on-
board recording devices for recording their drivers' records of duty 
status in lieu of the handwritten record shall ensure that:
    (1) A certificate is obtained from the manufacturer certifying that 
the design of the automatic on-board recorder has been sufficiently 
tested to meet the requirements of this section and under the conditions 
it will be used;
    (2) The automatic on-board recording device permits duty status to 
be updated only when the commercial motor vehicle is at rest, except 
when registering the time a commercial motor vehicle crosses a State 
boundary;
    (3) The automatic on-board recording device and associated support 
systems are, to the maximum extent practicable, tamperproof and do not 
permit altering of the information collected concerning the driver's 
hours of service;
    (4) The automatic on-board recording device warns the driver 
visually and/or audibly that the device has ceased to function. Devices 
installed and operational as of October 31, 1988, and authorized to be 
used in lieu of the handwritten record of duty status by the FHWA are 
exempted from this requirement.
    (5) Automatic on-board recording devices with electronic displays 
shall have the capability of displaying the following:
    (i) Driver's total hours of driving today;
    (ii) The total hours on duty today;
    (iii) Total miles driving today;
    (iv) Total hours on duty for the 7 consecutive day period, including 
today;
    (v) Total hours on duty for the prior 8 consecutive day period, 
including the present day; and
    (vi) The sequential changes in duty status and the times the changes 
occurred for each driver using the device.
    (6) The on-board recorder is capable of recording separately each 
driver's duty status when there is a multiple-driver operation;
    (7) The on-board recording device/system identifies sensor failures 
and edited data when reproduced in printed form. Devices installed and 
operational as of October 31, 1988, and authorized to be used in lieu of 
the handwritten record of duty status by the FHWA are exempted from this 
requirement.
    (8) The on-board recording device is maintained and recalibrated in 
accordance with the manufacturer's specifications;
    (9) The motor carrier's drivers are adequately trained regarding the 
proper operation of the device; and
    (10) The motor carrier must maintain a second copy (back-up copy) of 
the electronic hours-of-service files, by month, in a different physical 
location than where the original data is stored.
    (j) Rescission of authority. (1) The FHWA may, after notice and 
opportunity to reply, order any motor carrier or driver to comply with 
the requirements of Sec. 395.8 of this part.
    (2) The FHWA may issue such an order if the FHWA has determined 
that--
    (i) The motor carrier has been issued a conditional or 
unsatisfactory safety rating by the FHWA;
    (ii) The motor carrier has required or permitted a driver to 
establish, or the

[[Page 981]]

driver has established, a pattern of exceeding the hours of service 
limitations of Sec. 395.3 of this part;
    (iii) The motor carrier has required or permitted a driver to fail, 
or the driver has failed, to accurately and completely record the 
driver's hours of service as required in this section; or
    (iv) The motor carrier or driver has tampered with or otherwise 
abused the automatic on-board recording device on any commercial motor 
vehicle.

[53 FR 38670, Sept. 30, 1988, as amended at 60 FR 38748, July 28, 1995]



PART 396--INSPECTION, REPAIR, AND MAINTENANCE--Table of Contents




Sec.
396.1  Scope.
396.3  Inspection, repair, and maintenance.
396.5  Lubrication.
396.7  Unsafe operations forbidden.
396.9  Inspection of motor vehicles in operation.
396.11  Driver vehicle inspection report(s).
396.13  Driver inspection.
396.15  Driveaway-towaway operations and inspections.
396.17  Periodic inspection.
396.19  Inspector qualifications.
396.21  Periodic inspection recordkeeping requirements.
396.23  Equivalent to periodic inspection.
396.25  Qualifications of brake inspectors.

    Authority: 49 U.S.C. 31133, 31136, and 31502; 49 CFR 1.48.

    Source: 44 FR 38526, July 2, 1979, unless otherwise noted.



Sec. 396.1  Scope.

    General--Every motor carrier, its officers, drivers, agents, 
representatives, and employees directly concerned with the inspection or 
maintenance of motor vehicles shall comply and be conversant with the 
rules of this part.

[44 FR 38526, July 2, 1979, as amended at 53 FR 18058, May 19, 1988]



Sec. 396.3  Inspection, repair, and maintenance.

    (a) General. Every motor carrier shall systematically inspect, 
repair, and maintain, or cause to be systematically inspected, repaired, 
and maintained, all motor vehicles subject to its control.
    (1) Parts and accessories shall be in safe and proper operating 
condition at all times. These include those specified in part 393 of 
this subchapter and any additional parts and accessories which may 
affect safety of operation, including but not limited to, frame and 
frame assemblies, suspension systems, axles and attaching parts, wheels 
and rims, and steering systems.
    (2) Pushout windows, emergency doors, and emergency door marking 
lights in buses shall be inspected at least every 90 days.
    (b) Required records--For vehicles controlled for 30 consecutive 
days or more, except for a private motor carrier of passengers 
(nonbusiness), the motor carriers shall maintain, or cause to be 
maintained, the following record for each vehicle:
    (1) An identification of the vehicle including company number, if so 
marked, make, serial number, year, and tire size. In addition, if the 
motor vehicle is not owned by the motor carrier, the record shall 
identify the name of the person furnishing the vehicle;
    (2) A means to indicate the nature and due date of the various 
inspection and maintenance operations to be performed;
    (3) A record of inspection, repairs, and maintenance indicating 
their date and nature; and
    (4) A record of tests conducted on pushout windows, emergency doors, 
and emergency door marking lights on buses.
    (c) Record retention. The records required by this section shall be 
retained where the vehicle is either housed or maintained for a period 
of 1 year and for 6 months after the motor vehicle leaves the motor 
carrier's control.

[44 FR 38526, July 2, 1979, as amended at 48 FR 55868, Dec. 16, 1983; 53 
FR 18058, May 19, 1988; 59 FR 8753, Feb. 23, 1994; 59 FR 60324, Nov. 23, 
1994]



Sec. 396.5  Lubrication.

    Every motor carrier shall ensure that each motor vehicle subject to 
its control is--
    (a) Properly lubricated; and
    (b) Free of oil and grease leaks.



Sec. 396.7  Unsafe operations forbidden.

    (a) General. A motor vehicle shall not be operated in such a 
condition as to

[[Page 982]]

likely cause an accident or a breakdown of the vehicle.
    (b) Exemption. Any motor vehicle discovered to be in an unsafe 
condition while being operated on the highway may be continued in 
operation only to the nearest place where repairs can safely be 
effected. Such operation shall be conducted only if it is less hazardous 
to the public than to permit the vehicle to remain on the highway.



Sec. 396.9  Inspection of motor vehicles in operation.

    (a) Personnel authorized to perform inspections. Every special agent 
of the FHWA (as defined in appendix B to this subchapter) is authorized 
to enter upon and perform inspections of motor carrier's vehicles in 
operation.
    (b) Prescribed inspection report. The Driver-Equipment Compliance 
Check shall be used to record results of motor vehicle inspections 
conducted by authorized FHWA personnel.
    (c) Motor vehicles declared ``out of service.'' (1) Authorized 
personnel shall declare and mark ``out of service'' any motor vehicle 
which by reason of its mechanical condition or loading would likely 
cause an accident or a breakdown. An ``Out of Service Vehicle'' sticker 
shall be used to mark vehicles ``out of service.''
    (2) No motor carrier shall require or permit any person to operate 
nor shall any person operate any motor vehicle declared and marked ``out 
of service'' until all repairs required by the ``out of service notice'' 
have been satisfactorily completed. The term ``operate'' as used in this 
section shall include towing the vehicle, except that vehicles marked 
``out of service'' may be towed away by means of a vehicle using a crane 
or hoist. A vehicle combination consisting of an emergency towing 
vehicle and an ``out of service'' vehicle shall not be operated unless 
such combination meets the performance requirements of this subchapter 
except for those conditions noted on the Driver Equipment Compliance 
Check.
    (3) No person shall remove the ``Out of Service Vehicle'' sticker 
from any motor vehicle prior to completion of all repairs required by 
the ``out of service notice''.
    (d) Motor carrier disposition. (1) The driver of any motor vehicle 
receiving an inspection report shall deliver it to the motor carrier 
operating the vehicle upon his/her arrival at the next terminal or 
facility. If the driver is not scheduled to arrive at a terminal or 
facility of the motor carrier operating the vehicle within 24 hours, the 
driver shall immediately mail the report to the motor carrier.
    (2) Motor carriers shall examine the report. Violations or defects 
noted thereon shall be corrected.
    (3) Within 15 days following the date of the inspection, the motor 
carrier shall--
    (i) Certify that all violations noted have been corrected by 
completing the ``Signature of Carrier Official, Title, and Date Signed'' 
portions of the form; and
    (ii) Return the completed roadside inspection form to the issuing 
agency at the address indicated on the form and retain a copy at the 
motor carrier's principal place of business or where the vehicle is 
housed for 12 months from the date of the inspection.

(49 U.S.C. 3102; 49 CFR 1.48(b))

[44 FR 38526, July 2, 1979, as amended at 49 FR 38290, Sept. 28, 1984; 
57 FR 40964, Sept. 8, 1992]



Sec. 396.11  Driver vehicle inspection report(s).

    (a) Report required. Every motor carrier shall require its drivers 
to report, and every driver shall prepare a report in writing at the 
completion of each day's work on each vehicle operated and the report 
shall cover at least the following parts and accessories:

--Service brakes including trailer brake connections
--Parking (hand) brake
--Steering mechanism
--Lighting devices and reflectors
--Tires
--Horn
--Windshield wipers
--Rear vision mirrors
--Coupling devices
--Wheels and rims
--Emergency equipment

    (b) Report content. The report shall identify the vehicle and list 
any defect or deficiency discovered by or reported

[[Page 983]]

to the driver which would affect the safety of operation of the vehicle 
or result in its mechanical breakdown. If no defect or deficiency is 
discovered by or reported to the driver, the report shall so indicate. 
In all instances, the driver shall sign the report. On two-driver 
operations, only one driver needs to sign the driver vehicle inspection 
report, provided both drivers agree as to the defects or deficiencies 
identified. If a driver operates more than one vehicle during the day, a 
report shall be prepared for each vehicle operated.
    (c) Corrective action. Prior to requiring or permitting a driver to 
operate a vehicle, every motor carrier or its agent shall repair any 
defect or deficiency listed on the driver vehicle inspection report 
which would be likely to affect the safety of operation of the vehicle.
    (1) Every motor carrier or its agent shall certify on the original 
driver vehicle inspection report which lists any defect or deficiency 
that the defect or deficiency has been repaired or that repair is 
unnecessary before the vehicle is operated again.
    (2) Every motor carrier shall maintain the original driver vehicle 
inspection report, the certification of repairs, and the certification 
of the driver's review for three months from the date the written report 
was prepared.
    (d) Exceptions. The rules in this section shall not apply to a 
private motor carrier of passengers (nonbusiness), a driveaway-towaway 
operation, or any motor carrier operating only one commercial motor 
vehicle.

[44 FR 38526, July 2, 1979, as amended at 45 FR 46425, July 10, 1980; 53 
FR 18058, May 19, 1988; 59 FR 8753, Feb. 23, 1994; 63 FR 33279, June 18, 
1998]



Sec. 396.13  Driver inspection.

    Before driving a motor vehicle, the driver shall:
    (a) Be satisfied that the motor vehicle is in safe operating 
condition;
    (b) Review the last driver vehicle inspection report; and
    (c) Sign the report, only if defects or deficiencies were noted by 
the driver who prepared the report, to acknowledge that the driver has 
reviewed it and that there is a certification that the required repairs 
have been performed. The signature requirement does not apply to listed 
defects on a towed unit which is no longer part of the vehicle 
combination.

[44 FR 76526, Dec. 27, 1979, as amended at 48 FR 55868, Dec. 16, 1983; 
63 FR 33280, June 18, 1998]



Sec. 396.15  Driveaway-towaway operations and inspections.

    (a) General. Effective December 7, 1989, every motor carrier, with 
respect to motor vehicles engaged in driveaway-towaway operations, shall 
comply with the requirements of this part. Exception: Maintenance 
records required by Sec. 396.3, the vehicle inspection report required 
by Sec. 396.11, and the periodic inspection required by Sec. 396.17 of 
this part shall not be required for any vehicle which is part of the 
shipment being delivered.
    (b) Pre-trip inspection. Before the beginning of any driveaway-
towaway operation of motor vehicles in combination, the motor carrier 
shall make a careful inspection and test to ascertain that:
    (1) The towbar or saddle-mount connections are properly secured to 
the towed and towing vehicle;
    (2) They function adequately without cramping or binding of any of 
the parts; and
    (3) The towed motor vehicle follows substantially in the path of the 
towing vehicle without whipping or swerving.
    (c) Post-trip inspection. Motor carriers shall maintain practices to 
ensure that following completion of any trip in driveaway-towaway 
operation of motor vehicles in combination, and before they are used 
again, the towbars and saddle-mounts are disassembled and inspected for 
worn, bent, cracked, broken, or missing parts. Before reuse, suitable 
repair or replacement shall be made of any defective parts and the 
devices shall be properly reassembled.

[44 FR 38526, July 2, 1979, as amended at 53 FR 49410, Dec. 7, 1988; 53 
FR 49968, Dec. 12, 1988]



Sec. 396.17  Periodic inspection.

    (a) Every commercial motor vehicle shall be inspected as required by 
this section. The inspection shall include,

[[Page 984]]

at a minimum, the parts and accessories set forth in appendix G of this 
subchapter.

    Note: The term commercial motor vehicle includes each vehicle in a 
combination vehicle. For example, for a tractor semitrailer, fulltrailer 
combination, the tractor, semitrailer, and the fulltrailer (including 
the converter dolly if so equipped) shall each be inspected.

    (b) Except as provided in Sec. 396.23, a motor carrier shall inspect 
or cause to be inspected all motor vehicles subject to its control.
    (c) A motor carrier shall not use a commercial motor vehicle unless 
each component identified in appendix G has passed an inspection in 
accordance with the terms of this section at least once during the 
preceding 12 months and documentation of such inspection is on the 
vehicle. The documentation may be:
    (1) The inspection report prepared in accordance with paragraph 
396.21(a), or
    (2) Other forms of documentation, based on the inspection report 
(e.g., sticker or decal), which contains the following information:
    (i) The date of inspection;
    (ii) Name and address of the motor carrier or other entity where the 
inspection report is maintained;
    (iii) Information uniquely identifying the vehicle inspected if not 
clearly marked on the motor vehicle; and
    (iv) A certification that the vehicle has passed an inspection in 
accordance with Sec. 396.17.
    (d) A motor carrier may perform the required annual inspection for 
vehicles under the carrier's control which are not subject to an 
inspection under Sec. 396.23(b)(1).
    (e) In lieu of the self inspection provided for in paragraph (d) of 
this section, a motor carrier may choose to have a commercial garage, 
fleet leasing company, truck stop, or other similar commercial business 
perform the inspection as its agent, provided that business operates and 
maintains facilities appropriate for commercial vehicle inspections and 
it employs qualified inspectors, as required by Sec. 396.19.
    (f) Vehicles passing roadside or periodic inspections performed 
under the auspices of any State government or equivalent jurisdiction or 
the FHWA, meeting the minimum standards contained in appendix G of this 
subchapter, will be considered to have met the requirements of an annual 
inspection for a period of 12 months commencing from the last day of the 
month in which the inspection was performed, except as provided in 
Sec. 396.23(b)(1).
    (g) It shall be the responsibility of the motor carrier to ensure 
that all parts and accessories not meeting the minimum standards set 
forth in appendix G to this subchapter are repaired promptly.
    (h) Failure to perform properly the annual inspection set forth in 
this section shall cause the motor carrier to be subject to the penalty 
provisions provided by 49 U.S.C. 521(b).

[53 FR 49410, Dec. 7, 1988; 53 FR 49968, Dec. 12, 1988, as amended at 54 
FR 50725, Dec. 8, 1989]



Sec. 396.19  Inspector qualifications.

    (a) It shall be the motor carrier's responsibility to ensure that 
the individual(s) performing an annual inspection under Sec. 396.17 (d) 
or (e) is qualified as follows:
    (1) Understands the inspection criteria set forth in 49 CFR part 393 
and appendix G of this subchapter and can identify defective components;
    (2) Is knowledgeable of and has mastered the methods, procedures, 
tools and equipment used when performing an inspection; and
    (3) Is capable of performing an inspection by reason of experience, 
training, or both as follows:
    (i) Successfully completed a State or Federal-sponsored training 
program or has a certificate from a State or Canadian Province which 
qualifies the person to perform commercial motor vehicle safety 
inspections, or
    (ii) Have a combination of training and/or experience totaling at 
least 1 year. Such training and/or experience may consist of:
    (A) Participation in a truck manufacturer-sponsored training program 
or similar commercial training program designed to train students in 
truck operation and maintenance;
    (B) Experience as a mechanic or inspector in a motor carrier 
maintenance program;

[[Page 985]]

    (C) Experience as a mechanic or inspector in truck maintenance at a 
commercial garage, fleet leasing company, or similar facility; or
    (D) Experience as a commercial vehicle inspector for a State, 
Provincial or Federal Government.
    (b) Evidence of that individual's qualifications under this section 
shall be retained by the motor carrier for the period during which that 
individual is performing annual motor vehicle inpspections for the motor 
carrier, and for one year thereafter. However, motor carriers do not 
have to maintain documentation of inspector qualifications for those 
inspections performed either as part of a State periodic inspection 
program or at the roadside as part of a random roadside inspection 
program.

[53 FR 49410, Dec. 7, 1988; 53 FR 49968, Dec. 12, 1988]



Sec. 396.21  Periodic inspection recordkeeping requirements.

    (a) The qualified inspector performing the inspection shall prepare 
a report which:
    (1) Identifies the individual performing the inspection;
    (2) Identifies the motor carrier operating the vehicle;
    (3) Identifies the date of the inspection;
    (4) Identifies the vehicle inspected;
    (5) Identifies the vehicle components inspected and describes the 
results of the inspection, including the identification of those 
components not meeting the minimum standards set forth in appendix G to 
this subchapter; and
    (6) Certifies the accuracy and completeness of the inspection as 
complying with all the requirements of this section.
    (b)(1) The original or a copy of the inspection report shall be 
retained by the motor carrier or other entity who is responsible for the 
inspection for a period of fourteen months from the date of the 
inspection report. The original or a copy of the inspection report shall 
be retained where the vehicle is either housed or maintained.
    (2) The original or a copy of the inspection report shall be 
available for inspection upon demand of an authorized Federal, State or 
local official.
    (3) Exception. Where the motor carrier operating the commercial 
motor vehicles did not perform the commercial motor vehicle's last 
annual inspection, the motor carrier shall be responsible for obtaining 
the original or a copy of the last annual inspection report upon demand 
of an authorized Federal, State, or local official.

[54 FR 50725, Dec. 8, 1989]



Sec. 396.23  Equivalent to periodic inspection.

    (a) The motor carrier may meet the requirements of Sec. 396.17 
through a State or other jurisdiction's roadside inspection program. The 
inspection must have been performed during the preceding 12 months. In 
using the roadside inspection, the motor carrier would need to retain a 
copy of an annual inspection report showing that the inspection was 
performed in accordance with the minimum periodic inspection standards 
set forth in appendix G to this subchapter. When accepting such an 
inspection report, the motor carrier must ensure that the report 
complies with the requirements of Sec. 396.21(a).
    (b)(1) If a commercial motor vehicle is subject to a mandatory State 
inspection program which is determined by the Administrator to be as 
effective as Sec. 396.17, the motor carrier shall meet the requirement 
of Sec. 396.17 through that State's inspection program. Commercial motor 
vehicle inspections may be conducted by State personnel, at State 
authorized commercial facilities, or by the motor carrier under the 
auspices of a State authorized self-inspection program.
    (2) Should the FHWA determine that a State inspection program, in 
whole or in part, is not as effective as Sec. 396.17, the motor carrier 
must ensure that the periodic inspection required by Sec. 396.17 is 
performed on all commercial motor vehicles under its control in a manner 
specified in Sec. 396.17.

[53 FR 49410, Dec. 7, 1988; 53 FR 49968, Dec. 12, 1988, as amended at 60 
FR 38749, July 28, 1995]



Sec. 396.25  Qualifications of brake inspectors.

    (a) The motor carrier shall ensure that all inspections, 
maintenance, repairs or service to the brakes of its

[[Page 986]]

commercial motor vehicles, are performed in compliance with the 
requirements of this section.
    (b) For purposes of this section, brake inspector means any employee 
of a motor carrier who is responsible for ensuring all brake 
inspections, maintenance, service, or repairs to any commercial motor 
vehicle, subject to the motor carrier's control, meet the applicable 
Federal standards.
    (c) No motor carrier shall require or permit any employee who does 
not meet the minimum brake inspector qualifications of Sec. 396.25(d) to 
be responsible for the inspection, maintenance, service or repairs of 
any brakes on its commercial motor vehicles.
    (d) The motor carrier shall ensure that each brake inspector is 
qualified as follows:
    (1) Understands the brake service or inspection task to be 
accomplished and can perform that task; and
    (2) Is knowledgeable of and has mastered the methods, procedures, 
tools and equipment used when performing an assigned brake service or 
inspection task; and
    (3) Is capable of performing the assigned brake service or 
inspection by reason of experience, training or both as follows:
    (i) Has successfully completed an apprenticeship program sponsored 
by a State, a Canadian Province, a Federal agency or a labor union, or a 
training program approved by a State, Provincial or Federal agency, or 
has a certificate from a State or Canadian Province which qualifies the 
person to perform the assigned brake service or inspection task 
(including passage of Commercial Driver's License air brake tests in the 
case of a brake inspection); or
    (ii) Has brake-related training or experience or a combination 
thereof totaling at least one year. Such training or experience may 
consist of:
    (A) Participation in a training program sponsored by a brake or 
vehicle manufacturer or similar commercial training program designed to 
train students in brake maintenance or inspection similar to the 
assigned brake service or inspection tasks; or
    (B) Experience performing brake maintenance or inspection similar to 
the assigned brake service or inspection task in a motor carrier 
maintenance program; or
    (C) Experience performing brake maintenance or inspection similar to 
the assigned brake service or inspection task at a commercial garage, 
fleet leasing company, or similar facility.
    (e) No motor carrier shall employ any person as a brake inspector 
unless the evidence of the inspector's qualifications, required under 
this section is maintained by the motor carrier at its principal place 
of business, or at the location at which the brake inspector is 
employed. The evidence must be maintained for the period during which 
the brake inspector is employed in that capacity and for one year 
thereafter. However, motor carriers do not have to maintain evidence of 
qualifications to inspect air brake systems for such inspections 
performed by persons who have passed the air brake knowledge and skills 
test for a Commercial Driver's License.

[56 FR 491, Jan. 7, 1991]



PART 397--TRANSPORTATION OF HAZARDOUS MATERIALS; DRIVING AND PARKING RULES--Table of Contents




                           Subpart A--General

Sec.
397.1  Application of the rules in this part.
397.2  Compliance with Federal motor carrier safety regulations.
397.3  State and local laws, ordinances, and regulations.
397.5  Attendance and surveillance of motor vehicles.
397.7  Parking.
397.9  [Reserved]
397.11  Fires.
397.13  Smoking.
397.15  Fueling.
397.17  Tires.
397.19  Instructions and documents.

Subpart B  [Reserved]

        Subpart C--Routing of Non-Radioactive Hazardous Materials

397.61  Purpose and scope.
397.63  Applicability.
397.65  Definitions.
397.67  Motor carrier responsibility for routing.
397.69  Highway routing designations; preemption.

[[Page 987]]

397.71  Federal standards.
397.73  Public information and reporting requirements.
397.75  Dispute resolution.
397.77  Judicial review of dispute decision.

          Subpart D--Routing of Class 7 (Radioactive) Materials

397.101  Requirements for motor carriers and drivers.
397.103  Requirements for State routing designations.

                    Subpart E--Preemption Procedures

397.201  Purpose and scope of the procedures.
397.203  Standards for determining preemption.
397.205  Preemption application.
397.207  Preemption notice.
397.209  Preemption processing.
397.211  Preemption determination.
397.213  Waiver of preemption application.
397.215  Waiver notice.
397.217  Waiver processing.
397.219  Waiver determination and order.
397.221  Timeliness.
397.223  Petition for reconsideration.
397.225  Judicial review.

    Authority: 49 U.S.C. 322; 49 CFR 1.48. Subpart A also issued under 
49 U.S.C. 31136, 31502. Subparts C, D, and E also issued under 49 U.S.C. 
5112, 5125.

    Source: 36 FR 4876, Mar. 13, 1971, unless otherwise noted.



                           Subpart A--General



Sec. 397.1  Application of the rules in this part.

    (a) The rules in this part apply to each motor carrier engaged in 
the transportation of hazardous materials by a motor vehicle which must 
be marked or placarded in accordance with Sec. 177.823 of this title and 
to--
    (1) Each officer or employee of the motor carrier who performs 
supervisory duties related to the transportation of hazardous materials; 
and
    (2) Each person who operates or who is in charge of a motor vehicle 
containing hazardous materials.
    (b) Each person designated in paragraph (a) of this section must 
know and obey the rules in this part.

[36 FR 4876, Mar. 13, 1971, as amended at 36 FR 16067, Aug. 19, 1971; 53 
FR 18058, May 19, 1988; 60 FR 38749, July 28, 1995]



Sec. 397.2  Compliance with Federal motor carrier safety regulations.

    A motor carrier or other person to whom this part is applicable must 
comply with the rules in parts 390 through 397, inclusive, of this 
subchapter when he/she is transporting hazardous materials by a motor 
vehicle which must be marked or placarded in accordance with 
Sec. 177.823 of this title.

[37 FR 18080, Sept. 7, 1972]



Sec. 397.3  State and local laws, ordinances, and regulations.

    Every motor vehicle containing hazardous materials must be driven 
and parked in compliance with the laws, ordinances, and regulations of 
the jurisdiction in which it is being operated, unless they are at 
variance with specific regulations of the Department of Transportation 
which are applicable to the operation of that vehicle and which impose a 
more stringent obligation or restraint.



Sec. 397.5  Attendance and surveillance of motor vehicles.

    (a) Except as provided in paragraph (b) of this section, a motor 
vehicle which contains a Division 1.1, 1.2, or 1.3 (explosive) material 
must be attended at all times by its driver or a qualified 
representative of the motor carrier that operates it.
    (b) The rules in paragraph (a) of this section do not apply to a 
motor vehicle which contains Division 1.1, 1.2, or 1.3 material if all 
the following conditions exist--
    (1) The vehicle is located on the property of a motor carrier, on 
the property of a shipper or consignee of the explosives, in a safe 
haven, or, in the case of a vehicle containing 50 pounds or less of a 
Division 1.1, 1.2, or 1.3 material, on a construction or survey site; 
and
    (2) The lawful bailee of the explosives is aware of the nature of 
the explosives the vehicle contains and has been instructed in the 
procedures which must be followed in emergencies; and
    (3) The vehicle is within the bailee's unobstructed field of view or 
is located in a safe haven.
    (c) A motor vehicle which contains hazardous materials other than 
Division 1.1, 1.2, or 1.3, materials, and

[[Page 988]]

which is located on a public street or highway, or the shoulder of a 
public highway, must be attended by its driver. However, the vehicle 
need not be attended while its driver is performing duties which are 
incident and necessary to the driver's duties as the operator of the 
vehicle.
    (d) For purposes of this section--
    (1) A motor vehicle is attended when the person in charge of the 
vehicle is on the vehicle, awake, and not in a sleeper berth, or is 
within 100 feet of the vehicle and has it within his/her unobstructed 
field of view.
    (2) A qualified representative of a motor carrier is a person who--
    (i) Has been designated by the carrier to attend the vehicle;
    (ii) Is aware of the nature of the hazardous materials contained in 
the vehicle he/she attends;
    (iii) Has been instructed in the procedures he/she must follow in 
emergencies; and
    (iv) Is authorized to move the vehicle and has the means and ability 
to do so.
    (3) A safe haven in an area specifically approved in writing by 
local, State, or Federal governmental authorities for the parking of 
unattended vehicles containing Division 1.1, 1.2, or 1.3 materials.
    (e) The rules in this section do not relieve the driver from any 
obligation imposed by law relating to the placing of warning devices 
when a motor vehicle is stopped on a public street or highway.

[59 FR 63925, Dec. 12, 1994]



Sec. 397.7  Parking.

    (a) A motor vehicle which contains Division 1.1, 1.2, or 1.3 
materials must not be parked under any of the following circumstances--
    (1) On or within 5 feet of the traveled portion of a public street 
or highway;
    (2) On private property (including premises of fueling or eating 
facility) without the knowledge and consent of the person who is in 
charge of the property and who is aware of the nature of the hazardous 
materials the vehicle contains; or
    (3) Within 300 feet of a bridge, tunnel, dwelling, or place where 
people work, congregate, or assemble, except for brief periods when the 
necessities of operation require the vehicle to be parked and make it 
impracticable to park the vehicle in any other place.
    (b) A motor vehicle which contains hazardous materials other than 
Division 1.1, 1.2, or 1.3 materials must not be parked on or within five 
feet of the traveled portion of public street or highway except for 
brief periods when the necessities of operation require the vehicle to 
be parked and make it impracticable to park the vehicle in any other 
place.

[59 FR 63925, Dec. 12, 1994]



Sec. 397.9  [Reserved]



Sec. 397.11  Fires.

    (a) A motor vehicle containing hazardous materials must not be 
operated near an open fire unless its driver has first taken precautions 
to ascertain that the vehicle can safely pass the fire without stopping.
    (b) A motor vehicle containing hazardous materials must not be 
parked within 300 feet of an open fire.



Sec. 397.13  Smoking.

    No person may smoke or carry a lighted cigarette, cigar, or pipe on 
or within 25 feet of--
    (a) A motor vehicle which contains Class 1 materials, Class 5 
materials, or flammable materials classified as Division 2.1, Class 3, 
Divisions 4.1 and 4.2; or
    (b) An empty tank motor vehicle which has been used to transport 
Class 3, flammable materials, or Division 2.1 flammable gases, which 
when so used, was required to be marked or placarded in accordance with 
the rules in Sec. 177.823 of this title.

[59 FR 63925, Dec. 12, 1994]



Sec. 397.15  Fueling.

    When a motor vehicle which contains hazardous materials is being 
fueled--
    (a) Its engine must not be operating; and
    (b) A person must be in control of the fueling process at the point 
where the fuel tank is filled.



Sec. 397.17  Tires.

    (a) If a motor vehicle which contains hazardous materials is 
equipped with dual tires on any axle, its driver must

[[Page 989]]

stop the vehicle in a safe location at least once during each 2 hours or 
100 miles of travel, whichever is less, and must examine its tires. The 
driver must also examine the vehicle's tires at the beginning of each 
trip and each time the vehicle is parked.
    (b) If, as the result of an examination pursuant to paragraph (a) of 
this section, or otherwise, a tire if found to be flat, leaking, or 
improperly inflated, the driver must cause the tire to be repaired, 
replaced, or properly inflated before the vehicle is driven. However, 
the vehicle may be driven to the nearest safe place to perform the 
required repair, replacement, or inflation.
    (c) If, as the result of an examination pursuant to paragraph (a) of 
this section, or otherwise, a tire is found to be overheated, the driver 
shall immediately cause the overheated tire to be removed and placed at 
a safe distance from the vehicle. The driver shall not operate the 
vehicle until the cause of the overheating is corrected.
    (d) Compliance with the rules in this section does not relieve a 
driver from the duty to comply with the rules in Secs. 397.5 and 397.7.



Sec. 397.19  Instructions and documents.

    (a) A motor carrier that transports Division 1.1, 1.2, or 1.3 
(explosive) materials must furnish the driver of each motor vehicle in 
which the explosives are transported with the following documents:
    (1) A copy of the rules in this part;
    (2) [Reserved]
    (3) A document containing instructions on procedures to be followed 
in the event of accident or delay. The documents must include the names 
and telephone numbers of persons (including representatives of carriers 
or shippers) to be contracted, the nature of the explosives being 
transported, and the precautions to be taken in emergencies such as 
fires, accidents, or leakages.
    (b) A driver who receives documents in accordance with paragraph (a) 
of this section must sign a receipt for them. The motor carrier shall 
maintain the receipt for a period of one year from the date of 
signature.
    (c) A driver of a motor vehicle which contains Division 1.1, 1.2, or 
1.3 materials must be in possession of, be familiar with, and be in 
compliance with
    (1) The documents specified in paragraph (a) of this section;
    (2) The documents specified in Sec. 177.817 of this title; and
    (3) The written route plan specified in Sec. 397.67.

[59 FR 63925, Dec. 12, 1994, as amended at 63 FR 33280, June 18, 1998]

Subpart B  [Reserved]



        Subpart C--Routing of Non-Radioactive Hazardous Materials

    Source: 59 FR 51830, Oct. 12, 1994, unless otherwise noted.



Sec. 397.61  Purpose and scope.

    This subpart contains routing requirements and procedures that 
States and Indian tribes are required to follow if they establish, 
maintain, or enforce routing designations over which a non-radioactive 
hazardous material (NRHM) in a quantity which requires placarding may or 
may not be transported by a motor vehicle. It also provides regulations 
for motor carriers transporting placarded or marked NRHM and procedures 
for dispute resolutions regarding NRHM routing designations.



Sec. 397.63  Applicability.

    The provisions of this subpart apply to any State or Indian tribe 
that establishes, maintains, or enforces any routing designations over 
which NRHM may or may not be transported by motor vehicle. They also 
apply to any motor carrier that transports or causes to be transported 
placarded or marked NRHM in commerce.



Sec. 397.65  Definitions.

    For purposes of this subpart, the following definitions apply:
    Administrator. The Federal Highway Administrator, who is the chief 
executive of the Federal Highway Administration, an agency within the 
United States Department of Transportation, or his/her designate.
    Commerce. Any trade, traffic, or transportation in the United States 
which:

[[Page 990]]

    (1) Is between a place under the jurisdiction of a State or Indian 
tribe and any place outside of such jurisdiction; or
    (2) Is solely within a place under the jurisdiction of a State or 
Indian tribe but which affects trade, traffic, or transportation 
described in subparagraph (a).
    FHWA. The Federal Highway Administration, an agency within the 
Department of Transportation.
    Hazardous material. A substance or material, including a hazardous 
substance, which has been determined by the Secretary of Transportation 
to be capable of posing an unreasonable risk to health, safety, or 
property when transported in commerce, and which has been so designated.
    Indian tribe. Has the same meaning as contained in Sec. 4 of the 
Indian Self-Determination and Education Act, 25 U.S.C. 450b.
    Motor carrier. A for-hire motor carrier or a private motor carrier 
of property. The term includes a motor carrier's agents, officers and 
representatives as well as employees responsible for hiring, 
supervising, training, assigning, or dispatching of drivers.
    Motor vehicle. Any vehicle, machine, tractor, trailer, or 
semitrailer propelled or drawn by mechanical power and used upon the 
highways in the transportation of passengers or property, or any 
combination thereof.
    NRHM. A non-radioactive hazardous material transported by motor 
vehicle in types and quantities which require placarding, pursuant to 
Table 1 or 2 of 49 CFR 172.504.
    Political subdivision. A municipality, public agency or other 
instrumentality of one or more States, or a public corporation, board, 
or commission established under the laws of one or more States.
    Radioactive material. Any material having a specific activity 
greater than 0.002 microcuries per gram (uCi/g), as defined in 49 CFR 
173.403.
    Routing agency. The State highway agency or other State agency 
designated by the Governor of that State, or an agency designated by an 
Indian tribe, to supervise, coordinate, and approve the NRHM routing 
designations for that State or Indian tribe.
    Routing designations. Any regulation, limitation, restriction, 
curfew, time of travel restriction, lane restriction, routing ban, port-
of-entry designation, or route weight restriction, applicable to the 
highway transportation of NRHM over a specific highway route or portion 
of a route.
    Secretary. The Secretary of Transportation.
    State. A State of the United States, the District of Columbia, the 
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana 
Islands, the Virgin Islands, American Samoa or Guam.



Sec. 397.67  Motor carrier responsibility for routing.

    (a) A motor carrier transporting NRHM shall comply with NRHM routing 
designations of a State or Indian tribe pursuant to this subpart.
    (b) A motor carrier carrying hazardous materials required to be 
placarded or marked in accordance with 49 CFR 177.823 and not subject to 
a NRHM routing designations pursuant to this subpart, shall operate the 
vehicle over routes which do not go through or near heavily populated 
areas, places where crowds are assembled, tunnels, narrow streets, or 
alleys, except where the motor carrier determines that:
    (1) There is no practicable alternative;
    (2) A reasonable deviation is necessary to reach terminals, points 
of loading and unloading, facilities for food, fuel, repairs, rest, or a 
safe haven; or
    (3) A reasonable deviation is required by emergency conditions, such 
as a detour that has been established by a highway authority, or a 
situation exists where a law enforcement official requires the driver to 
take an alternative route.
    (c) Operating convenience is not a basis for determining whether it 
is practicable to operate a motor vehicle in accordance with paragraph 
(b) of this section.
    (d) Before a motor carrier requires or permits a motor vehicle 
containing explosives in Class 1, Divisions 1.1, 1.2, 1.3, as defined in 
49 CFR 173.50 and 173.53 respectively, to be operated, the carrier or 
its agent shall prepare a

[[Page 991]]

written route plan that complies with this section and shall furnish a 
copy to the driver. However, the driver may prepare the written plan as 
agent for the motor carrier when the trip begins at a location other 
than the carrier's terminal.



Sec. 397.69  Highway routing designations; preemption.

    (a) Any State or Indian tribe that establishes or modifies a highway 
routing designation over which NRHM may or may not be transported on or 
after November 14, 1994, and maintains or enforces such designation, 
shall comply with the highway routing standards set forth in Sec. 397.71 
of this subpart. For purposes of this subpart, any highway routing 
designation affecting the highway transportation of NRHM, made by a 
political subdivision of a State is considered as one made by that 
State, and all requirements of this subpart apply.
    (b) Except as provided in Secs. 397.75 and 397.219, a NRHM route 
designation made in violation of paragraph (a) of this section is 
preempted pursuant to section 105(b)(4) of the Hazardous Materials 
Transportation Act (49 U.S.C. app. 1804(b)(4)). This provision shall 
become effective after November 14, 1996.
    (c) A highway routing designation established by a State, political 
subdivision, or Indian tribe before November 14, 1994 is subject to 
preemption in accordance with the preemption standards in paragraphs 
(a)(1) and (a)(2) of Sec. 397.203 of this subpart.
    (d) A State, political subdivision, or Indian tribe may petition for 
a waiver of preemption in accordance with Sec. 397.213 of this part.



Sec. 397.71  Federal standards.

    (a) A State or Indian tribe shall comply with the Federal standards 
under paragraph (b) of this section when establishing, maintaining or 
enforcing specific NRHM routing designations over which NRHM may or may 
not be transported.
    (b) The Federal standards are as follows:
    (1) Enhancement of public safety. The State or Indian tribe shall 
make a finding, supported by the record to be developed in accordance 
with paragraphs (b)(2)(ii) and (b)(3)(iv) of this section, that any NRHM 
routing designation enhances public safety in the areas subject to its 
jurisdiction and in other areas which are directly affected by such 
highway routing designation. In making such a finding, the State or 
Indian tribe shall consider:
    (i) The factors listed in paragraph (b)(9) of this section; and
    (ii) The DOT ``Guidelines for Applying Criteria to Designate Routes 
for Transporting Hazardous Materials,'' DOT/RSPA/OHMT-89-02, July 1989 
1 or its most current version; or an equivalent routing 
analysis which adequately considers overall risk to the public.
---------------------------------------------------------------------------

    \1\ This document may be obtained from Safety Technology and 
Information Management Division, HHS-10, Federal Highway Administration, 
U.S. Department of Transportation, 400 7th Street, SW., Washington, D.C. 
20590-0001.
---------------------------------------------------------------------------

    (2) Public participation. Prior to the establishment of any NRHM 
routing designation, the State or Indian tribe shall undertake the 
following actions to ensure participation by the public in the routing 
process:
    (i) The State or Indian tribe shall provide the public with notice 
of any proposed NRHM routing designation and a 30-day period in which to 
comment. At any time during this period or following review of the 
comments received, the State or Indian tribe shall decide whether to 
hold a public hearing on the proposed NRHM route designation. The public 
shall be given 30 days prior notice of the public hearing which shall be 
conducted as described in paragraph (b)(2)(ii) of this section. Notice 
for both the comment period and the public hearing, if one is held, 
shall be given by publication in at least two newspapers of general 
circulation in the affected area or areas and shall contain a complete 
description of the proposed routing designation, together with the date, 
time, and location of any public hearings. Notice for both the comment 
period and any public hearing may also be published in the official 
register of the State.
    (ii) If it is determined that a public hearing is necessary, the 
State or Indian tribe shall hold at least one public hearing on the 
record during which the public will be afforded the opportunity

[[Page 992]]

to present their views and any information or data related to the 
proposed NRHM routing designation. The State shall make available to the 
public, upon payment of prescribed costs, copies of the transcript of 
the hearing, which shall include all exhibits and documents presented 
during the hearing or submitted for the record.
    (3) Consultation with others. Prior to the establishment of any NRHM 
routing designation, the State or Indian tribe shall provide notice to, 
and consult with, officials of affected political subdivisions, States 
and Indian tribes, and any other affected parties. Such actions shall 
include the following:
    (i) At least 60 days prior to establishing a routing designation, 
the State or Indian tribe shall provide notice, in writing, of the 
proposed routing designation to officials responsible for highway 
routing in all other affected States or Indian tribes. A copy of this 
notice may also be sent to all affected political subdivisions. This 
notice shall request approval, in writing, by those States or Indian 
tribes, of the proposed routing designations. If no response is received 
within 60 days from the day of receipt of the notification of the 
proposed routing designation, the routing designation shall be 
considered approved by the affected State or Indian tribe.
    (ii) The manner in which consultation under this paragraph is 
conducted is left to the discretion of the State or Indian tribe.
    (iii) The State or Indian tribe shall attempt to resolve any concern 
or disagreement expressed by any consulted official related to the 
proposed routing designation.
    (iv) The State or Indian tribe shall keep a record of the names and 
addresses of the officials notified pursuant to this section and of any 
consultation or meeting conducted with these officials or their 
representatives. Such record shall describe any concern or disagreement 
expressed by the officials and any action undertaken to resolve such 
disagreement or address any concern.
    (4) Through routing. In establishing any NRHM routing designation, 
the State or Indian tribe shall ensure through highway routing for the 
transportation of NRHM between adjacent areas. The term ``through 
highway routing'' as used in this paragraph means that the routing 
designation must ensure continuity of movement so as to not impede or 
unnecessarily delay the transportation of NRHM. The State or Indian 
tribe shall utilize the procedures established in paragraphs (b)(2) and 
(b)(3) of this section in meeting these requirements. In addition, the 
State or Indian tribe shall make a finding, supported by a risk analysis 
conducted in accordance with paragraph (b)(1) of this section, that the 
routing designation enhances public safety. If the risk analysis shows--
    (i) That the current routing presents at least 50 percent more risk 
to the public than the deviation under the proposed routing designation, 
then the proposed routing designation may go into effect.
    (ii) That the current routing presents a greater risk but less than 
50 percent more risk to the public than the deviation under the proposed 
routing restriction, then the proposed routing restriction made by a 
State or Indian tribe shall only go into effect if it does not force a 
deviation of more than 25 miles or result in an increase of more than 25 
percent of that part of a trip affected by the deviation, whichever is 
shorter, from the most direct route through a jurisdiction as compared 
to the intended deviation.
    (iii) That the current route has the same or less risk to the public 
than the deviation resulting from the proposed routing designation, then 
the routing designation shall not be allowed.
    (5) Agreement of other States; burden on commerce. Any NRHM routing 
designation which affects another State or Indian tribe shall be 
established, maintained, or enforced only if:
    (i) It does not unreasonably burden commerce, and
    (ii) It is agreed to by the affected State or Indian tribe within 60 
days of receipt of the notice sent pursuant to paragraph (b)(3)(i) of 
this section, or it is approved by the Administrator pursuant to 
Sec. 397.75.
    (6) Timeliness. The establishment of a NRHM routing designation by 
any State or Indian tribe shall be completed within 18 months of the 
notice

[[Page 993]]

given in either paragraph (b)(2) or (b)(3) of this section, whichever 
occurs first.
    (7) Reasonable routes to terminals and other facilities. In 
establishing or providing for reasonable access to and from designated 
routes, the State or Indian tribe shall use the shortest practicable 
route considering the factors listed in paragraph (b)(9) of this 
section. In establishing any NRHM routing designation, the State or 
Indian tribe shall provide reasonable access for motor vehicles 
transporting NRHM to reach:
    (i) Terminals,
    (ii) Points of loading, unloading, pickup and delivery, and
    (iii) Facilities for food, fuel, repairs, rest, and safe havens.
    (8) Responsibility for local compliance. The States shall be 
responsible for ensuring that all of their political subdivisions comply 
with the provisions of this subpart. The States shall be responsible for 
resolving all disputes between such political subdivisions within their 
jurisdictions. If a State or any political subdivision thereof, or an 
Indian tribe chooses to establish, maintain, or enforce any NRHM routing 
designation, the Governor, or Indian tribe, shall designate a routing 
agency for the State or Indian tribe, respectively. The routing agency 
shall ensure that all NRHM routing designations within its jurisdiction 
comply with the Federal standards in this section. The State or Indian 
tribe shall comply with the public information and reporting 
requirements contained in Sec. 397.73.
    (9) Factors to consider. In establishing any NRHM routing 
designation, the State or Indian tribe shall consider the following 
factors:
    (i) Population density. The population potentially exposed to a NRHM 
release shall be estimated from the density of the residents, employees, 
motorists, and other persons in the area, using United States census 
tract maps or other reasonable means for determining the population 
within a potential impact zone along a designated highway route. The 
impact zone is the potential range of effects in the event of a release. 
Special populations such as schools, hospitals, prisons, and senior 
citizen homes shall, among other things, be considered when determining 
the potential risk to the populations along a highway routing. 
Consideration shall be given to the amount of time during which an area 
will experience a heavy population density.
    (ii) Type of highway. The characteristics of each alternative NRHM 
highway routing designation shall be compared. Vehicle weight and size 
limits, underpass and bridge clearances, roadway geometrics, number of 
lanes, degree of access control, and median and shoulder structures are 
examples of characteristics which a State or Indian tribe shall 
consider.
    (iii) Types and quantities of NRHM. An examination shall be made of 
the type and quantity of NRHM normally transported along highway routes 
which are included in a proposed NRHM routing designation, and 
consideration shall be given to the relative impact zone and risks of 
each type and quantity.
    (iv) Emergency response capabilities. In consultation with the 
proper fire, law enforcement, and highway safety agencies, consideration 
shall be given to the emergency response capabilities which may be 
needed as a result of a NRHM routing designation. The analysis of the 
emergency response capabilities shall be based upon the proximity of the 
emergency response facilities and their capabilities to contain and 
suppress NRHM releases within the impact zones.
    (v) Results of consultation with affected persons. Consideration 
shall be given to the comments and concerns of all affected persons and 
entities provided during public hearings and consultations conducted in 
accordance with this section.
    (vi) Exposure and other risk factors. States and Indian tribes shall 
define the exposure and risk factors associated with any NRHM routing 
designations. The distance to sensitive areas shall be considered. 
Sensitive areas include, but are not limited to, homes and commercial 
buildings; special populations in hospitals, schools, handicapped 
facilities, prisons and stadiums; water sources such as streams and 
lakes; and natural areas such as parks, wetlands, and wildlife reserves.
    (vii) Terrain considerations. Topography along and adjacent to the 
proposed NRHM routing designation that

[[Page 994]]

may affect the potential severity of an accident, the dispersion of the 
NRHM upon release and the control and clean up of NRHM if released shall 
be considered.
    (viii) Continuity of routes. Adjacent jurisdictions shall be 
consulted to ensure routing continuity for NRHM across common borders. 
Deviations from the most direct route shall be minimized.
    (ix) Alternative routes. Consideration shall be given to the 
alternative routes to, or resulting from, any NRHM route designation. 
Alternative routes shall be examined, reviewed, or evaluated to the 
extent necessary to demonstrate that the most probable alternative 
routing resulting from a routing designation is safer than the current 
routing.
    (x) Effects on commerce. Any NRHM routing designation made in 
accordance with this subpart shall not create an unreasonable burden 
upon interstate or intrastate commerce.
    (xi) Delays in transportation. No NRHM routing designations may 
create unnecessary delays in the transportation of NRHM.
    (xii) Climatic conditions. Weather conditions unique to a highway 
route such as snow, wind, ice, fog, or other climatic conditions that 
could affect the safety of a route, the dispersion of the NRHM upon 
release, or increase the difficulty of controlling it and cleaning it up 
shall be given appropriate consideration.
    (xiii) Congestion and accident history. Traffic conditions unique to 
a highway routing such as: traffic congestion; accident experience with 
motor vehicles, traffic considerations that could affect the potential 
for an accident, exposure of the public to any release, ability to 
perform emergency response operations, or the temporary closing of a 
highway for cleaning up any release shall be given appropriate 
consideration.



Sec. 397.73  Public information and reporting requirements.

    (a) Public information. Information on NRHM routing designations 
must be made available by the States and Indian tribes to the public in 
the form of maps, lists, road signs or some combination thereof. If road 
signs are used, those signs and their placements must comply with the 
provisions of the Manual on Uniform Traffic Control Devices,2 
published by the FHWA, particularly the Hazardous Cargo signs identified 
as R14-2 and R14-3 shown in Section 2B-43 of that Manual.
---------------------------------------------------------------------------

    \2\ This publication may be purchased from the Superintendent of 
Documents, U.S. Government Printing Office (GPO), Washington, D.C. 20402 
and has Stock No. 050-001-81001-8. It is available for inspection and 
copying as prescribed in 49 CFR part 7, appendix D. See 23 CFR part 655, 
subpart F.
---------------------------------------------------------------------------

    (b) Reporting and publishing requirements. Each State or Indian 
tribe, through its routing agency, shall provide information identifying 
all NRHM routing designations which exist within their jurisdictions on 
November 14, 1994 to the FHWA, HHS-30, 400 7th St., SW., Washington, 
D.C. 20590-0001 by March 13, 1995. The State or Indian tribe shall 
include descriptions of these routing designations, along with the dates 
they were established. This information may also be published in each 
State's official register of State regulations. Information on any 
subsequent changes or new NRHM routing designations shall be furnished 
within 60 days after establishment to the FHWA. This information will be 
available from the FHWA, consolidated by the FHWA, and published 
annually in whole or as updates in the Federal Register. Each State may 
also publish this information in its official register of State 
regulations.

(Approved by the Office of Management and Budget under control number 
2125-0554)



Sec. 397.75  Dispute resolution.

    (a) Petition. One or more States or Indian tribes may petition the 
Administrator to resolve a dispute relating to an agreement on a 
proposed NRHM routing designation. In resolving a dispute under these 
provisions, the Administrator will provide the greatest level of safety 
possible without unreasonably burdening commerce, and ensure compliance 
with the Federal standards established at Sec. 397.71 of this subpart.

[[Page 995]]

    (b) Filing. Each petition for dispute resolution filed under this 
section must:
    (1) Be submitted to the Administrator, Federal Highway 
Administration, U.S. Department of Transportation, 400 7th Street, SW., 
Washington, DC 20590-0001. Attention: HCC-10 Docket Room, Hazardous 
Materials Routing Dispute Resolution Docket.
    (2) Identify the State or Indian tribe filing the petition and any 
other State, political subdivision, or Indian tribe whose NRHM routing 
designation is the subject of the dispute.
    (3) Contain a certification that the petitioner has complied with 
the notification requirements of paragraph (c) of this section, and 
include a list of the names and addresses of each State, political 
subdivision, or Indian tribe official who was notified of the filing of 
the petition.
    (4) Clearly set forth the dispute for which resolution is sought, 
including a complete description of any disputed NRHM routing 
designation and an explanation of how the disputed routing designation 
affects the petitioner or how it impedes through highway routing. If the 
routing designation being disputed results in alternative routing, then 
a comparative risk analysis for the designated route and the resulting 
alternative routing shall be provided.
    (5) Describe any actions taken by the State or Indian tribe to 
resolve the dispute.
    (6) Explain the reasons why the petitioner believes that the 
Administrator should intervene in resolving the dispute.
    (7) Describe any proposed actions that the Administrator should take 
to resolve the dispute and how these actions would provide the greatest 
level of highway safety without unreasonably burdening commerce and 
would ensure compliance with the Federal standards established in this 
subpart.
    (c) Notice. (1) Any State or Indian tribe that files a petition for 
dispute resolution under this subpart shall mail a copy of the petition 
to any affected State, political subdivision, or Indian tribe, 
accompanied by a statement that the State, political subdivision, or 
Indian tribe may submit comments regarding the petition to the 
Administrator within 45 days.
    (2) By serving notice on any other State, political subdivision, or 
Indian tribe determined by the Administrator to be possibly affected by 
the issues in dispute or the resolution sought, or by publication in the 
Federal Register, the Administrator may afford those persons an 
opportunity to file written comments on the petition.
    (3) Any affected State, political subdivision, or Indian tribe 
submitting written comments to the Administrator with respect to a 
petition filed under this section shall send a copy of the comments to 
the petitioner and certify to the Administrator as to having complied 
with this requirement. The Administrator may notify other persons 
participating in the proceeding of the comments and provide an 
opportunity for those other persons to respond.
    (d) Court actions. After a petition for dispute resolution is filed 
in accordance with this section, no court action may be brought with 
respect to the subject matter of such dispute until a final decision has 
been issued by the Administrator or until the last day of the one-year 
period beginning on the day the Administrator receives the petition, 
whichever occurs first.
    (e) Hearings; alternative dispute resolution. Upon receipt of a 
petition filed pursuant to paragraph (a) of this section, the 
Administrator may schedule a hearing to attempt to resolve the dispute 
and, if a hearing is scheduled, will notify all parties to the dispute 
of the date, time, and place of the hearing. During the hearing the 
parties may offer any information pertinent to the resolution of the 
dispute. If an agreement is reached, it may be stipulated by the 
parties, in writing, and, if the Administrator agrees, made part of the 
decision in paragraph (f) of this section. If no agreement is reached, 
the Administrator may take the matter under consideration and announce 
his or her decision in accordance with paragraph (f) of this section. 
Nothing in this section shall be construed as prohibiting the parties 
from settling the dispute or seeking other methods of alternative 
dispute resolution prior

[[Page 996]]

to the final decision by the Administrator.
    (f) Decision. The Administrator will issue a decision based on the 
petition, the written comments submitted by the parties, the record of 
the hearing, and any other information in the record. The decision will 
include a written statement setting forth the relevant facts and the 
legal basis for the decision.
    (g) Record. The Administrator will serve a copy of the decision upon 
the petitioner and any other party who participated in the proceedings. 
A copy of each decision will be placed on file in the public docket. The 
Administrator may publish the decision or notice of the decision in the 
Federal Register.



Sec. 397.77  Judicial review of dispute decision.

    Any State or Indian tribe adversely affected by the Administrator's 
decision under Sec. 397.75 of this subpart may seek review by the 
appropriate district court of the United States under such proceeding 
only by filing a petition with such court within 90 days after such 
decision becomes final.



          Subpart D--Routing of Class 7 (Radioactive) Materials



Sec. 397.101  Requirements for motor carriers and drivers.

    (a) Except as provided in paragraph (b) of this section or in 
circumstances when there is only one practicable highway route 
available, considering operating necessity and safety, a carrier or any 
person operating a motor vehicle that contains a Class 7 (radioactive) 
material, as defined in 49 CFR 172.403, for which placarding is required 
under 49 CFR part 172 shall:
    (1) Ensure that the motor vehicle is operated on routes that 
minimize radiological risk;
    (2) Consider available information on accident rates, transit time, 
population density and activities, and the time of day and the day of 
week during which transportation will occur to determine the level of 
radiological risk; and
    (3) Tell the driver which route to take and that the motor vehicle 
contains Class 7 (radioactive) materials.
    (b) Except as otherwise permitted in this paragraph and in paragraph 
(f) of this section, a carrier or any person operating a motor vehicle 
containing a highway route controlled quantity of Class 7 (radioactive) 
materials, as defined in 49 CFR 173.403(l), shall operate the motor 
vehicle only over preferred routes.
    (1) For purposes of this subpart, a preferred route is an Interstate 
System highway for which an alternative route is not designated by a 
State routing agency; a State-designated route selected by a State 
routing agency pursuant to Sec. 397.103; or both of the above.
    (2) The motor carrier or the person operating a motor vehicle 
containing a highway route controlled quantity of Class 7 (radioactive) 
materials, as defined in 49 CFR 173.403(l) and (y), shall select routes 
to reduce time in transit over the preferred route segment of the trip. 
An Interstate System bypass or Interstate System beltway around a city, 
when available, shall be used in place of a preferred route through a 
city, unless a State routing agency has designated an alternative route.
    (c) A motor vehicle may be operated over a route, other than a 
preferred route, only under the following conditions:
    (1) The deviation from the preferred route is necessary to pick up 
or deliver a highway route controlled quantity of Class 7 (radioactive) 
materials, to make necessary rest, fuel or motor vehicle repair stops, 
or because emergency conditions make continued use of the preferred 
route unsafe or impossible;
    (2) For pickup and delivery not over preferred routes, the route 
selected must be the shortest-distance route from the pickup location to 
the nearest preferred route entry location, and the shortest-distance 
route to the delivery location from the nearest preferred route exit 
location. Deviation from the shortest-distance pickup or delivery route 
is authorized if such deviation:
    (i) Is based upon the criteria in paragraph (a) of this section to 
minimize the radiological risk; and
    (ii) Does not exceed the shortest-distance pickup or delivery route 
by more than 25 miles and does not exceed 5

[[Page 997]]

times the length of the shortest-distance pickup or delivery route.
    (iii) Deviations from preferred routes, or pickup or delivery routes 
other than preferred routes, which are necessary for rest, fuel, or 
motor vehicle repair stops or because of emergency conditions, shall be 
made in accordance with the criteria in paragraph (a) of this section to 
minimize radiological risk, unless due to emergency conditions, time 
does not permit use of those criteria.
    (d) A carrier (or a designated agent) who operates a motor vehicle 
which contains a package of highway route controlled quantity of Class 7 
(radioactive) materials, as defined in 49 CFR 173.403(l), shall prepared 
a written route plan and supply a copy before departure to the motor 
vehicle driver and a copy to the shipper (before departure for exclusive 
use shipments, as defined in 49 CFR 173.403(i), or within fifteen 
working days following departure for all other shipments). Any variation 
between the route plan and routes actually used, and the reason for it, 
shall be reported in an amendment to the route plan delivered to the 
shipper as soon as practicable but within 30 days following the 
deviation. The route plan shall contain:
    (1) A statement of the origin and destination points, a route 
selected in compliance with this section, all planned stops, and 
estimated departure and arrival times; and
    (2) Telephone numbers which will access emergency assistance in each 
State to be entered.
    (e) No person may transport a package of highway route controlled 
quantity of Class 7 (radioactive) materials on a public highway unless:
    (1) The driver has received within the two preceding years, written 
training on:
    (i) Requirements in 49 CFR parts 172, 173, and 177 pertaining to the 
Class 7 (radioactive) materials transported;
    (ii) The properties and hazards of the Class 7 (radioactive) 
materials being transported; and
    (iii) Procedures to be followed in case of an accident or other 
emergency.
    (2) The driver has in his or her immediate possession a certificate 
of training as evidence of training required by this section, and a copy 
is placed in his or her qualification file (see Sec. 391.51 of this 
subchapter), showing:
    (i) The driver's name and operator's license number;
    (ii) The dates training was provided;
    (iii) The name and address of the person providing the training;
    (iv) That the driver has been trained in the hazards and 
characteristics of highway route controlled quantity of Class 7 
(radioactive) materials; and
    (v) A statement by the person providing the training that 
information on the certificate is accurate.
    (3) The driver has in his or her immediate possession the route plan 
required by paragraph (d) of this section and operates the motor vehicle 
in accordance with the route plan.
    (f) A person may transport irradiated reactor fuel only in 
compliance with a plan if required under 49 CFR 173.22(c) that will 
ensure the physical security of the material. Variation for security 
purposes from the requirements of this section is permitted so far as 
necessary to meet the requirements imposed under such a plan, or 
otherwise imposed by the U.S. Nuclear Regulatory Commission in 10 CFR 
part 73.
    (g) Expect for packages shipped in compliance with the physical 
security requirements of the U.S. Nuclear Regulatory Commission in 10 
CFR part 73, each carrier who accepts for transportation a highway route 
controlled quantity of Class 7 (radioactive) material (see 49 CFR 
173.401(l)), shall, within 90 days following the acceptance of the 
package, file the following information concerning the transportation of 
each such package with the Associate Administrator for Safety and System 
Applications, Federal Highway Administration, Attn: Traffic Control 
Division, HHS-32, room 3419, 400 Seventh Street, SW., Washington, DC 
20590-0001:
    (1) The route plan required under paragraph (d) of this section, 
including all required amendments reflecting the routes actually used;
    (2) A statement identifying the names and addresses of the shipper, 
carrier and consignee; and

[[Page 998]]

    (3) A copy of the shipping paper or the description of the Class 7 
(radioactive) material in the shipment required by 49 CFR 172.202 and 
172.203.

[57 FR 44131, Sept. 24, 1992]



Sec. 397.103  Requirements for State routing designations.

    (a) The State routing agency, as defined in Sec. 397.201(c), shall 
select routes to minimize radiological risk using ``Guidelines for 
Selecting Preferred Highway Routes for Highway Route Controlled Quantity 
Shipments of Radioactive Materials,'' or an equivalent routing analysis 
which adequately considers overall risk to the public. Designations must 
be preceded by substantive consultation with affected local 
jurisdictions and with any other affected States to ensure consideration 
of all impacts and continuity of designated routes.
    (b) State routing agencies may designate preferred routes as an 
alternative to, or in addition to, one or more Interstate System 
highways, including interstate system bypasses, or Interstate System 
beltways.
    (c) A State-designated route is effective when--
    (1) The State gives written notice by certified mail, return receipt 
requested, to the Associate Administrator for Safety and System 
Applications, Federal Highway Administration, Attn: Traffic Control 
Division, HHS-32, Room 3419, Registry of State-designated routes, at the 
address above; and
    (2) Receipt thereof is acknowledged in writing by the Associate 
Administrator.
    (d) Upon request, the Office of Highway Safety, Traffic Control 
Division, HHS-32, room 3419, at the address above, will provide a list 
of State-designated preferred routes and a copy of the ``Guidelines for 
Selecting Preferred Highway Routes for Highway Route Controlled Quantity 
Shipments of Radioactive Materials.''

[57 FR 44131, Sept. 24, 1992]



                    Subpart E--Preemption Procedures

    Source: 57 FR 44132, Sept. 24, 1992, unless otherwise noted.



Sec. 397.201  Purpose and scope of the procedures.

    (a) This subpart prescribes procedures by which:
    (1) Any person, including a State, political subdivision thereof, or 
Indian tribe, directly affected by any highway routing designation for 
hazardous materials may apply to the Administrator for a determination 
as to whether that highway routing designation is preempted under 49 
U.S.C. 5125, or Sec. 397.69 or Sec. 397.203 of this part; and
    (2) A State, political subdivision thereof, or Indian tribe may 
apply to the Administrator for a waiver of preemption with respect to 
any highway routing designation that the State, political subdivision 
thereof, or Indian tribe acknowledges to be preempted by 49 U.S.C. 5125, 
or Sec. 397.69 or Sec. 397.203 of this part, or that has been determined 
by a court of competent jurisdiction to be so preempted.
    (b) Unless otherwise ordered by the Administrator, an application 
for a preemption determination which includes an application for a 
waiver of preemption will be treated and processed solely as an 
application for a preemption determination.
    (c) For purposes of this part:
    Act means 49 U.S.C. 5101 et seq., formerly known as the Hazardous 
Materials Transportation Act.
    Administrator means the Federal Highway Administrator, who is the 
chief executive of the Federal Highway Administration, an agency of the 
United States Department of Transportation, or his/her designate.
    Hazardous material means a substance or material, including a 
hazardous substance, which has been determined by the Secretary of 
Transportation to be capable of posing an unreasonable risk to health, 
safety, or property, when transported in commerce, and which has been so 
designated.

[[Page 999]]

    Indian tribe has the same meaning as contained in section 4 of the 
Indian Self-Determination and Education Act, 25 U.S.C. 450b.
    Person means an individual, firm, copartnership, corporation, 
company, association, joint-stock association, including any trustee, 
receiver, assignee, or similar representative thereof, or government, 
Indian tribe, or agency or instrumentality of any government or Indian 
tribe when it offers hazardous materials for transportation in commerce 
or transports hazardous materials in furtherance of a commercial 
enterprise, but such term does not include the United States Postal 
Service.
    Political subdivision includes a municipality; a public agency or 
other instrumentality of one or more States, or a public corporation, 
board, or commission established under the laws of one or more States.
    Routing agency means the State highway agency or other State agency 
designated by the Governor of a State, or an agency designated by an 
Indian tribe, to supervise, coordinate, and approve the highway routing 
designations for that State or Indian tribe. Any highway routing 
designation made by a political subdivision of a State shall be 
considered a designation made by that State.
    Routing designation includes any regulation, limitation, 
restriction, curfew, time of travel restriction, lane restriction, 
routing ban, port-of-entry designation, or route weight restriction 
applicable to the highway transportation of hazardous materials over a 
specific highway route or portion of a route.
    State means a State of the United States, the District of Columbia, 
the Commonwealth of Puerto Rico, the Commonwealth of the Northern 
Mariana Islands, the Virgin Islands, American Samoa, Guam, or any other 
territory or possession of the United States designated by the 
Secretary.

[57 FR 44132, Sept. 24, 1992, as amended at 59 FR 51834, Oct. 12, 1994]



Sec. 397.203  Standards for determining preemption.

    (a) Any highway routing designation established, maintained, or 
enforced by a State, political subdivision thereof, or Indian tribe is 
preempted if--
    (1) Compliance with both the highway routing designation and any 
requirement under the Act or of a regulation issued under the Act is not 
possible;
    (2) The highway routing designation as applied or enforced creates 
an obstacle to the accomplishment and execution of the Act or the 
regulations issued under the Act; or
    (3) The highway routing designation is preempted pursuant to 
Sec. 397.69(b) of this part.
    (b) [Reserved]

[57 FR 44132, Sept. 24, 1992, as amended at 59 FR 51834, Oct. 12, 1994]



Sec. 397.205  Preemption application.

    (a) Any person, including a State, political subdivision thereof, or 
Indian tribe directly affected by any highway routing designation of 
another State, political subdivision, or Indian tribe, may apply to the 
Administrator for a determination of whether that highway routing 
designation is preempted by the Act or Sec. 397.203 of this subpart. The 
Administrator shall publish notice of the application in the Federal 
Register.
    (b) Each application filed under this section for a determination 
must:
    (1) Be submitted to the Administrator, Federal Highway 
Administration, U.S. Department of Transportation, Washington, DC 20590-
0001. Attention: HCC-10 Docket Room, Hazardous Materials Preemption;
    (2) Set forth a detailed description of the highway routing 
designation of the State, political subdivision thereof, or Indian tribe 
for which the determination is sought;
    (3) If applicable, specify the provisions of the Act or the 
regulations issued under the Act under which the applicant seeks 
preemption of the highway routing designation of the State, political 
subdivision thereof, or Indian tribe;
    (4) Explain why the applicant believes the highway routing 
designation of the State, political subdivision thereof, or Indian tribe 
should or should not be preempted under the standards of Sec. 397.203; 
and

[[Page 1000]]

    (5) State how the applicant is affected by the highway routing 
designation of the State, political subdivision thereof, or Indian 
tribe.
    (c) The filing of an application for a determination under this 
section does not constitute grounds for noncompliance with any 
requirement of the Act or any regulation issued under the Act.
    (d) Once the Administrator has published notice in the Federal 
Register of an application received under paragraph (a) of this section, 
no applicant for such determination may seek relief with respect to the 
same or substantially the same issue in any court until final action has 
been taken on the application or until 180 days after filing of the 
application, whichever occurs first. Nothing in this section shall be 
construed as prohibiting any person, including a State, political 
subdivision thereof, or Indian tribe, directly affected by any highway 
routing designation from seeking a determination of preemption in any 
court of competent jurisdiction in lieu of applying to the Administrator 
under paragraph (a) of this section.



Sec. 397.207  Preemption notice.

    (a) If the applicant is other than a State, political subdivision 
thereof, or Indian tribe, the applicant shall mail a copy of the 
application to the State, political subdivision thereof, or Indian tribe 
concerned, accompanied by a statement that comments may be submitted 
regarding the application to the Administrator within 45 days. The 
application filed with the Administrator must include a certification 
that the applicant has complied with this paragraph and must include the 
names and addresses of each official to whom a copy of the application 
was sent.
    (b) The Administrator may afford interested persons an opportunity 
to file written comments on the application by serving notice on any 
persons readily identifiable by the Administrator as persons who will be 
affected by the ruling sought or by publication in the Federal Register.
    (c) Each person submitting written comments to the Administrator 
with respect to an application filed under this section shall send a 
copy of the comments to the applicant and certify to the Administrator 
that he or she has complied with this requirement. The Administrator may 
notify other persons participating in the proceeding of the comments and 
provide an opportunity for those other persons to respond.



Sec. 397.209  Preemption processing.

    (a) The Administrator may initiate an investigation of any statement 
in an application and utilize in his or her evaluation any relevant 
facts obtained by that investigation. The Administrator may solicit and 
accept submissions from third persons relevant to an application and 
will provide the applicant an opportunity to respond to all third person 
submissions. In evaluating an application, the Administrator may 
consider any other source of information. The Administrator may convene 
a hearing or conference, if a hearing or conference will advance the 
evaluation of the application.
    (b) The Administrator may dismiss the application without prejudice 
if:
    (1) he or she determines that there is insufficient information upon 
which to base a determination; or
    (2) he or she requests additional information from the applicant and 
it is not submitted.



Sec. 397.211  Preemption determination.

    (a) Upon consideration of the application and other relevant 
information received, the Administrator issues a determination.
    (b) Notwithstanding that an application for a determination has not 
been filed under Sec. 397.205, the Administrator, on his or her own 
initiative, may issue a determination as to whether a particular highway 
routing designation of a State, political subdivision thereof, or Indian 
tribe is preempted under the Act or the regulations issued under the 
Act.
    (c) The determination includes a written statement setting forth the 
relevant facts and the legal basis for the determination, and provides 
that any person aggrieved thereby may file a petition for 
reconsideration within 20 days in accordance with Sec. 397.223.
    (d) Unless the determination is issued pursuant to paragraph (b) of 
this section, the Administrator serves a copy

[[Page 1001]]

of the determination upon the applicant. In all preemption 
determinations, the Administrator serves a copy of the determination 
upon any other person who participated in the proceeding or who is 
readily identifiable by the Administrator as affected by the 
determination. A copy of each determination is placed on file in the 
public docket. The Administrator may publish the determination or notice 
of the determination in the Federal Register.
    (e) If no petition for reconsideration is filed within 20 days in 
accordance with Sec. 397.223, a determination issued under this section 
constitutes the final agency decision as to whether a particular highway 
routing designation of a State, political subdivision thereof, or Indian 
tribe is preempted under the Act or regulations issued thereunder. The 
fact that a determination has not been issued under this section with 
respect to a particular highway routing designation of a State, 
political subdivision thereof, or Indian tribe carries no implication as 
to whether the requirement is preempted under the Act or regulations 
issued thereunder.



Sec. 397.213  Waiver of preemption application.

    (a) Any State, political subdivision thereof, or Indian tribe may 
apply to the Administrator for a waiver of preemption with respect to 
any highway routing designation that the State, political subdivision 
thereof, or Indian tribe acknowledges to be preempted by the Act, 
Sec. 397.203 of this subpart, or a court of competent jurisdiction. The 
Administrator may waive preemption with respect to such requirement upon 
a determination that such requirement--
    (1) Affords an equal or greater level of protection to the public 
than is afforded by the requirements of the Act or regulations issued 
under the Act, and
    (2) Does not unreasonably burden commerce.
    (b) Each application filed under this section for a waiver of 
preemption determination must:
    (1) Be submitted to the Administrator, Federal Highway 
Administration, U.S. Department of Transportation, Washington, DC 20590-
0001. Attention: HCC-10 Docket Room, Hazardous Materials Preemption 
Docket;
    (2) Set forth a detailed description of the highway routing 
designation of the State, political subdivision thereof, or Indian tribe 
for which the determination is being sought;
    (3) Include a copy of any relevant court order or determination 
issued pursuant to Sec. 397.211;
    (4) Contain an express acknowledgment by the applicant that the 
highway routing designation of the State, political subdivision thereof, 
our Indian tribe is preempted under the Act or the regulations issued 
under the Act, unless it has been so determined by a court of competent 
jurisdiction or in a determination issued under this subpart;
    (5) Specify each provision of the Act or the regulations issued 
under the Act that preempts the highway routing designation of the 
State, political subdivision thereof, or Indian tribe;
    (6) State why the applicant believes that the highway routing 
designation of the State, political subdivision thereof, or Indian tribe 
affords an equal or greater level of protection to the public than is 
afforded by the requirements of the Act or the regulations issued under 
the Act;
    (7) State why the applicant believes that the highway routing 
designation of the State, political subdivision thereof, or Indian tribe 
does not unreasonably burden commerce; and
    (8) Specify what steps the State, political subdivision thereof, or 
Indian tribe is taking to administer and enforce effectively the 
preempted requirement.



Sec. 397.215  Waiver notice.

    (a) The applicant State, political subdivision thereof, or Indian 
tribe shall mail a copy of the application and any subsequent amendments 
or other documents relating to the application to each person whom the 
applicant reasonably ascertains will be affected by the determination 
sought. The copy of the application must be accompanied by a statement 
that the person may submit comments regarding the application to the 
Administrator within 45 days. The application filed with the

[[Page 1002]]

Administrator must include a certification with the application has 
complied with this paragraph and must include the names and addresses of 
each person to whom the application was sent.
    (b) Notwithstanding the provisions of paragraph (a) of this section, 
if the State, political subdivision thereof, or Indian tribe determines 
that compliance with paragraph (a) of this section would be 
impracticable, the applicant shall:
    (1) Comply with the requirements of paragraph (a) of this section 
with regard to those persons whom it is reasonable and practicable to 
notify; and
    (2) Include with the application filed with the Administrator a 
description of the persons or class or classes of persons to whom notice 
was not sent.
    (c) The Administrator may require the applicant to provide notice in 
addition to that required by paragraphs (a) and (b) of this section, or 
may determine that the notice required by paragraph (a) of this section 
is not impracticable, or that notice should be published in the Federal 
Register.
    (d) The Administrator may serve notice on any other persons readily 
identifiable by the Administrator as persons who will be affected by the 
determination sought and may afford those persons an opportunity to file 
written comments on the application.
    (e) Any person submitting written comments to the Administrator with 
respect to an application filed under this section shall send a copy of 
the comments to the applicant. The person shall certify to the 
Administrator that he or she has complied with the requirements of this 
paragraph. The Administrator may notify other persons participating in 
the proceeding of the comments and provide an opportunity for those 
other persons to respond.



Sec. 397.217  Waiver processing.

    (a) The Administrator may initiate an investigation of any statement 
in an application and utilize any relevant facts obtained by that 
investigation. The Administrator may solicit and accept submissions from 
third persons relevant to an application and will provide the applicant 
an opportunity to respond to all third person submissions. In evaluating 
an application, the Administrator may convene a hearing or conference, 
if a hearing or conference will advance the evaluation of the 
application.
    (b) The Administrator may dismiss the application without prejudice 
if:
    (1) he or she determines that there is insufficient information upon 
which to base a determination;
    (2) Upon his or her request, additional information is not submitted 
by the applicant; or
    (3) The applicant fails to provide the notice required by this 
subpart.
    (c) Except as provided in this subpart, the Administrator will only 
consider an application for a waiver of preemption determination if:
    (1) The applicant expressly acknowledges in its application that the 
highway routing designation of the State, political subdivision thereof, 
or Indian tribe for which the determination is sought is preempted by 
the Act or the regulations thereunder; or
    (2) The highway routing designation of the State, political 
subdivision thereof, or Indian tribe has been determined by a court of 
competent jurisdiction or in a determination issued pursuant to 
Sec. 397.211 to be preempted by the Act or the regulations issued 
thereunder.
    (d) When the Administrator has received all substantive information 
necessary to process an application for a waiver of preemption 
determination, notice of that fact will be served upon the applicant. 
Additional notice to all other persons who received notice of the 
proceeding may be served by publishing a notice in the Federal Register.



Sec. 397.219  Waiver determination and order.

    (a) Upon consideration of the application and other relevant 
information received or obtained during the proceeding, the 
Administrator issues an order setting forth his or her determination.
    (b) The Administrator may issue a waiver of preemption order only if 
he or she finds that the requirement of the State, political subdivision 
thereof, or Indian tribe affords the public a

[[Page 1003]]

level of safety at least equal to that afforded by the requirements of 
the Act and the regulations issued under the Act and does not 
unreasonably burden commerce. In determining whether the requirement of 
the State, political subdivision thereof, or Indian tribe unreasonably 
burdens commerce, the Administrator may consider the following factors:
    (1) The extent to which increased costs and impairment of efficiency 
result from the highway routing designation of the State, political 
subdivision thereof, or Indian tribe;
    (2) Whether the highway routing designation of the State, political 
subdivision thereof, or Indian tribe has a rational basis;
    (3) Whether the highway routing designation of the State, political 
subdivision thereof, or Indian tribe achieves its stated purpose; and
    (4) Whether there is need for uniformity with regard to the subject 
concerned and if so, whether the highway routing designation of the 
State, political subdivision thereof, or Indian tribe competes or 
conflicts with those of other States, political subdivisions thereof, or 
Indian tribes.
    (c) The order includes a written statement setting forth the 
relevant facts and the legal basis for the determination, and provides 
that any person aggrieved by the order may file a petition for 
reconsideration in accordance with Sec. 397.223.
    (d) The Administrator serves a copy of the order upon the applicant, 
any other person who participated in the proceeding and upon any other 
person readily identifiable by the Administrator as one who may be 
affected by the order. A copy of each order is placed on file in the 
public docket. The Administrator may publish the order or notice of the 
order in the Federal Register.
    (e) If no petition for reconsideration is filed within 20 days in 
accordance with Sec. 397.223, an order issued under this section 
constitutes the final agency decision regarding whether a particular 
requirement of a State, political subdivision thereof, or Indian tribe 
is preempted under the Act or any regulations issued thereunder, or 
whether preemption is waived.



Sec. 397.221  Timeliness.

    If the Administrator fails to take action on the application within 
90 days of serving the notice required by Sec. 397.217(d), the applicant 
may treat the application as having been denied in all respects.



Sec. 397.223  Petition for reconsideration.

    (a) Any person aggrieved by an order issued under Sec. 397.211 or 
Sec. 397.219 may file a petition for reconsideration with the 
Administrator. The petition must be filed within 20 days of service of 
the determination or order issued under the above sections.
    (b) The petition must contain a concise statement of the basis for 
seeking reconsideration, including any specific factual or legal errors, 
or material information not previously available.
    (c) The petitioner shall mail a copy of the petition to each person 
who participated, either as an applicant or routing, in the waiver of 
preemption proceeding, accompanied by a statement that the person may 
submit comments concerning the petition to the Administrator within 20 
days. The petition filed with the Administrator must contain a 
certification that the petitioner has complied with this paragraph and 
include the names and addresses of all persons to whom a copy of the 
petition was sent.
    (d) The Administrator's decision under this section constitutes the 
final agency decision. If no petition for reconsideration is filed under 
this section, then the determination issued under Sec. 397.211 or 
Sec. 397.219 becomes the final agency decision at the end of the 20 day 
period.



Sec. 397.225  Judicial review.

    A party to a proceeding under Sec. 397.205(a), Sec. 397.213(a), or 
Sec. 397.223(a) may seek review by the appropriate district court of the 
United States of the decision of the Administrator under such proceeding 
only by filing a petition with such court within 60 days after the final 
agency decision.

[[Page 1004]]



PART 398--TRANSPORTATION OF MIGRANT WORKERS--Table of Contents




Sec.
398.1  Definitions.
398.2  Applicability.
398.3  Qualifications of drivers or operators.
398.4  Driving of motor vehicles.
398.5  Parts and accessories necessary for safe operation.
398.6  Hours of service of drivers; maximum driving time.
398.7  Inspection and maintenance of motor vehicles.
398.8  Administration inspection of motor vehicles in operation.

    Authority: Secs. 203, 204, 49 Stat. 544, as amended, 546, as 
amended; 49 U.S.C. 303, 304.

    Source: 33 FR 19765, Dec. 25, 1968, unless otherwise noted.



Sec. 398.1  Definitions.

    (a) Migrant worker. ``Migrant worker'' means any individual 
proceeding to or returning from employment in agriculture as defined in 
section 3(f) of the Fair Labor Standards Act of 1938, as amended (29 
U.S.C. 203(f)) or section 3121(g) of the Internal Revenue Code of 1954 
(26 U.S.C. 3121(g)).
    (b) Carrier of migrant workers by motor vehicle. ``Carrier of 
migrant worker by motor vehicle'' means any person, including any 
``contract carrier by motor vehicle'', but not including any ``common 
carrier by motor vehicle'', who or which transports in interstate or 
foreign commerce at any one time three or more migrant workers to or 
from their employment by any motor vehicle other than a passenger 
automobile or station wagon, except a migrant worker transporting 
himself/herself or his/her immediate family.
    (c) Motor carrier. ``Motor carrier'' means any carrier of migrant 
workers by motor vehicle as defined in paragraph (b) of this section.
    (d) Motor vehicle. ``Motor vehicle'' means any vehicle, machine, 
tractor, trailer, or semitrailer propelled or drawn by mechanical power 
and used upon the highways in the transportation of passengers or 
property, or any combination thereof, determined by the Administration, 
but does not include a passenger automobile or station wagon, any 
vehicle, locomotive, or car operated exclusively on a rail or rails, or 
a trolley bus operated by electric power derived from a fixed overhead 
wire, furnishing local passenger transportation in street-railway 
service.
    (e) Bus. ``Bus'' means any motor vehicle designed, constructed, and 
used for the transportation of passengers: Except passenger automobiles 
or station wagons other than taxicabs.
    (f) Truck. ``Truck'' means any self-propelled motor vehicle except a 
truck tractor, designed and constructed primarily for the transportation 
of property.
    (g) Truck tractor. ``Truck tractor'' means a self-propelled motor 
vehicle designed and used primarily for drawing other vehicles and not 
so constructed as to carry a load other than a part of the weight of the 
vehicle and load so drawn.
    (h) Semitrailer. ``Semitrailer'' means any motor vehicle other than 
a ``pole trailer'', with or without motive power designed to be drawn by 
another motor vehicle and so constructed that some part of its weight 
rests upon the towing vehicle.
    (i) Driver or operator. ``Driver or operator'' means any person who 
drives any motor vehicle.
    (j) Highway. ``Highway'' means the entire width between the boundary 
lines of every way publicly maintained when any part thereof is open to 
the use of the public for purposes of vehicular traffic.



Sec. 398.2  Applicability.

    The regulations prescribed in this part shall be applicable to motor 
carriers of migrant workers, as defined in Sec. 398.1(b), only in the 
case of transportation of any migrant worker for a total distance of 
more than seventy-five miles, and then only if such transportation is 
across the boundary line of any State, the District of Columbia, or 
Territory of the United States, or a foreign country.

[33 FR 19765, Dec. 25, 1968, as amended at 40 FR 44557, Sept. 29, 1975]



Sec. 398.3  Qualifications of drivers or operators.

    (a) Compliance required. Every motor carrier, and its officers, 
agents, representatives and employees who drive motor vehicles or are 
responsible for

[[Page 1005]]

the hiring, supervision, training, assignment or dispatching of drivers 
shall comply and be conversant with the requirements of this part.
    (b) Minimum physical requirements. No person shall drive, nor shall 
any motor carrier require or permit any person to drive, any motor 
vehicle unless such person possesses the following minimum 
qualifications:
    (1) No loss of foot, leg, hand or arm,
    (2) No mental, nervous, organic, or functional disease, likely to 
interfere with safe driving.
    (3) No loss of fingers, impairment of use of foot, leg, fingers, 
hand or arm, or other structural defect or limitation, likely to 
interfere with safe driving.
    (4) Eyesight: Visual acuity of at least 20/40 (Snellen) in each eye 
either without glasses or by correction with glasses; form field of 
vision in the horizontal meridian shall not be less than a total of 140 
degrees; ability to distinguish colors red, green and yellow; drivers 
requiring correction by glasses shall wear properly prescribed glasses 
at all times when driving.
    (5) Hearing: Hearing shall not be less than 10/20 in the better ear, 
for conversational tones, without a hearing aid.
    (6) Liquor, narcotics and drugs: Shall not be addicted to the use of 
narcotics or habit forming drugs, or the excessive use of alcoholic 
beverages or liquors.
    (7) Initial and periodic physical examination of drivers: No person 
shall drive nor shall any motor carrier require or permit any person to 
drive any motor vehicle unless within the immediately preceding 36 month 
period such person shall have been physically examined and shall have 
been certified in accordance with the provisions of paragraph (b)(8) of 
this section by a licensed doctor of medicine or osteopathy as meeting 
the requirements of this subsection.
    (8) Certificate of physical examination: Every motor carrier shall 
have in its files at its principal place of business for every driver 
employed or used by it a legible certificate of a licensed doctor of 
medicine or osteopathy based on a physical examination as required by 
paragraph (b)(7) of this section or a legible photographically 
reproduced copy thereof, and every driver shall have in his/her 
possession while driving, such a certificate or a photographically 
reproduced copy thereof covering himself/herself.
    (9) Doctor's certificate: The doctor's certificate shall certify as 
follows:

                          Doctor's Certificate

                       (Driver of Migrant Workers)

    This is to certify that I have this day examined ______________ in 
accordance with Sec. 398.3(b) of the Federal Motor Carrier Safety 
Regulations of the Federal Highway Administration and that I find him/
her
    Qualified under said rules {time} 
    Qualified only when wearing glasses {time} 
    I have kept on file in my office a completed examination.

_______________________________________________________________________
                                                                  (Date)

                                                                 (Place)

                                         (Signature of examining doctor)
_______________________________________________________________________
                                                     (Address of doctor)
Signature of driver_____________________________________________________
Address of driver_______________________________________________________

    (c) Minimum age and experience requirements. No person shall drive, 
nor shall any motor carrier require or permit any person to drive, any 
motor vehicle unless such person possesses the following minimum 
qualifications:
    (1) Age. Minimum age shall be 21 years.
    (2) Driving skill. Experience in driving some type of motor vehicle 
(including private automobiles) for not less than one year, including 
experience throughout the four seasons.
    (3) Knowledge of regulations. Familiarity with the rules and 
regulations prescribed in this part pertaining to the driving of motor 
vehicles.
    (4) Knowledge of English. Every driver shall be able to read and 
speak the English language sufficiently to understand highway traffic 
signs and signals and directions given in English and to respond to 
official inquiries.
    (5) Driver's permit. Possession of a valid permit qualifying the 
driver to operate the type of vehicle driven by him/her in the 
jurisdiction by which the permit is issued.

[33 FR 19765, Dec. 25, 1968, as amended at 40 FR 44557, Sept. 29, 1975]

[[Page 1006]]



Sec. 398.4  Driving of motor vehicles.

    (a) Compliance required. Every motor carrier shall comply with the 
requirements of this part, shall instruct its officers, agents, 
representatives and drivers with respect thereto, and shall take such 
measures as are necessary to insure compliance therewith by such 
persons. All officers, agents, representatives, drivers, and employees 
of motor carriers directly concerned with the management, maintenance, 
operation, or driving of motor vehicles, shall comply with and be 
conversant with the requirements of this part.
    (b) Driving rules to be obeyed. Every motor vehicle shall be driven 
in accordance with the laws, ordinances, and regulations of the 
jurisdiction in which it is being operated, unless such laws, ordinances 
and regulations are at variance with specific regulations of this 
Administration which impose a greater affirmative obligation or 
restraint.
    (c) Driving while ill or fatigued. No driver shall drive or be 
required or permitted to drive a motor vehicle while his/her ability or 
alertness is so impaired through fatigue, illness, or any other cause as 
to make it unsafe for him/her to begin or continue to drive, except in 
case of grave emergency where the hazard to passengers would be 
increased by observance of this section and then only to the nearest 
point at which the safety of passengers is assured.
    (d) Alcoholic beverages. No driver shall drive or be required or 
permitted to drive a motor vehicle, be in active control of any such 
vehicle, or go on duty or remain on duty, when under the influence of 
any alcoholic beverage or liquor, regardless of its alcoholic content, 
nor shall any driver drink any such beverage or liquor while on duty.
    (e) Schedules to conform with speed limits. No motor carrier shall 
permit nor require the operation of any motor vehicle between points in 
such period of time as would necessitate the vehicle being operated at 
speeds greater than those prescribed by the jurisdictions in or through 
which the vehicle is being operated.
    (f) Equipment and emergency devices. No motor vehicle shall be 
driven unless the driver thereof shall have satisfied himself/herself 
that the following parts, accessories, and emergency devices are in good 
working order; nor shall any driver fail to use or make use of such 
parts, accessories, and devices when and as needed:

    Service brakes, including trailer brake connections.
    Parking (hand) brake.
    Steering mechanism.
    Lighting devices and reflectors.
    Tires.
    Horn.
    Windshield wiper or wipers.
    Rear-vision mirror or mirrors.
    Coupling devices.
    Fire extinguisher, at least one properly mounted.
    Road warning devices, at least one red burning fusee and at least 
three flares (oil burning pot torches), red electric lanterns, or red 
emergency reflectors.

    (g) Safe loading--(1) Distribution and securing of load. No motor 
vehicle shall be driven nor shall any motor carrier permit or require 
any motor vehicle to be driven if it is so loaded, or if the load 
thereon is so improperly distributed or so inadequately secured, as to 
prevent its safe operation.
    (2) Doors, tarpaulins, tailgates and other equipment. No motor 
vehicle shall be driven unless the tailgate, tailboard, tarpaulins, 
doors, all equipment and rigging used in the operation of said vehicle, 
and all means of fastening the load, are securely in place.
    (3) Interference with driver. No motor vehicle shall be driven when 
any object obscures his/her view ahead, or to the right or left sides, 
or to the rear, or interferes with the free movement of his/her arms or 
legs, or prevents his/her free and ready access to the accessories 
required for emergencies, or prevents the free and ready exit of any 
person from the cab or driver's compartment.
    (4) Property on motor vehicles. No vehicle transporting persons and 
property shall be driven unless such property is stowed in a manner 
which will assure:
    (i) Unrestricted freedom of motion to the driver for proper 
operation of the vehicle;
    (ii) Unobstructed passage to all exits by any person; and
    (iii) Adequate protection to passengers and others from injury as a 
result of the displacement or falling of such articles.

[[Page 1007]]

    (5) Maximum passengers on motor vehicles. No motor vehicle shall be 
driven if the total number of passengers exceeds the seating capacity 
which will be permitted on seats prescribed in Sec. 398.5(f) when that 
section is effective. All passengers carried on such vehicle shall 
remain seated while the motor vehicle is in motion.
    (h) Rest and meal stops. Every carrier shall provide for reasonable 
rest stops at least once between meal stops. Meal stops shall be made at 
intervals not to exceed six hours and shall be for a period of not less 
than 30 minutes duration.
    (i) Kinds of motor vehicles in which workers may be transported. 
Workers may be transported in or on only the following types of motor 
vehicles: A bus, a truck with no trailer attached, or a semitrailer 
attached to a truck-tractor provided that no other trailer is attached 
to the semitrailer. Closed vans without windows or means to assure 
ventilation shall not be used.
    (j) Limitation on distance of travel in trucks. Any truck when used 
for the transportation of migrant workers, if such workers are being 
transported in excess of 600 miles, shall be stopped for a period of not 
less than eight consecutive hours either before or upon completion of 
600 miles travel, and either before or upon completion of any subsequent 
600 miles travel to provide rest for drivers and passengers.
    (k) Lighting devices and reflectors. No motor vehicle shall be 
driven when any of the required lamps or reflectors are obscured by the 
tailboard, by any and all lighting devices required by subpart B of part 
393 of this subchapter shall be lighted during darkness or at any other 
time when there is not sufficient light to render vehicles and persons 
visible upon the highway at a distance of 500 feet.
    (l) Ignition of fuel; prevention. No driver or any employee of a 
motor carrier shall:
    (1) Fuel a motor vehicle with the engine running, except when it is 
necessary to run the engine to fuel the vehicle;
    (2) Smoke or expose any open flame in the vicinity of a vehicle 
being fueled;
    (3) Fuel a motor vehicle unless the nozzle of the fuel hose is 
continuously in contact with the intake pipe of the fuel tank;
    (4) Permit any other person to engage in such activities as would be 
likely to result in fire or explosion.
    (m) Reserve fuel. No supply of fuel for the propulsion of any motor 
vehicle or for the operation of any accessory thereof shall be carried 
on the motor vehicle except in a properly mounted fuel tank or tanks.
    (n) Driving by unauthorized person. Except in case of emergency, no 
driver shall permit a motor vehicle to which he/she is assigned to be 
driven by any person not authorized to drive such vehicle by the motor 
carrier in control thereof.
    (o) Protection of passengers from weather. No motor vehicle shall be 
driven while transporting passengers unless the passengers therein are 
protected from inclement weather conditions such as rain, snow, or 
sleet, by use of the top or protective devices required by 
Sec. 398.5(f).
    (p) Unattended vehicles; precautions. No motor vehicle shall be left 
unattended by the driver until the parking brake has been securely set, 
the wheels chocked, and all reasonable precautions have been taken to 
prevent the movement of such vehicle.
    (q) Railroad grade crossings; stopping required; sign on rear of 
vehicle. Every motor vehicle shall, upon approaching any railroad grade 
crossing, make a full stop not more than 50 feet, nor less than 15 feet 
from the nearest rail of such railroad grade crossing, and shall not 
proceed until due caution has been taken to ascertain that the course is 
clear; except that a full stop need not be made at:
    (1) A street car crossing within a business or residence district of 
a municipality;
    (2) A railroad grade crossing where a police officer or a traffic-
control signal (not a railroad flashing signal) directs traffic to 
proceed;
    (3) An abandoned or exempted grade crossing which is clearly marked 
as such by or with the consent of the proper state authority, when such 
marking can be read from the driver's position.

[[Page 1008]]


All such motor vehicles shall display a sign on the rear reading, ``This 
Vehicle Stops at Railroad Crossings.''

[33 FR 19765, Dec. 25, 1968, as amended at 40 FR 44557, Sept. 29, 1975]



Sec. 398.5  Parts and accessories necessary for safe operation.

    (a) Compliance. Every motor carrier and its officers, agents, 
drivers, representatives and employees directly concerned with the 
installation and maintenance of equipment and accessories shall comply 
and be conversant with the requirements and specifications of this part, 
and no motor carrier shall operate any motor vehicle, or cause or permit 
it to be operated, unless it is equipped in accordance with said 
requirements and specifications.
    (b) Lighting devices. Every motor vehicle shall be equipped with the 
lighting devices and reflectors required by subpart B of part 393 of 
this subchapter.
    (c) Brakes. Every motor vehicle shall be equipped with brakes as 
required by subpart C of part 393 of this subchapter, except Sec. 393.44 
of this subchapter, and shall satisfy the braking performance 
requirements contained therein.
    (d) Coupling devices; fifth wheel mounting and locking. The lower 
half of every fifth wheel mounted on any truck-tractor or dolly shall be 
securely affixed to the frame thereof by U-bolts of adequate size, 
securely tightened, or by other means providing at least equivalent 
security. Such U-bolts shall not be of welded construction. The 
installation shall be such as not to cause cracking, warping, or 
deformation of the frame. Adequate meansshall be provided positively to 
prevent the shifting of the lower half of a fifth wheel on the frame to 
which it is attached. The upper half of every fifth wheel shall be 
fastened to the motor vehicle with at least the security required for 
the securing of the lower half to a truck-tractor or dolly. Locking 
means shall be provided in every fifth wheel mechanism including 
adapters when used, so that the upper and lower halves may not be 
separated without the operation of a positive manual release. A release 
mechanism operated by the driver from the cab shall be deemed to meet 
this requirement. On fifth wheels designed and constructed as to be 
readily separable, the fifth wheel locking devices shall apply 
automatically on coupling for any motor vehicle the date of manufacture 
of which is subsequent to December 31, 1952.
    (e) Tires. Every motor vehicle shall be equipped with tires of 
adequate capacity to support its gross weight. No motor vehicle shall be 
operated on tires which have been worn so smooth as to expose any tread 
fabric or which have any other defect likely to cause failure. No 
vehicle shall be operated while transporting passengers while using any 
tire which does not have tread configurations on that part of the tire 
which is in contact with the road surface. No vehicle transporting 
passengers shall be operated with re-grooved, re-capped, or re-treaded 
tires on front wheels.
    (f) Passenger compartment. Every motor vehicle transporting 
passengers, other than a bus, shall have a passenger compartment meeting 
the following requirements:
    (1) Floors. A substantially smooth floor, without protruding 
obstructions more than two inches high, except as are necessary for 
securing seats or other devices to the floor, and without cracks or 
holes.
    (2) Sides. Side walls and ends above the floor at least 60 inches 
high, by attachment of sideboards to the permanent body construction if 
necessary. Stake body construction shall be construed to comply with 
this requirement only if all six-inch or larger spaces between stakes 
are suitably closed to prevent passengers from falling off the vehicle.
    (3) Nails, screws, splinters. The floor and the interior of the 
sides and ends of the passenger-carrying space shall be free of inwardly 
protruding nails, screws, splinters, or other projecting objects likely 
to be injurious to passengers or their apparel.
    (4) Seats. On and after November 1, 1957, a seat shall be provided 
for each worker transported. The seats shall be: Securely attached to 
the vehicle during the course of transportation; not less than 16 inches 
nor more than 19 inches above the floor; at least 13 inches deep; 
equipped with backrests extending to a height of at least 36

[[Page 1009]]

inches above the floor, with at least 24 inches of space between the 
backrests or between the edges of the opposite seats when face to face; 
designed to provide at least 18 inches of seat for each passenger; 
without cracks more than two inches wide, and the exposed surfaces, if 
made of wood, planed or sanded smooth and free of splinters.
    (5) Protection from weather. Whenever necessary to protect the 
passengers from inclement weather conditions, be equipped with a top at 
least 80 inches high above the floor and facilities for closing the 
sides and ends of the passenger-carrying compartment. Tarpaulins or 
other such removable devices for protection from the weather shall be 
secured in place.
    (6) Exit. Adequate means of ingress and egress to and from the 
passenger space shall be provided on the rear or at the right side. Such 
means of ingress and egress shall be at least 18 inches wide. The top 
and the clear opening shall be at least 60 inches high, or as high as 
the side wall of the passenger space if less than 60 inches. The bottom 
shall be at the floor of the passenger space.
    (7) Gates and doors. Gates or doors shall be provided to close the 
means of ingress and egress and each such gate or door shall be equipped 
with at least one latch or other fastening device of such construction 
as to keep the gate or door securely closed during the course of 
transportation; and readily operative without the use of tools.
    (8) Ladders or steps. Ladders or steps for the purpose of ingress or 
egress shall be used when necessary. The maximum verticle spacing of 
footholds shall not exceed 12 inches, except that the lowest step may be 
not more than 18 inches above the ground when the vehicle is empty.
    (9) Hand holds. Hand holds or devices for similar purpose shall be 
provided to permit ingress and egress without hazard to passengers.
    (10) Emergency exit. Vehicles with permanently affixed roofs shall 
be equipped with at least one emergency exit having a gate or door, 
latch and hand hold as prescribed in paragraphs (f) (7) and (9) of this 
section and located on a side or rear not equipped with the exit 
prescribed in paragraph (f)(6) of this section.
    (11) Communication with driver. Means shall be provided to enable 
the passengers to communicate with the driver. Such means may include 
telephone, speaker tubes, buzzers, pull cords, or other mechanical or 
electrical means.
    (g) Protection from cold. Every motor vehicle shall be provided with 
a safe means of protecting passengers from cold or undue exposure, but 
in no event shall heaters of the following types be used:
    (1) Exhaust heaters. Any type of exhaust heater in which the engine 
exhaust gases are conducted into or through any space occupied by 
persons or any heater which conducts engine compartment air into any 
such space.
    (2) Unenclosed flame heaters. Any type of heater employing a flame 
which is not fully enclosed.
    (3) Heaters permitting fuel leakage. Any type of heater from the 
burner of which there could be spillage or leakage of fuel upon the 
tilting or overturning of the vehicle in which it is mounted.
    (4) Heaters permitting air contamination. Any heater taking air, 
heated or to be heated, from the engine compartment or from direct 
contact with any portion of the exhaust system; or any heater taking air 
in ducts from the outside atmosphere to be conveyed through the engine 
compartment, unless said ducts are so constructed and installed as to 
prevent contamination of the air so conveyed by exhaust or engine 
compartment gases.
    (5) Any heater not securely fastened to the vehicle.



Sec. 398.6  Hours of service of drivers; maximum driving time.

    No person shall drive nor shall any motor carrier permit or require 
a driver employed or used by it to drive or operate for more than 10 
hours in the aggregate (excluding rest stops and stops for meals) in any 
period of 24 consecutive hours, unless such driver be afforded eight 
consecutive hours rest immediately following the 10 hours aggregate 
driving. The term ``24 consecutive hours'' as used in this part means 
any such period starting at the time the driver reports for duty.

[[Page 1010]]



Sec. 398.7  Inspection and maintenance of motor vehicles.

    Every motor carrier shall systematically inspect and maintain or 
cause to be systematically maintained, all motor vehicles and their 
accessories subject to its control, to insure that such motor vehicles 
and accessories are in safe and proper operating condition.



Sec. 398.8  Administration inspection of motor vehicles in operation.

    (a) Administration personnel authorized to perform inspections. All 
persons designated as Special Agents of the Federal Highway 
Administration, as detailed in appendix B of chapter III of this title, 
are authorized to enter upon and perform inspections of motor carrier's 
vehicles in operation.
    (b) Prescribed inspection report. Form MCS 63, Driver-Equipment 
Compliance Check, shall be used to record findings from motor vehicles 
selected for final inspection by authorized Administration employees.
    (c) Motor vehicles declared ``out of service''. (1) Authorized 
Administration employees shall declare and mark ``out of service'' any 
motor vehicle which by reason of its mechanical condition or loading is 
so imminently hazardous to operate as to be likely to cause an accident 
or a breakdown. Form MCS 64, ``Out of Service Vehicle'' sticker shall be 
used to mark vehicles ``out of service.''
    (2) No motor carrier shall require or permit any person to operate 
nor shall any person operate any motor vehicle declared and marked, 
``out of service'' until all repairs required by the ``out of service 
notice'' on Form MCS 63 have been satisfactorily completed. The term 
operate as used in this section shall include towing the vehicle; 
provided, however, that vehicles marked ``out of service'' may be towed 
away by means of a vehicle using a crane or hoist; and provided further, 
that the vehicle combination consisting of the emergency towing vehicle 
and the ``out of service'' vehicle meets the performance requirements of 
Sec. 393.52.
    (3) No person shall remove the ``Out of Service Vehicle'' sticker 
from any motor vehicle prior to completion of all repairs required by 
the ``out of service notice'' on Form MCS 63.
    (4) The person or persons completing the repairs required by the 
``out of service notice'' shall sign the ``Certification of Repairman'' 
in accordance with the terms prescribed on Form MCS 63, entering the 
name of his/her shop or garage and the date and time the required 
repairs were completed. If the driver completes the required repairs, 
he/she shall sign and complete the ``Certification of Repairman.''
    (d) Motor carrier's disposition of Form MCS 63. (1) Motor carriers 
shall carefully examine Forms MCS 63. Any and all violations or 
mechanical defects noted thereon shall be corrected. To the extent 
drivers are shown not to be in compliance with the Federal Motor Carrier 
Safety Regulations, appropriate corrective action shall be taken by the 
motor carrier.
    (2) Motor carriers shall complete the ``Motor Carrier Certification 
of Action Taken'' on Form MCS 63 in accordance with the terms prescribed 
thereon. Motor carriers shall return Forms MCS 63 to the address 
indicated upon Form MCS 63 within fifteen (15) days following the date 
of the vehicle inspection.

[33 FR 19765, Dec. 25, 1968, as amended at 40 FR 44557, Sept. 29, 1975]



PART 399--EMPLOYEE SAFETY AND HEALTH STANDARDS--Table of Contents




Subparts A-K  [Reserved]

 Subpart L--Step, Handhold, and Deck Requirements for Commercial Motor 
                                Vehicles

Sec.
399.201  Purpose and scope.
399.203  Applicability.
399.205  Definitions.
399.207  Truck and truck-tractor access requirements.
399.209  Test procedures.
399.211  Maintenance.

    Authority: 49 U.S.C. 304, 1655; 49 CFR 1.48 and 301.60.

    Source: 44 FR 43732, July 26, 1979, unless otherwise noted.

Subparts A-K  [Reserved]

[[Page 1011]]



 Subpart L--Step, Handhold, and Deck Requirements for Commercial Motor 
                                Vehicles



Sec. 399.201  Purpose and scope.

    This subpart prescribes step, handhold, and deck requirements on 
commercial motor vehicles. These requirements are intended to enhance 
the safety of motor carrier employees.



Sec. 399.203  Applicability.

    This subpart applies to all trucks and truck-tractors, having a high 
profile cab-over-engine (COE) configuration, for entrance, egress and 
back of cab access, manufactured on and after September 1, 1982.

[44 FR 43732, July 26, 1979, as amended at 46 FR 56799, Nov. 19, 1981]



Sec. 399.205  Definitions.

    Cab-over-engine (COE) A truck or truck-tractor having all, or the 
front portion, of the engine under the cab.
    COE--High profile A COE having the door sill step above the height 
of the front tires.
    Deck plate A horizontal surface designed to provide a person with 
stable footing for the performance of work such as the connection and 
disconnection of air and electrical lines, gaining access to 
permanently-mounted equipment or machinery or for similar needs.
    Door sill step Any step normally protected from the elements by the 
cab door when closed.
    Effective peripheral grip Any shaped surface, free of sharp edges, 
in which a full grasp can be made to secure a handhold by a person.
    Fingertip grasp A handhold surface which provides a person contact 
restricted to finger segments 1 and/or 2 only; or which limits wrap-
around closure of finger segment 1 with the palm of the hand to 90 
degrees as shown in Illustration I.
[GRAPHIC] [TIFF OMITTED] TC01AP91.036

    Full grasp A handhold surface which provides a person contact with 
finger segments 2 and 3 and which provides space for finger segment 1 to 
wrap around toward the palm of the hand beyond the 90-degree surface 
restriction shown in Illustration I. The handhold need not require 
contact between fingers and thumb. For example, the hand position shown 
in Illustration II qualifies as full grasp.
[GRAPHIC] [TIFF OMITTED] TC01AP91.037

    Ground The flat horizontal surface on which the tires of a motor 
vehicle rest.
    Handhold That which qualifies as providing full grasp if a person is 
able

[[Page 1012]]

to find a hand position on the handhold which allows more than fingertip 
grasp.
    Handprint The surface area contacted by the hand when grasping a 
handhold. The size of this area is the width of the hand across the 
metacarpal and half the circumference of the handhold. The hand breadth 
of the typical person is 88.9 millimeters (3.5 inches).
    Person Any individual within the 5th percentile female adult through 
the 95th percentile male adult of anthropometric measures as described 
by the 1962 Health Examination Survey, ``Weight, Height and Selected 
Body Dimensions of Adults, United States 1960-1962'' which is 
incorporated by reference. It is Public Health Service publication No. 
1000-Series 11-No. 8 and is for sale from the U.S. Department of 
Commerce, National Technical Information Service, 5285 Port Royal Road, 
Springfield, Virginia 22161. When ordering use NTIS Accession No. PB 
267174. It is also available for inspection at the Office of the Federal 
Register Library, 800 North Capitol Street, NW, suite 700, Washington, 
DC 20408. This incorporation by reference was approved by the Director 
of the Federal Register on July 17, 1979. These materials are 
incorporated as they exist on the date of the approval and a notice of 
any change in these materials will be published in the Federal Register.
    Slip resistant material Any material designed to minimize the 
accumulation of grease, ice, mud or other debris and afford protection 
from accidental slipping.



Sec. 399.207  Truck and truck-tractor access requirements.

    (a) General rule. Any person entering or exiting the cab or 
accessing the rear portion of a high profile COE truck or truck-tractor 
shall be afforded sufficient steps and handholds, and/or deck plates to 
allow the user to have at least 3 limbs in contact with the truck or 
truck-tractor at any time. This rule applies to intermediate positions 
as well as transition between intermediate positions. To allow for 
changes in climbing sequence, the step design shall include, as a 
minimum, one intermediate step of sufficient size to accommodate two 
feet. Exception. If air and electrical connections necessary to couple 
or uncouple a truck-tractor from a trailer are accessible from the 
ground, no step, handholds or deck plates are required to permit access 
to the rear of the cab.
    (b) Performance requirements. All high profile COE trucks or truck-
tractors shall be equipped on each side of the vehicle where a seat is 
located, with a sufficient number of steps and handholds to conform with 
the requirements of paragraph (a) of this section and shall meet the 
performance requirements:
    (1) Vertical height. All measurements of vertical height shall be 
made from ground level with the vehicle at unladen weight.
    (2) Distance between steps. The distance between steps, up to and 
including the door sill step, shall provide any person a stable resting 
position which can be sustained without body motion and by exerting no 
more arm force than 35 percent of the person's body weight per grasp 
during all stages of entry and exit. This criterion applies to 
intermediate positions as well as transition between intermediate 
positions above ground level.
    (i) When the ground provides the person foot support during entry or 
is the final step in the sequence during exit, and the step is 508 
millimeters (20 inches) or more above ground, the stable resting 
position shall be achievable by the person using both hands to grasp the 
handhold(s) and requiring no more arm force than 35 percent of body 
weight per grasp.
    (ii) The vertical height of the first step shall be no more than 609 
millimeters (24 inches) from ground level.
    (3) Construction. Each step or deck plate shall be of a slip 
resistant design which minimizes the accumulation of foreign material. 
Wherever practicable, a self-cleaning material should be used.
    (4) Foot accommodation. Step depth or clearance and step width 
necessary to accommodate a climbing person are defined by using a 
minimum 127 millimeter (5 inch) diameter disc as shown in Illustration 
III.
    (i) Single foot accommodation. The disc shall fit on a tread rung, 
or in a step recess, with no exterior overhang.

[[Page 1013]]

    (ii) Two-foot accommodation. Two discs shall fit on a tread rung, or 
in a step recess, with no exterior overhang.
[GRAPHIC] [TIFF OMITTED] TC01AP91.038


    Note: The 127 millimeter (5 inch) disc is only intended to test for 
a minimum depth and width requirement. The step need not retain the disc 
at rest.

    (5) Step strength. Each step must withstand a vertical static load 
of at least 204 kilograms (450 pounds) uniformly distributed over any 
127 millimeter (5 inch) increment of step width.
    (6) Handhold location. A handhold must be located within the reach 
of any person entering or exiting the vehicle.
    (7) Exterior mounting specifications for handholds. Each handhold, 
affixed to the exterior of the vehicle, shall have at least 38 
millimeters (1.5 inches) clearance between the handhold and the surface 
to which it is mounted for the distance between its mounting points.
    (8) Handhold size and shape. Each handhold shall be free of sharp 
edges (minimum 1 millimeter [0.04 inch] radius) and have an effective 
peripheral grip length that permits full grasp by any person.
    (9) Handhold strength. Each handhold shall withstand a horizontal 
static load of at least 114 kilograms (250 pounds) uniformly distributed 
over the area of a hand print and applied away from the mounting 
surface.
    (10) Deck plates. Deck plates shall be on the rear of a truck-
tractor as necessary to couple or uncouple air and/or electrical 
connections.
    (11) Deck plate strength. Each deck plate shall be capable of 
withstanding the vertical static load of at least 205 kilograms (450 
pounds) uniformly distributed over a 127 millimeter (5 inch) diameter 
disc.



Sec. 399.209  Test procedures.

    (a) The force exerted on a handhold will be measured using a 
handheld spring scale or force transducer which can be attached to the 
vehicle and is free to rotate into alignment with a person's hand 
position.
    (b) Hand grasp will be evaluated by observing the handgrip of any 
individual who conforms with the definition of ``person'' appearing in 
Sec. 399.205 of this subpart.



Sec. 399.211  Maintenance.

    All steps, handholds, and/or deck plates required by this subpart 
shall be adequately maintained to serve their intended function.

                 Appendix A to Subchapter B  [Reserved]

               Appendix B to Subchapter B--Special Agents

    Cautionary note: This appendix relates only to Federal authority to 
enforce the regulations in this subchapter. In its present

[[Page 1014]]

form, it has no application for the States and is not to be included in 
any adoption of these regulations by State authorities as a condition of 
eligibility for grants under part 350 of this chapter.
    1. Authority. Persons appointed as special agents of the Federal 
Highway Administration (``Administration''), are authorized to enter 
upon, to inspect, and to examine any and all lands, buildings, and 
equipment of motor carriers and other persons subject to the Interstate 
Commerce Act, the Department of Transportation Act, and other related 
Acts, and to inspect and copy any and all accounts, books, records, 
memoranda, correspondence, and other documents of such carriers and 
other persons.
    2. Compliance. Motor carriers and other persons subject to these 
Acts shall submit their accounts, books, records, memoranda, 
correspondence, and other documents for inspection and copying, and they 
shall submit their lands, buildings, and equipment for examination and 
inspection, to any special agent of the Administration upon demand and 
display of an Administration credential identifying him/her as a special 
agent.
    3. Definition of special agent. Federal Highway Administration 
(FHWA) employees charged with enforcing 42 U.S.C. 4917 and 49 U.S.C. 
104, 501 et seq., 521 et seq., 5101 et seq., 5901 et seq., 31101-31104, 
31108, 31131 et seq., 31161, 31301 et seq., and 31501 et seq., including 
employees within the Office of Motor Carriers and such other persons as 
the Federal Highway Administrator or the Associate Administrator for 
Motor Carriers may specify in writing, in possession of credentials 
issued by the FHWA, are special agents. They are hereby authorized to 
inspect and copy records and to inspect and examine lands, buildings, 
and equipment to the manner and extent provided by law.
    4. Facsimile of the Administration Credential:

                        United States of America

       Department of Transportation Federal Highway Administration

    This is to certify that ____________ whose photograph and signature 
appear hereon is duly accredited as ____________ with authority to enter 
upon, to inspect, and examine lands, buildings, and equipment, and to 
inspect and copy records and papers of carriers and other persons, in 
performance of his/her duties under the Department of Transportation 
Act, related acts, and regulations of the Department.
    By direction of the Secretary


    (Certifying Authority)        (Bearer)      

(Sec. 204, Interstate Commerce Act (49 U.S.C. 304); sec. 6, Department 
of Transportation Act (49 U.S.C. 1655); 49 U.S.C. 1801 et seq.; 18 
U.S.C. 831-835; and the delegations of authority at 49 CFR 1.48 and 
301.60; 49 U.S.C. 3102; 49 CFR 1.48(b))

[35 FR 1016, Jan. 24, 1970 as amended at 36 FR 16067, Aug. 19, 1971; 43 
FR 20011, May 10, 1978; 44 FR 46425, July 10, 1980; 49 FR 38290, Sept. 
28, 1984; 60 FR 38749, July 28, 1995; 61 FR 1843, Jan. 24, 1996]

               Appendixes C-E to Subchapter B  [Reserved]

              Appendix F to Subchapter B--Commercial Zones

    Note.-- The text of these definitions is identical to the text of 49 
CFR part 372, subpart B, revised as of October 1, 1975, which is no 
longer in print.

                            Commercial Zones

Sec.
1 New York, N.Y.
2 Chicago, Ill.
3 St. Louis, Mo.-East St. Louis, Ill.
4 Washington, D.C.
5 Los Angeles, Calif., and contiguous and adjacent municipalities.
6 Philadelphia, Pa.
7 Cincinnati, Ohio
8 Kansas City, Mo.-Kansas City, Kans.
9 Boston, Mass.
10 Davenport, Iowa; Rock Island and Moline, Ill.
11 Commercial zones of municipalities in New Jersey within 5 miles of 
          New York, N.Y.
12 Commercial zones of municipalities in Westchester and Nassau 
          Counties, N.Y.
13 Tucson, Ariz.
14 Albuquerque, N. Mex.
18 Ravenswood, W. Va.
19 Lake Charles, La.
20 Syracuse, N.Y.
21 Baltimore, Md.
22 Cleveland, Ohio.
23 Detroit, Mich.
24 Seattle, Wash.
25 Albany, N.Y.
26 Minneapolis-St. Paul, Minn.
27 New Orleans, La.
28 Pittsburgh, Pa.
29 Portland, Oreg.
30 Vancouver, Wash.
31 Charleston, S.C.
32 Charleston, W. Va.
33 Memphis, Tenn.
34 Houston, Tex.
35 Pueblo, Colo.
36 Warren, Ohio
37 Louisville, Ky.
38 Sioux City, Iowa.
39 Beaumont, Tex.
40 Metropolitan Government of Nashville and Davidson County, Tenn.
41 Consolidated City of Indianapolis, Ind.
42 Lexington-Fayette Urban County, Ky.

[[Page 1015]]

43 Definitions.
44 Commercial zones determined generally, with exceptions.
45 Controlling distances and population data.

                        Section 1  New York, N.Y.

    (a) The application of Sec. 372.241 Commercial Zones determined 
generally, with exceptions, is hereby extended to New York, N.Y.
    (b) The exemption provided by section 203(b)(8) of the Interstate 
Commerce Act, of transportation by motor vehicle, in interstate or 
foreign commerce, performed wholly within the zone the limits of which 
are defined in paragraph (a) of this section, is hereby removed as to 
all such transportation except:
    (1) Transportation which is performed wholly within the following 
territory: The area within the corporate limits of the cities of New 
York, Yonkers, Mount Vernon, North Pelham, Pelham, Pelham Manor, Great 
Neck Estates, Floral Park, and Valley Stream, N.Y., and Englewood, N.J.; 
the area within the borough limits of Alpine, Tenafly, Englewood Cliffs, 
Leonia, Fort Lee, Edgewater, Cliffside Park, Fairview, Palisades Park, 
and Ridgefield, Bergen County, N.J.; and that part of Hudson County, 
N.J., east of Newark Bay and the Hackensack River;
    (2) Transportation which is performed in respect of a shipment which 
has had a prior, or will have a subsequent movement by water carrier, 
and which is performed wholly between points named in subparagraph (1) 
of this paragraph, on the one hand, and, on the other, those points in 
Newark and Elizabeth, N.J., identified as follows: All points in that 
area within the corporate limits of the cities of Newark and Elizabeth, 
N.J., west of Newark Bay and bounded on the south by the main line of 
the Central Railroad of New Jersey, on the west by the Newark & 
Elizabeth Branch of the Central Railroad Company of New Jersey, and on 
the north by the property line of the Penn Central Transportation 
Company.
    (3) Transportation which is performed in respect of a shipment by 
rail carrier, and which is performed wholly between points named in 
subparagraph (1) of this paragraph, on the one hand, and, on the other,
    (a) Those portions of Kearny, N.J., within an area bounded on the 
north by the main line of the Jersey City Branch of the Penn Central 
Transportation Co., on the south and east by Fish House Road and 
Pennsylvania Avenue, and on the west by the property line of the Penn 
Central Transportation Co. Truck-Train Terminal.
    (b)(i) That portion of Newark, N.J., within an area bounded on the 
north by South Street and Delancey Street, on the east by Doremus 
Avenue, on the south by the freight right-of-way of the Penn Central 
Transportation Co. (Waverly Yard, Newark, N.J., to Greenville Piers, 
Jersey City, N.J., line), and on the west by the Penn Central 
Transportation Co.'s Hunter Street produce yard, and (ii) that portion 
of Newark, N.J., within an area bounded on the north by Poinier Street, 
on the east by Broad Steet, on the south by the passenger right-of-way 
of the Penn Central Transportation Co.'s main line and on the west by 
Frelinghuysen Avenue.
    (c) That portion of Port Reading, N.J., within an area bounded on 
the east by the Arthur Kill, on the south by the right-of-way of the 
Reading Co., on the west by Cliff Road, and on the north by Woodbridge-
Carteret Road, and
    (d) That portion of Elizabeth, N.J., within an area bounded by a 
line extending from Newark Bay westward along Trumbull Street to its 
intersection with Division Street; thence northward along Trumbull 
Street to its intersection with East North Avenue; thence eastward along 
East North Avenue to its intersection with the New Jersey Turnpike, 
thence along the New Jersey Turnpike to the Elizabeth Channel; thence 
easterly along the Elizabeth Channel to Newark Bay; thence along the 
western shore of Newark Bay to the point of beginning.

                          Sec. 2  Chicago, Ill.

    The zone adjacent to and commercially a part of Chicago, Ill., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised 
of all points as follows:
    The area within the corporate limits of Chicago, Evanston, Oak Park, 
Cicero, Berwyn, River Forest, Willow Springs, Bridgeview, Hickory Hills, 
Worth, Homewood, and Lansing, Ill.; the area within the township limits 
of Niles, Maine, Leyden, Norwood Park, Proviso, Lyons, Riverside, 
Stickeny, Worth, Calumet, Bremen, and Thornton Townships, Cook County, 
Ill.; the area comprised of that part of Lemont Township, Cook County, 
and that part of Downers Grove Township, Du Page County, Ill., bounded 
by a line beginning at the intersection of Archer Avenue and the 
southern corporate limits of WillowSprings, Ill., and extending in a 
southwesterly direction along Archer Avenue to its junction with Chicago 
Joliet Road (Sag Lemont Highway), thence in a westerly direction over 
Chicago Joliet Road to its junction with Walker Road, thence directly 
north along an imaginary line to the southern shoreline of the Chicago 
Sanitary and Ship Canal, thence in a northeasterly direction along said 
shoreline to the corporate limits of Willow Springs, including

[[Page 1016]]

points on the indicated portions of the highways specified; the area 
within Burr Ridge, Du Page County, bounded by a line beginning at the 
intersection of County Line Road and Frontage Road, thence southwesterly 
along Frontage Road to its intersection with Garfield Street, thence 
northerly along Garfield Street to its junction with 74th Street, thence 
westerly along an imaginary line to the junction of 74th Street and 
Grant Street, thence southerly along Grant Street to its junction with 
75th Street, thence westerly along 75th Street to its junction with 
Brush Hill Road, thence southerly along Brush Hill Road to its junction 
with Frontage Road, thence northeasterly along Frontage Road to its 
junction with County Line Road; and the area within the corporate limits 
of Hammond, Whiting, East Chicago, and Gary, Ind.

               Sec. 3  St. Louis, Mo.-East St. Louis, Ill.

    (a) The zone adjacent to and commercially a part of St. Louis, Mo.-
East St. Louis, Ill, within which transportation by motor vehicle in 
interstate or foreign commerce, not under a common control, management 
or arrangement for a continuous carriage to or from a point beyond the 
zone is partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised 
of all points as follows: (1) All points within the corporate limits of 
St. Louis, Mo.; (2) all points in St. Louis County, Mo., within a line 
drawn 0.5 mile south, west, and north of the following line:--Beginning 
at the Jefferson Barracks Bridge across the Mississippi River and 
extending westerly along Missouri Highway 77 to its junction with U.S. 
Highway 61 Bypass, thence along U.S. Highway 61 Bypass to its junction 
with U.S. Highway 66, thence westerly along U.S. Highway 66 to its 
junction with Bowles Avenue, thence northerly along Bowles Avenue, 
actual or projected, to the Meramec River, thence easterly along the 
south bank of the Meramec River to a point directly south of the western 
boundary of Kirkwood, thence across the Meramec River to and along the 
western boundary of Kirkwood to Marshall Road, thence westerly along 
Marshall Road to its junction with Treecourt Avenue, thence northerly 
along Treecourt Avenue to its junction with Big Bend Road, thence 
easterly along Big Bend Road to the western boundry of Kirkwood, thence 
northerly along the western boundary of Kirkwood to its junction with 
Dougherty Ferry Road, thence westerly along Dougherty Ferry Road to its 
junction with Interstate Highway 244, thence northerly along 
InterstateHighway 244 to its junction with Manchester Road, thence 
easterly along Manchester Road to its junction with the northwest corner 
of Kirkwood, thence along the western and northern boundaries of 
Kirkwood to the western boundary of Huntleigh, Mo., thence along the 
western and northern boundaries of Huntleigh to its junction with 
Lindbergh Boulevard, thence northerly along Lindbergh Boulevard to its 
junction with Lackland Avenue, thence in a westerly direction along 
Lackland Avenue to its junction with the right-of-way of the proposed 
Circumferential Expressway (Interstate Highway 244), thence in a 
northerly direction along said right-of-way to its junction with the 
right-of-way of the Chicago, Rock Island and Pacific Railroad, thence in 
an easterly direction along said right-of-way to its junction with 
Dorsett Road, thence in an easterly direction along Dorsett Road to its 
junction with Lindbergh Boulevard, thence in a northerly direction along 
Lindbergh Boulevard to its junction with St. Charles Rock Road, thence 
westerly along St. Charles Rock Road to its function with the Missouri 
River, thence northerly along the east shore of the Missouri River to 
its junction with the Norfolk and Western Railway Co. right-of-way, 
thence easterly along the southern boundary of the Norfolk and Western 
Railway Co. right-of-way to Lindbergh Boulevard, thence in an easterly 
direction along Lindbergh Boulevard to the western boundary of St. 
Ferdinand (Florissant), Mo., thence along the western, northern, and 
easternboundaries of St. Ferdinand to junction Insterstate Highway 270, 
and thence along Interstate Highway 270 to the corporate limits of St. 
Louis (near Chain of Rocks Bridge); and (3) all points within the 
corporate limits of East St. Louis, Belleville, Granite City, Madison, 
Venice, Brooklyn, National City, Fairmont City, Washington Park, and 
Sauget, Ill.; that part of the village of Cahokia, Ill., bounded by 
Illinois Highway 3 on the east, First Avenue and Red House (Cargill) 
Road on the south and southwest, the east line of the right-of-way of 
the Alton and Southern Railroad on the west, and the corporate limits of 
Sauget, Ill., on the northwest and north; that part of Centerville, 
Ill., bounded by a line beginning at the junction of 26th Street and the 
corporate limit of East St. Louis, Ill., and extending northeasterly 
along 26th Street to its junction with BondAvenue, thence southeasterly 
along Bond Avenue to its junction with Owen Street, thence southwesterly 
along Owen Street to its junction with Church Road, thence southeasterly 
along Church Road to its junction with Illinois Avenue, thence 
southwesterly along Illinois Avenue to the southwesterly side of the 
right-of-way of the Illinois Central Railroad Co., thence along the 
southwesterly side of the right-of-way of the Illinois Central Railroad 
Co. to the corporate limits of East St. Louis, Ill, thence along the 
corporate limits of East St. Louis, Ill., to the point of beginning;and 
that area bounded by a line commencing at the intersection of the right-
of-way of the

[[Page 1017]]

Alton and Southern Railroad and the Madison, Ill., corporate limits near 
19th Street, and extending east and south along said right-of-way to its 
intersection with the right-of-way of Illinois Terminal Railroad Co., 
thence southwesterly along the Illinois Terminal Railroad Co. right-of-
way to its intersection with Illinois Highway 203, thence northwesterly 
along said highway to its intersection with the Madison, Ill., corporate 
boundary near McCambridge Avenue, thence northerly along the Madison, 
Ill., corporate boundary to the point of beginning.
    (b) The exemption provided by section 203(b)(8) of the Interstate 
Commerce Act in respect of transportation by motor vehicle, in 
interstate or foreign commerce, between Belleville, Ill., on the one 
hand, and, on the other, any other point in the commercial zone, the 
limits of which are defined in paragraph (a) of this section, is hereby 
removed, and the said transportation is hereby subjected to all 
applicable provisions of the Interstate Commerce Act.

                         Sec. 4  Washington, DC.

    The zone adjacent to and commercially a part of Washington, DC, 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage to or from a point beyond the zone is partially 
exempt from regulation under section 203(b)(8) of the Interstate 
Commerce Act (49 U.S.A. 303(b)(8)) includes and it is comprised of all 
as follows:
    Beginning at the intersection of MacArthur Boulevard and Falls Road 
(Maryland Highway 189) and extending northeasterly along Falls Road to 
its junction with Scott Drive, thence west on Scott Drive to its 
junction with Viers Drive, thence west on Viers Drive to its junction 
with Glen Mill Road, thence northeast on Glen Mill Road to its junction 
with Maryland Highway 28, thence west on Maryland Highway 28 to its 
junction with Shady Grove Road, thence northeast on Shady Grove Road 
approximately 2.7 miles to Crabbs Branch, thence southeasterly along the 
course of Crabbs Branch to Rock Creek, thence southerly along the course 
of Rock Creek to Viers Mill Road (Maryland Highway 586), thence 
southeasterly along Viers Mill Road approximately 0.3 mile to its 
junction with Aspen Hill Road, thence northeasterly along Aspen Hill 
Road to its junction with Brookeville Road (Maryland Highway 97), thence 
southeasterly along Brookeville Road to its junction with Maryland 
Highway 183, thence northeasterly along Maryland Highway 183 to 
Colesville, Md., thence southeasterly along Beltsville Road to its 
junction with Powder Mill Road (Maryland Highway 212), thence easterly 
over Powder Mill Road to its junction with Montgomery Road, thence 
northeasterly along Montgomery Road, approximately 0.2 mile, to its 
junction with an unnumbered highway extendingnortheasterly to the north 
of Ammendale Normal Institute, thence along such unnumbered highway for 
a distance of about 2.2 miles to its junction somewhat north of Virginia 
Manor, Md., with an unnumbered highway extending easterly through 
Muirkirk, Md., thence along such unnumbered highway through Muirkirk to 
its junction, approximately 1.8 miles east of the Baltimore and Ohio 
Railroad, with an unnumbered highway, thence southwesterly along such 
unnumbered highway for a distance of about 0.5 mile to its junction with 
an unnumbered highway, thence southeasterly along such unnumbered 
highway through Springfield and Hillmeade, Md., to its junction with 
Defense Highway (U.S. Highway 50), thence southwesterly along Defense 
Highway approximately 0.8 mile to its junction with Enterprise Road 
(Maryland Highway 556), thence southerly over Enterprise Road to its 
junction with Central Avenue (Maryland Highway 214), thence westerly 
over Central Avenue about 0.5 mile to its crossing of Western Branch, 
thence southerly down the course of Western Branch to Maryland Highway 
202, thence westerly approximately 0.3 mile along Maryland Highway 202 
to its junction with White House Road, thence southwesterly along White 
House Road to its junction with Maryland Highway 221, thence 
southeasterly along Maryland Highway 221 to its junction with Maryland 
Highway 4, thence westerly along Maryland Highway 4 to the boundary of 
Andrews Air Force Base, thence south and west along said boundary to 
Brandywine Road (Maryland Highway 5),thence northwesterly along Maryland 
Highway 5 to its junction with Maryland Highway 337, thence 
southwesterly along Maryland Highway 337 to its junction with Maryland 
Highway 224, thence southerly along Maryland Highway 224 to a point 
opposite the mouth of Broad Creek, thence due west across the Potomac 
River to the west bank thereof, thence southerly along the west bank of 
the Potomac River to Gunston Cove, thence up the course of Gunston Cove 
to Pohick Creek, thence up the course of Pohick Creek to Virginia 
Highway 611, thence southwesterly along Virginia Highway 611 to the 
Fairfax-Prince William County line, thence along said county line to 
Virginia Highway 123, thence northerly along Virginia Highway 123 to its 
junction with Virginia Highway 636, thence northeasterly along Virginia 
Highway 636 to its junction with Virginia Highway 638, thence 
northwesterly along Virginia Highway 638 to its junction with Virginia 
Highway 620, thence westerly along Virginia Highway 620 to its junction 
with Virginia Highway 655, thence northeasterly along Virginia Highway 
655 to its junction with U.S. Highway

[[Page 1018]]

211, thence westerly along U.S. Highway 211 to its junction with 
Virginia Highway 608, thencenortherly along Virginia Highway 608 to its 
junction with U.S. Highway 50, thence westerly along U.S. Highway 50 to 
the Fairfax-Loudoun County line, thence northeasterly along said county 
line to its intersection with Dulles International Airport, thence along 
the southern, western, and northern boundaries of said airport to the 
Fairfax-Loudoun County line (at or near Dulles Airport Access Road), 
thence northeasterly along said county line to its junction with 
Virginia Highway 7, thence southeasterly along Virginia Highway 7 to its 
junction with Virginia Highway 193, thence along Virginia Highway 193 to 
its junction with Scott Run Creek, thence northerly down the course of 
Scott Run Creek to the Potomac River, thence due north across the river 
to MacArthur Boulevard to its junction with Maryland Highway 189, the 
point of beginning.

Sec. 5  Los Angeles, Calif., and contiguous and adjacent municipalities.

    (a) The exemption provided by section 203(b)(8) of Part II of the 
Interstate Commerce Act to the extent it affects transportation by motor 
vehicle, in interstate or foreign commerce, performed wholly within Los 
Angeles, Calif., or wholly within any municipalitiy contiguous or 
adjacent to Los Angeles, Calif., or wholly a part of Los Angeles, as 
defined in paragraph (b) of this section, or wholly within the zone 
adjacent to and commercially a part of the San Pedro, Wilmington, and 
Terminal Island Districts of Los Angeles and Long Beach, as defined in 
paragraph (c) of this section, or wholly within the zone of any 
independent municipality contiguous or adjacent to Los Angeles, as 
determined under Sec. 372.241, or otherwise, between any point in Los 
Angeles County, Calif., north of the line described below, on the one 
hand, and, on the other, any point in Los Angeles County, Calif., south 
thereof is hereby removed and the said transportation is hereby 
subjected to all the applicable provisions of the Interstate Commerce 
Act:
    Beginning at the Pacific Ocean, and extending easterly along the 
northern and eastern corporate limits of Manhattan Beach to the northern 
corporate limits of Redondo Beach, thence along the northern and eastern 
corporate limits of Redondo Beach to the intersection of Inglewood 
Avenue and Redondo Beach Boulevard, thence along Redondo Beach Boulevard 
to the corporate limits of Torrance, thence along the northwestern and 
eastern corporate limits of Torrance to 182d Street, thence along 182d 
Street, Walnut, and Main Streets to Alondra Boulevard, thence along 
Alondra Boulevard to its intersection with Dwight Avenue, thence 
southerly along Dwight Avenue and an imaginary straight line extending 
southward to Greenleaf Boulevard, thence eastward along Greenleaf 
Boulevard to the northwestern corner of the corporate limits of Long 
Beach, thence along the northern and eastern corporate limits of Long 
Beach to Artesia Boulevard, thence east on Artesia Boulevard to the Los 
Angeles-Orange County line.
    (b) For the purpose of administration and enforcement of Part II of 
the Interstate Commerce Act, the zone adjacent to and commercially a 
part of Los Angeles and contiguous municipalities (except the San Pedro, 
Wilmington, and Terminal Island districts of Los Angeles and Long Beach, 
Calif.), in which transportation by motor vehicle in interstate or 
foreign commerce, not under a common control, management, or arrangement 
for a continuous carriage or shipment to or from a point beyond the 
zone, will be partially exempt from regulation under section 203(b)(8) 
of the act, is hereby defined to includethe area of a line extending in 
a generally northwesterly and northerly direction from the intersection 
of Inglewood Avenue and Redondo Beach Boulevard along the eastern and 
northern corporate limits of Redondo Beach, Calif., to the eastern 
corporate limits of Manhattan Beach, Calif., thence along the eastern 
and northern corporate limits of Manhattan Beach to the Pacific Ocean, 
thence along the shoreline of the Pacific Ocean to the western corporate 
limits of Los Angeles at a point east of Topanga Canyon, and thence 
along the western corporate limits of Los Angeles to a point near Santa 
Susana Pass; south of a line extending in a generally easterly direction 
from a point near Santa Susana Pass along the northern corporate limits 
of Los Angeles to the eastern corporate limits of Burbank, Calif., 
thence along the eastern corporate limits of Burbank to the northern 
corporate limits of Glendale, Calif., and thence along the northern 
corporate limits of Glendale and Pasadena, Calif., to the northeastern 
corner of Pasadena; west of a line extending in a generally southerly 
and southwesterly direction from the northeastern corner of Pasadena 
along the eastern and a portion of the southern corporate limits of 
Pasadena to the eastern corporate limits of SanMarino, Calif., thence 
along the eastern corporate limits of San Marino and the eastern and a 
portion of the southern corporate limits of Alhambra, Calif., to the 
western corporate limits of Monterey Park, Calif., and the western 
corporate limits of Montebello, Calif., thence along the western 
corporate limits of Montebello, Calif., to the Rio Hondo, and the Los 
Angeles River to the northern corporate limits of Long Beach; and north 
of a line extending in a generally westerly direction from the Los 
Angeles River along the northern corporate limits of Long Beach and 
thence along Greenleaf Boulevard to its

[[Page 1019]]

intersection with an imaginary straight line extending southward from 
Dwight Avenue, thence north on the imaginary straight line extending 
southward from Dwight Avenue, and thence northerly along Dwight Avenue 
to Alondra Boulevard, thence west along Alondra Boulevard, Main, Walnut, 
and 182d Streets to the eastern corporate limits of Torrance, thence 
along a portion of the eastern and the northwestern corporate limits of 
Torrance to Redondo Beach Boulevard, and thence along Redondo Beach 
Boulevard to Inglewood Avenue.
    (c) For the purpose of administration and enforcement of Part II of 
the Interstate Commerce Act, the zone adjacent to and commercially a 
part of the San Pedro, Wilmington, and Terminal Island districts of Los 
Angeles and Long Beach in which transportation by motor vehicle in 
interstate or foreign commerce, not under a common control, management, 
or arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, will be partially exempt from regulation under section 
203(b)(8) of the act, is hereby defined to include the area east of a 
line extending in a generally northerly and northwesterly direction from 
the Pacific Ocean along the western corporate limits of Los Angeles to 
258th Street, thence along 258th Street to the eastern corporate limits 
of Torrance, and thence along a portion of the eastern, and along the 
southern and western, corporate limits of Torrance to the northwestern 
corner of Torrance, south of a line extending in a generallyeasterly 
direction from the northwestern corner of Torrance along the 
northwestern and a portion of the eastern corporate limits of Torrance 
to 182d Street, thence along 182d, Walnut, Main, and Alondra Boulevard 
to its intersection with Dwight Avenue, thence southerly along Dwight 
Avenue and an imaginary straight line extending southward from Dwight 
Avenue to Greenleaf Boulevard and thence along Greenleaf Boulevard and 
the northern corporate limits of Long Beach to the northeastern corner 
of Long Beach; west of the eastern corporate limits of Long Beach; and 
north of the southern corporate limits of Long Beach and Los Angeles.

                        Sec. 6  Philadelphia, Pa.

    The zone adjacent to and commercially a part of Philadelphia, Pa., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised 
of all points as follows:
    (a) The area within Pennsylvania included within the corporate 
limits of Philadelphia and Bensalem and Lower Southampton Townships in 
Bucks County; Conshohocken and West Conshohocken, Pa., and Lower 
Moreland, Abington, Cheltenham, Springfield, Whitemarsh, and Lower 
Merion Townships in Montgomery County; an area in Upper Dublin Township, 
Montgomery County, bounded by a line beginning at the intersection of 
Pennsylvania Avenue and Fort Washington Avenue and extending northeast 
along Fort Washington Avenue to its junction with Susquehanna Road, 
thence southeast along Susquehanna Road to its junctionwith the right-
of-way of the Pennsylvania Railroad Company, thence southwest along the 
right-of-way of the Pennsylvania Railroad Company to Pennsylvania 
Avenue, thence northwest along Pennsylvania Avenue to its junction with 
Fort Washington Avenue, the point of beginning; Haverford Township in 
Delaware County; and an area in Delaware County south and east of a line 
extending southward from the intersection of the western and northern 
boundaries of Upper Darby Township along Darby Creek to Bishop Avenue, 
thence south along Bishop Avenue to Baltimore Pike, thence west along 
Baltimore Pike to Pennsylvania Highway 320, thence south along 
Pennsylvania Highway 320 to the corporate limits of Chester, thence 
along the northern corporate limit of Chester in a westerly direction to 
the eastern boundary of Upper Chichester Township, thence south to the 
southern boundary of said township along the eastern boundary thereof, 
and thence west along the southern boundary of said township to the 
Delaware State line, and thence south along the Delaware State line to 
the Delaware River, and
    (b) The area in New Jersey included in the corporate limits of 
Camden, Gloucester City, Woodlynne, Merchantville, and Palmyra Boroughs, 
and the area included in Pennsauken Township in Camden County.

                        Sec. 7  Cincinnati, Ohio.

    The zone adjacent to and commercially a part of Cincinnati, Ohio, 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuing carriage to or from a point beyond the zone is partially 
exempt from regulation under section 203(b)(8) of the Interstate 
Commerce Act (49 U.S.C. 203(b)(8)), includes and is comprised of all 
points as follows:
Addyston, Ohio.
Cheviot, Ohio.
Cincinnati, Ohio.
Cleves, Ohio.
Elmwood Place, Ohio.
Fairfax, Ohio.
Mariemont, Ohio.
North Bend, Ohio.
Norwood, Ohio.
St. Bernard, Ohio.
Covington, Ky.
Newport, Ky.
Cold Spring, Ky.

[[Page 1020]]


    That part of Ohio bounded by a line commencing at the intersection 
of the Colerain-Springfield Township line and corporate limits of 
Cincinnati, Ohio, and extending along said township line in a northerly 
direction to its intersection with the Butler-Hamilton County line, 
thence in an easterly direction along said county line to its 
intersection with Ohio Highway 4, thence in a northerly direction along 
Ohio Highway 4 to its intersection with Seward Road, thence in a 
northerly direction along said road to its intersection with Port Union 
Road, thence east along Port Union Road to the Fairfield Township-Union 
Township line, thence northward along said township line to its 
intersection with the right-of-way of the Pennsylvania Railroad Co., 
thence southeasterly along the right-of-way of the Pennsylvania 
RailroadCo. to its intersection with Princeton-Glendale Road (Ohio 
Highway 747), thence southward along said road to its intersection with 
Mulhauser Road, thence in an easterly direction along said road to the 
terminus thereof west of the tracks of the Pennsylvania Railroad Co., 
thence continue in an easterly direction in a straight line to Allen 
Road, thence along the latter to the junction thereof with Cincinnati-
Dayton Road, thence in a southerly direction along Cincinnati-Dayton 
Road, to the Butler, Hamilton County line, thence along said county line 
to the Warren-Hamilton County line in an easterly direction to the 
Symmes-Sycamore Township line, thence in a southerly direction along the 
Symmes-Sycamore Township line to its intersection with the Columbia 
Township line, thence in a westerly direction along Sycamore-Columbia 
Township line to Madeira Township, thence in a clockwise direction 
around the boundary of Madeira Township to the Sycamore-Columbia 
Township line, thence in a westerly direction along said township line 
to Silverton Township, thence in a southerly direction along said 
corporate limits to junction with Redbank Road, thence in a southerly 
direction over Redbank Road to the Cincinnati Corporate limits.
    That part of Kenton County, Ky., lying on and north of a line 
commencing at the intersection of the Kenton-Boone County line and Dixie 
Highway (U.S. Highways 25 and 42), and extending over said highway to 
the corporate limits of Covington, Ky., including communities on the 
described line.
    That part of Campbell County, Ky., lying on and north of a line 
commencing at the southern corporate limits of Newport, Ky., and 
extending along Licking Pike (Kentucky Highway 9) to junction with Johns 
Hill Road, thence along Johns Hill Road to junction with Alexandria Pike 
(U.S. Highway 27), thence northward along Alexandria Pike to junction 
with River Road (Kentucky Highway 445), thence over the latter to the 
Ohio River, including communities on the described line.
    That part of Boone County, Ky., bounded by a line beginning at the 
Boone-Kenton County line west of Erlanger, Ky., and extending in a 
northwesterly direction along Donaldson Highway to its intersection with 
Zig-Zag Road, thence along Zig-Zag Road to its intersection with 
Kentucky Highway 18, thence along Kentucky Highway 18 to its 
intersection with Kentucky Highway 237, thence along Kentucky Highway 
237 to its intersection with Kentucky Highway 20, and thence easterly 
along Kentucky Highway 20 to the Boone-Kenton County line.
    That part of Boone and Kenton Counties, Ky., bounded by a line 
commencing at the intersection of the Boone-Kenton County line and U.S. 
Highway 42, and extending in a southwesterly direction along U.S. 
Highway 42 to its junction with Gunpowder Road, thence southerly along 
Gunpowder Road to its junction with Sunnybrook Road, thence easterly 
along Sunnybrook Road to its junction with Interstate Highway 75, thence 
in a straight line in a northeasterly direction to Richardson Road, 
thence in an easterly direction over Richardson Road to its junction 
with Kentucky State Route 1303, thence in a northerly direction over 
Kentucky State Route 1303 to the southern boundary of Edgewood, Kenton 
County, Ky.

               Sec. 8  Kansas City, Mo.-Kansas City, Kans.

    The zone adjacent to and commercially a part of Kansas City, Mo.-
Kansas City, Kans., within which transportation by motor vehicle, in 
interstate or foreign commerce, not under a common control, management, 
or arrangement for a continuing carriage to or from a point beyond the 
zone is partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised 
of all points as follows:
    Beginning on the north side of the Missouri River at the western 
boundary line of Parkville, Mo., thence along the western and northern 
boundaries of Parkville to the Kansas City, Mo., corporate limits, 
thence along the western, northern, and eastern corporate limits of 
Kansas City, Mo., to its junction with U.S. Bypass 71 (near Liberty, 
Mo.), thence along U.S. Bypass 71 to Liberty, thence along the northern 
and eastern boundaries of Liberty to its junction with U.S. Bypass 71 
south of Liberty, thence south along U.S. Bypass71 to its junction with 
the Independence, Mo., corporate limits, thence along the eastern 
Independence, Mo., corporate limits to its junction with Interstate 
Highway 70, thence along Interstate Highway 70 to its junction with the 
Blue Springs, Mo., corporate limits, thence along the western, northern, 
and eastern corporate limits of Blue Springs, Mo., to its junction with 
U.S. Highway 40, thence east along U.S.

[[Page 1021]]

Highway 40 to its junction with Brizen-Dine Road, thence south along the 
southerly extension of Brizen-Dine Road to its junction with Missouri 
Highway AA, thence along Missouri Highway AA to its junction with the 
Blue Springs, Mo., corporate limits, thence along the southern and 
western corporate limits of Blue Springs, Mo., to its junction with U.S. 
Highway 40, thence west along U.S. Highway 40 to its junction with the 
Lee's Summit, Mo., corporate limits.
    Thence along the eastern Lee's Summit corporate limits to the 
Jackson-Cass County line, thence west along Jackson-Cass County line to 
the eastern corporate limits of Belton, Mo., thence along the eastern, 
southern, and western corporate limits of Belton to the western boundary 
of Richards-Gebaur Air Force Base, thence along the western boundary of 
said Air Force Base to Missouri Highway 150, thence west along Missouri 
Highway 150 to the Kansas-Missouri State line, thence north along the 
Kansas-Missouri State line, to 110th Street, thence west along 110th 
Street to its junction with U.S. Highway69, thence north along U.S. 
Highway 69 to its junction with 103d Street, thence west along 103d 
Street to its junction with Quivera Road (the corporate boundary of 
Lenexa, Kans.), thence along the eastern and southern boundaries of 
Lenexa to Black Bob Road, thence south along Black Bob Road to 119th 
Street, thence east along 119th Street to the corporate limits of 
Olathe, Kans., thence south and east along the Olathe corporate limits 
to Schlagel Road, thence south along Schlagel Road to Olathe Morse Road, 
thence west along Olathe Morse Road to the northeast corner of Johnson 
County Airportr, thence south, west, and north along the boundaries of 
said airport to Pflumm Road, thence north along Pflumm Road to its 
junction with Olathe Martin City Road, thence west along Olathe Martin 
City Road to its junction with Murden Road, thence south along Murden 
Road to its junction with Olathe Morse Road (the corporate boundary of 
Olathe, Kans.), thence west and north along said corporate boundary to 
its intersection with U.S. Highway 56, thence southwest along U.S. 
Highway 56 to its junction with 159th Street.
    Thence west along 159th Street to its junction with the Johnson 
County Industrial Airport, thence south, west, north and east along the 
boundaries of said airport to the point of beginning, on 159th Street, 
thence, east along 159th Street to its junction with U.S. Highway 56, 
thence northeast along U.S. Highway 56 to its junction with Parker Road, 
thence north along Parker Road to the northern boundary of Olathe, 
thence east and north along the northern corporate limits of Olathe to 
Pickering Road, thence north along PickeringRoad to 107th Street (the 
corporate boundary of Lenexa, Kans.), thence along the western and 
northern boundaries of Lenexa to Pflumm Road, thence north along Pflumm 
Road to its junction with Kansas Highway 10, thence along Kansas Highway 
10 to its junction with Kansas Highway 7, thence along an imaginary line 
due west across the Kansas River to the Wyandotte County-Leavenworth 
County line (142d Street) at Loring, Kans., thence westerly along County 
Route No. 82, a distance of three-fourths of a mile to the entrance of 
the facilities at Mid-Continent Underground Storage, Loring, thence from 
Loring in a northerly direction along Loring Lane and Lindwood Avenue to 
the southern boundary of Bonner Springs, Kans.
    Thence along the southern, western, and northern boundaries of 
Bonner Springs to its intersection with Kansas Highway 7, thence 
southeast along Kansas Highway 7 to its junction with Kansas Highway 32, 
thence east on Kansas Highway 32 to the corporate boundary of Kansas 
City, Kans., thence north, west, and east along the corporate boundaries 
of Kansas City, Kans., to its junction with Cernech Road and Pomeroy 
Drive, thence northwesterly along Pomeroy Drive to its junction with 
79th Street, thence along 79th Street to its junction with Walcotte 
Drive at Pomeroy, Kans., thence due west 1.3 miles to its junction with 
an unnamed road, thence north along such unnamed road to the entrance of 
Powell Port facility, thence due north to the southern bank of the 
Missouri River, thence east along the southern bank of Missouri River to 
a point directly across from the western boundary of Parkville, Mo., 
thence across the Missouri River to the point of beginning.

                          Sec. 9  Boston, Mass.

    For the purpose of administration and enforcement of Part II of the 
Interstate Commerce Act, the zone adjacent to and commercially a part of 
Boston, Mass., and contiguous municipalities in which transportation by 
motor vehicle in interstate or foreign commerce, not under a common 
control, management, or arrangement for a continuous carriage or 
shipment to or from a point beyond the zone, will be partially exempt 
under section 203(b)(8) of the act from regulation, is hereby defined to 
include the following:
Boston, Mass.
Winthrop, Mass.
Chelsea, Mass.
Revere, Mass.
Everett, Mass.
Malden, Mass.
Medford, Mass.
Somerville, Mass.
Cambridge, Mass.
Watertown, Mass.
Brookline, Mass.
Newton, Mass.
Needham, Mass.
Dedham, Mass.
Milton, Mass.
Quincy, Mass.

[[Page 1022]]



         Sec. 10  Davenport, Iowa; Rock Island and Moline, Ill.

    For the purpose of administration and enforcement of Part II of the 
Interstate Commerce Act, the zones adjacent to and commercially a part 
of Davenport, Iowa, Rock Island and Moline, Ill., in which 
transportation by motor vehicle, in interstate or foreign commerce, not 
under a common control, management, or arrangement for a continuous 
carriage or shipment to or from a point beyond such municipalities or 
zones, will be partially exempt from regulation under section 203(b)(8) 
of the act (49 U.S.C. 303(b)(8) are hereby determined to be coextensive 
and to include and to be comprised of the following:
    (a) All points within the corporate limits of the city of Davenport 
and the city of Bettendorf, and in Davenport Township, Iowa.
    (b) All points north of Davenport Township within that portion of 
Sheridan Township, Iowa, bounded by a line as follows: Beginning at the 
points where U.S. Highway 61 crosses the Davenport-Sheridan Township 
line and extending northward along U.S. Highway 61 to the right-of-way 
of the Chicago, Milwaukee, St. Paul & Pacific Railroad Co., thence 
northwesterly along said right-of-way to its junction with the first 
east-west unnumbered highway, thence westerly approximately 0.25 mile to 
its junction with a north-south unnumbered highway, thence southerly 
along such unnumbered highway to the northeast corner of Mount Joy 
Airport, thence along the northern and western boundaries of said 
airport to the southwestern corner thereof, and thence south in a 
straight line to the northern boundary of Davenport Township.
    (c)(1) That part of Iowa lying west of the municipal limits of 
Davenport south of Iowa Highway 22, north of the Mississippi River and 
east of the present western boundary of the Dewey Portland Cement Co., 
at Linwood, including points on such boundaries, and (2) that part of 
Iowa east of the municipal limits of Bettendorf, south of U.S. Highway 
67, west of a private road running between U.S. Highway 67 and Riverside 
Power Plant of the Iowa-Illinois Gas & Electric Co., and north of the 
Mississippi River, including points on such boundaries.
    (d) The municipalities of Carbon Cliff, Silvis, East Moline, Moline, 
Rock Island, and Milan, Ill., and that part of Illinois lying south or 
east of such municipalities, within a line as follows: Beginning at a 
point where Illinois Highway 84 crosses the southern municipal limits of 
Carbon Cliff and extending southerly along such highway to its junction 
with Colona Road, thence westerly along Colona Road to Bowlesburg Road, 
thence southerly on Bowlesburg Road to the southern boundary of Hampton 
Township, thence along the southern boundaries of Hampton and South 
Moline Townships to U.S. Highway 150, thence southerly along U.S. 
Highway 150 to the southern boundary of the Moline Airport, thence along 
the southern and western boundaries of the Moline Airport to Illinois 
Highway 92, and thence along Illinois Highway 92 to the corporate limits 
of Milan.
    (e) All points in Illinois within one-half mile on each side of Rock 
Island County State Aid Route No. 9 extending southwesterly from the 
corporate limits of Milan for a distance of 1 mile, including points on 
such highway.

Sec. 11 Commercial zones of municipalities in New Jersey within 5 miles 
                            of New York, N.Y.

    (a) The application of Sec. 372.241 is hereby extended to each 
municipality in New Jersey, any part of which is within 5 miles of the 
corporate limits of New York, N.Y.
    (b) The exemption provided by section 203(b)(8) of the Interstate 
Commerce Act, of transportation by motor vehicle, in interstate or 
foreign commerce, performed wholly within any commercial zone, the 
limits of which are defined in paragraph (a) of this section, is hereby 
removed as to all such transportation except (1) transportation which is 
performed wholly between any two points in New Jersey, or (2) 
transportation which is performed wholly between points in New Jersey 
named in Sec. 372.201, on the one hand, and, on the other, points in New 
York named in Sec. 372.201.

 Sec. 12  Commercial zones of municipalities in Westchester and Nassau 
                             Counties, N.Y.

    (a) The application of Sec. 372.241 is hereby extended to each 
municipality in Westchester or Nassau Counties, N.Y.
    (b) The exemption provided by section 203(b)(8) of the Interstate 
Commerce Act, of transportation by motor vehicle, in interstate or 
foreign commerce, performed wholly within any commercial zone, the 
limits of which are defined in paragraph (a) of this section, is hereby 
removed as to all such transportation except (1) transportation which is 
performed wholly between points in New York neither of which is New York 
City, NY, or (2) transportation which is performed wholly between points 
in Westchester or Nassau County named in Sec. 372.201, on the one hand, 
and, on the other, New York City, N.Y., or points in New Jersey named in 
Sec. 372.201.

                         Sec. 13  Tucson, Ariz.

    That zone adjacent to and commercially a part of Tucson, Ariz., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone, is 
partially exempt,

[[Page 1023]]

under section 203(b)(8) of the Interstate Commerce Act (49 U.S.C. 
303(b)(8)) from regulation, includes, and is comprised of, all points as 
follows:
    (a) The municipality of Tucson, Ariz., itself.
    (b) All points within a line drawn 5 miles beyond the corporate 
limits of Tucson, Ariz.
    (c) All points in that area south of the line described in paragraph 
(b) of this section, bounded by a line as follows: Beginning at the 
point where the line described in paragraph (b) of this section, 
intersects Wilmot Road, thence south along Wilmot Road to junction 
Nogales Old Vail Connection, thence west along Nogales Old Vail 
Connection, actual or extended, to the Santa Cruz River, thence north 
along the east bank of the Santa Cruz River to its joinder with the line 
described in paragraph (b) of this section.
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section.
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the city of Tucson or by any 
municipality included under the terms of paragraph (d) of this section.

                      Sec. 14  Albuquerque, N. Mex.

    The zone adjacent to and commercially a part of Albuquerque, N. 
Mex., within which transportation by motor vehicle, in interstate or 
foreign commerce, not under a common control, management, or arrangement 
for a continuous carriage or shipment to or from a point beyond the 
zone, is partially exempt, under section 203(b)(8) of the Interstate 
Commerce Act (49 U.S.C. 303(b)(8)), from regulation, includes, and is 
comprised of, all points as follows:
    (a) The municipality of Albuqerque, N. Mex., itself.
    (b) All points within a line drawn 5 miles beyond the corporate 
limits of Albuquerque, N. Mex.
    (c) All points in that area north of the line described in paragraph 
(b) of this section, bounded by a line as follows: Beginning at the 
intersection of the line described in paragraph (b) of this section and 
New Mexico Highway 528, extending in a northeasterly direction along New 
Mexico Highway 528 to its intersection with New Mexico Highway 44, 
thence easterly along New Mexico Highway 44 to its intersection with New 
Mexico Highway 422, thence southerly along New Mexico Highway 422 to its 
intersection with the line described in paragraph (b) of this section.
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section;
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the city of Albuquerque, N. Mex., or by 
any municipality included under the terms of paragraph (b) of this 
section.

                       Sec. 18  Ravenswood, W. Va.

    That zone adjacent to and commercially a part of Ravenswood, W. Va., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone, is 
partially exempt, under section 203(b)(8) of the Interstate Commerce Act 
(49 U.S.C. 303(b)(8)), from regulation, includes, and is comprised of, 
all points as follows:
    (a) The municipality of Ravenswood, W. Va., itself.
    (b) All points within a line drawn 3 miles beyond the corporate 
limits of Ravenswood, W. Va., and
    (c) All points in West Virginia in that area south and southwest of 
those described in paragraph (b) of this section, bounded by a line as 
follows: Beginning at the point where the Ohio River meets the line 
described in paragraph (b) of this section southwest of Ravenswood, 
thence southerly along the east bank of the Ohio River to the point 
where the mouth of the Lick Run River empties into the Ohio River; 
thence in a northeasterly direction along the northern bank of the Lick 
Run River to the point where it crosses West Virginia Highway 2 south of 
Ripley Landing, W. Va.; thence in a northerly direction along West 
Virginia Highway 2 to its intersection with the line described in 
paragraph (b) of this section west of Pleasant View, W. Va.

                       Sec. 19  Lake Charles, La.

    That zone adjacent to and commercially a part of Lake Charles, La., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone, is 
partially exempt, under section 203(b)(8) of the Interstate Commerce Act 
(49 U.S.C. 303(b)(8)), from regulation, includes, and is comprised of, 
all points as follows:
    (a) The municipality of Lake Charles La., itself;
    (b) All points within a line drawn 4 miles beyond the corporate 
limits of Lake Charles, La.;
    (c) All points in that area south and west of the line described in 
paragraph (b) of this section, bounded by a line, as follows: beginning 
at the point where the line described in paragraph (b) of this section 
intersects Louisiana Highway 385; thence south along Louisiana Highway 
385 to its intersection with the Calcasieu-Cameron Parish line; thence 
west along the Calcasieu-Cameron Parish

[[Page 1024]]

line to its intersection with Louisiana Highway 27; thence northerly 
along Louisiana Highway 27 to a point thereon 2 miles south of U.S. 
Highway 90; thence east along a line parallel to U.S. Highway 90 to 
Louisiana Highway 108; thence north along Louisiana Highway 108 to 
junction U.S. Highway 90; thence east along U.S. Highway 90 to the 
intersection thereof with the line described in paragraph (b) of this 
section;
    (d) All of the municipality any part of which is within the limits 
of the combined areas in paragraphs (b) and (c) of this section; and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the City of Lake Charles or by any 
municipality included under the terms of paragraph (d) of this section.

                         Sec. 20  Syracuse, N.Y.

    The zone adjacent to and commercially a part of Syracuse, N.Y., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuing carriage to or from a point beyond the zone is partially 
exempt from regulation under section 203(b)(8) of the Interstate 
Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised of all 
points as follows:
    (a) The municipality of Syracuse, NY., itself;
    (b) All other municipalities and unincorporated areas within 5 miles 
of the corporate limits of Syracuse, N.Y., and all of any other 
municipality any part of which lies within 5 miles of such corporate 
limits;
    (c) Those points in the town of Geddes, Onondaga County, N.Y., which 
are not within 5 miles of the corporate limits of Syracuse, N.Y.;
    (d) Those points in the towns of Van Buren and Lysander, Onondaga 
County, N.Y., not within 5 miles of the corporate limits of Syracuse, 
N.Y., and within an area bounded by a line beginning at the intersection 
of Van Buren Road with the line described in (b) above, thence 
northwesterly along Van Buren Road to its intersection with the cleared 
right-of-way of Niagara Mohawk Power Company, thence northwesterly and 
north along said right-of-way to its intersection between Church Road 
and Emerick Road, with the cleared right-of-way of New York State Power 
Authority, thence easterly along said clearedright-of-way to its 
intersection with the Seneca River, thence south along the Seneca River 
to its intersection, near Gaskin Road, with the cleared right-of-way of 
Niagara Mohawk Power Company, thence southwesterly along said cleared 
right-of-way to its intersection with the eastern limits of the Village 
of Baldwinsville, thence south along such Village limits to their 
intersection with a line of railroad presently operated by the Erie-
Lackawanna Railroad Company, thence southeasterly along said line of 
railroad to its intersection with the Van-Buren Lysander Town line, 
thence southeasterly along the Van-Buren Lysander Town line to its 
intersection with the Van-Buren Geddes Town line, thence southeasterly 
along the Van-Buren Geddes Town line to the line described in (b) above.

                         Sec. 21  Baltimore, Md.

    The zone adjacent to and commercially a part of Baltimore, Md., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage to or from a point beyond the zone is partially 
exempt from regulation under section 203(b)(8) of the Interstate 
Commerce Act (49 U.S.C. 303(b)(8)) includes and it is comprised of all 
as follows:
    (a) The municipality of Baltimore itself;
    (b) All points within a line drawn 5 miles beyond the boundaries of 
Baltimore;
    (c) All points in that area east of the line described in paragraph 
(b) of this section bounded by a line as follows: Beginning at the point 
where the line described in paragraph (b) of this section crosses Dark 
Head Creek and extending in a southeasterly direction along the center 
of Dark Head Creek and beyond to a point off Wilson Point, thence in a 
northeasterly direction to and along the center of Frog Mortar Creek to 
Stevens Road, thence northerly along Stevens Road to Eastern Avenue, 
thence easterly along Eastern Avenue to Bengies Road, thence 
northwesterly along Bengies Road, to the right-of-way of the Penn 
Central Transportation Co., thence westerly along such right-of-way to 
the junction thereof with the line described in paragraph (b) of this 
section;
    (d) All points in that area south of the line described in paragraph 
(b) of this section, bounded on the west by the right-of-way of the line 
of the Penn Central Transportation Co., extending between Stony Run and 
Severn, Md., and on the south by that part of Maryland Highway 176, 
extending easterly from the said railroad to its junction with the line 
described in paragraph (b) of this section;
    (e) All points in that area southwest of the line described in 
paragraph (b) of this section, bounded by a line as follows: Beginning 
at the point where the line described in paragraph (b) of this section 
crosses the Baltimore-Washington Expressway and extending in a 
southwesterly direction along the Baltimore-Washington Expressway to its 
intersection with Maryland Highway 176, thence westerly along Maryland 
Highway 176 to its intersection with the Howard-Anne Arundel County 
line, thence southwesterly along said county line to its intersection 
with Maryland Highway 32, thence northwesterly along

[[Page 1025]]

Maryland Highway 32 to its intersection with the Little Patuxent River, 
thence northerly along the Little Patuxent River to the intersection of 
its north fork and its east fork located approximately 1 mile north of 
the intersection of Maryland Highway 32 and Berger Road, thenceeasterly 
along the east fork of the Little Patuxent River to its intersection 
with Broken Land Parkway, thence southerly along Broken Land Parkway to 
its intersection with Snowden River Parkway, thence easterly along 
Snowden River Parkway, to its intersection with relocated Maryland 
Highway 175, thence southeasterly along relocated Maryland Highway 175, 
to its intersection with Lark Brown Road, thence northeasterly along 
Lark Brown Road to its intersection with Maryland Highway 175, thence 
southerly along Maryland Highway 175 to its intersection with Interstate 
Highway 95, thence northeasterly along Interstate Highway 95 to its 
intersection with the line described in paragraph (b) of this section;
    (f) All points in that area north of the line described in paragraph 
(b) of this section bounded by a line as follows: Beginning at the 
junction of the line described in paragraph (b) of this section and the 
Baltimore-Harrisburg Expressway (Interstate Highway 83), thence 
northerly along Interstate Highway 83 to its junction with Shawan Road, 
thence easterly along Shawan Road to its junction with York Road 
(Maryland Highway 45) and continuing to a point 1,500 feet east of 
Maryland Highway 45, thence southerly along a line 1,500 feet east of 
the parallel to Maryland Highway 45 to its junction with the line 
described in paragraph (b) of this section;
    (g) All points in that area west of the line described in paragraph 
(b) of this section bounded by a line as follows: Beginning at the point 
where the line described in paragraph (b) of this section intersects 
U.S. Highway 40 west of Baltimore, Md., and extending in a westerly 
direction along U.S. Highway 40 to its intersection with St. John's 
Lane, thence southerly along St. John's Lane to its intersection with 
Maryland Highway 144, thence easterly along Maryland Highway 144 to its 
intersection with the line in paragraph (b) of this section;
    (h) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b), (c), (d), (e), (f), and 
(g) of this section;
    (i) All of any municipality wholly surrounded, or surrounded except 
for a water boundary, by the city of Baltimore or by any municipality 
included under the terms of (h) above.

                        Sec. 22  Cleveland, Ohio

    The zone adjacent to and commercially a part of Cleveland, Ohio, 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage to or from a point beyond the zone is partially 
exempt from regulation under section 203(b)(8) of the Interstate 
Commerce Act (49 U.S.C. 303(b)(8)) includes and it is comprised of all 
as follows:
    (a) All points in Cuyahoga County, Ohio, and
    (b) All points in Wickliffe, Willoughby Hills, Waite Hill, 
Willoughby, Willowick, Eastlake, Lakeline, Timberlake, and Mentor, Lake 
County, Ohio.

                         Sec. 23  Detroit, Mich.

    For the purpose of administration and enforcement of Part II of the 
Interstate Commerce Act, the zone adjacent to and commercially a part of 
Detroit, Mich., in which transportation by motor vehicle in interstate 
or foreign commerce, not under a common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, will be partially exempt under section 203(b)(8) of the 
act (49 U.S.C. 303(b)(8)) from regulation, is hereby determined to 
include, and to be comprised of, all that area within a line as follows:

    Beginning at a point on Lake St. Clair opposite the intersection of 
Fifteen Mile Road and Michigan Highway 29 and extending south and 
southwest along the shore of Lake St. Clair, to the Detroit River, 
thence along such River (east of Belle Isle) and Trenton Channel to a 
point opposite Sibley Road, thence west to and along Sibley Road to 
Waltz Road, thence north along Waltz Road to Wick Road, thence west 
along Wick Road to Cogswell Road, thence north along Cogswell Road to 
Van Born Road, thence east along Van Born Road to Newburgh Road, thence 
north along Newburgh Road to its junction with Halsted Road, thence 
north along Halsted Road to West Maple Road, thence east along West 
Maple Road to Telegraph Road, thence north along Telegraph Road to 
Sixteen Mile Road, thence east along Sixteen Mile Road to Utica Road, 
thence southeasterly along Utica Road to Fifteen Mile Road (also called 
East Maple Road), thence along Fifteen Mile Road and across Michigan 
Highway 29 to Lake St. Clair, the point of beginning.

                         Sec. 24  Seattle, Wash.

    The zone adjacent to and commercially a part of Seattle, Wash., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for 
continuous carriage or shipments to or from a point beyond such zone, is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8))

[[Page 1026]]

includes and is comprised of all points as follows:
    (a) The municipality of Seattle itself.
    (b) All points within a line drawn 5 miles beyond the municipal 
limits of Seattle, except points on Bainbridge Island, Vashon Island, 
and Blake Island.
    (c) All points more than 5 miles beyond the municipal limits of 
Seattle (1) within a line as follows: Beginning at that point south of 
Seattle where the eastern shore of Puget Sound intersects the line 
described in paragraph (b) of this section, thence southerly along the 
eastern shore of Puget Sound to Southwest 192d Street, thence easterly 
along Southwest 192d Street to thepoint where it again intersects the 
line described in paragraph (b) of this section; and (2) within a line 
as follows: Beginning at the junction of the southern corporate limits 
of Kent, Wash., and Washington Highway 181, and extending south along 
Washington Highway 181 to the northern corporate limits of Auburn, 
Wash., thence along the western, southern, and eastern corporate limits 
of Auburn to the junction of the northern corporate limits of Auburn and 
Washington Highway 167, thence northerly along Washington Highway 167 to 
its junction with the southern corporate limits of Kent, Wash., 
including all points on the highways named.
    (d) All points more than 5 miles beyond the municipal limits of 
Seattle within a line as follows: Beginning at the junction of the 
northern corporate limits of Lynwood, Wash., and U.S. Highway 99, thence 
north along U.S. Highway 99 to its junction with Washington Highway 525, 
thence along Washington Highway 525 to its junction with West Casino 
Road, thence east along West Casino Road to the western boundary of the 
Everett facilities of the Boeing Co. at or near 4th Avenue West, thence 
along the western, northern and eastern boundaries of the facilities of 
the Boeing Co. to West Casino Road, thence east along West Casino Road 
to its junction with U.S. Highway 99, thence south along U.S. Highway 99 
to 112th Street, thence easterly along 112th Street to its junction with 
Interstate Highway 5, thence southerly along Interstate Highway 5 to its 
intersection with the present zone limits, including all points on the 
named routes.
    (e) All of any municipality any part of which is within the limits 
set forth in (b) above.
    (f) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the city of Seattle or by any 
municipality included under the terms of (b) above.

                          Sec. 25  Albany, N.Y.

    For the purpose of administration and enforcement of Part II of the 
Interstate Commerce Act, the zone adjacent to and commercially a part of 
Albany, N.Y., in which transportation by motor vehicle in interstate or 
foreign commerce, not under a common control, management, or arrangement 
for a continuous carriage or shipment to or from a point beyond the 
zone, will be partially exempt under section 203(b)(8) of the act (49 
U.S.C. 303(b)(8)) from regulations, is hereby determined to include, and 
to be comprised of, the following:
    (a) The municipality of Albany itself,
    (b) All points within a line drawn 5 miles beyond the municipal 
limits of Albany,
    (c) All points in that area more than 5 miles beyond the municipal 
limits of Albany bounded by a line as follows: Beginning at that point 
on Swatling Road (in the Town of Colonie) where it crosses the line 
described in (b) above and extending northerly along such road to the 
municipal limits of Cohoes, thence along the western and northern 
boundary of Cohoes to the Mohawk River, thence along such river to the 
northern boundary of the Town of Waterford, thence along the northern 
and eastern boundaries of the Town of Waterford to the northern boundary 
of the City of Troy (all of which city is included under the next 
following provision),
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in (b) and (c) above, and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Albany or by any 
other municipality included under the terms of (d) above.

                  Sec. 26  Minneapolis-St. Paul, Minn.

    The zone adjacent to and commercially a part of Minneapolis-St. 
Paul, Minn, within which transportation by motor vehicle, in interstate 
or foreign commerce, not under a common control, management, or 
arrangement for a continuous carriage to or from a point beyond the zone 
is partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and it is 
comprised of all as follows:

    Beginning at the intersection of Minnesota Highway 36 and the 
Minnesota River and extending along the Minnesota River to the southwest 
corner of the city of Bloomington, thence north along the western 
boundaries of the city of Bloomington and the village of Edina to the 
southern boundary of the city of Hopkins, thence along the southern, 
western, and northern boundaries of the city of Hopkins to the western 
boundary of the city of St. Louis Park, thence north along the western 
boundaries of the city of St. Louis Park and the village of Golden 
Valley to the southeast corner of the village of Plymouth, thence west 
along the southern boundary of Plymouth to Interstate Highway 494, 
thence north along Interstate Highway 494 to Minnesota Highway 55, 
thence southeast along

[[Page 1027]]

Minnesota Highway 55 to the western boundary of the village of Golden 
Valley, thence north along the western boundaries of the villages of 
Golden Valley and New Hope to the northwestern corner of the village of 
New Hope, thence east along the northern boundary of the village of New 
Hope and the city of Crystal to the western boundary of the village of 
Brooklyn Center, thence north along the western boundary of the village 
of Brooklyn Center to its northern boundary, thence east along such 
northernboundary to the Hennepin County-Anoka County line, thence north 
along such county line to the northwestern corner of the village of 
Spring Lake Park in Anoka County, thence east along the northern 
boundary of the village of Spring Lake Park to the northwest corner of 
Mounds View Township in Ramsey County, thence east and south along the 
northern and eastern boundaries of Mounds View Township to the 
northwestern corner of the village of Little Canada, thence east and 
south along the northern and eastern boundaries of Little Canada to the 
northwest corner of the village of Maplewood, thence east and south 
along the northern and eastern boundaries of the village of Maplewood to 
the northeastern corner of the village of North St. Paul, thence south 
along the eastern boundary of the village of North St. Paul to the 
southeast corner of such village, thence south along the eastern 
boundary of the village of Maplewood to the northeastern corner of the 
village of Newport, thence south and west along the eastern and southern 
boundaries of the village of Newport to U.S. Highway 61, thence 
southeasterly along U.S. Highway 61, to the eastern boundary of the 
village of St. Paul Park, thence along the eastern, southern, and 
western boundaries of the village of St. Paul Park to a point on the 
Mississippi River opposite the southeast corner of the original village 
of Inver Grove, thence westerly across the river and along the southern 
and western boundaries of the original village of Inver Grove to the 
northwestcorner of such village, thence due north to the southern 
boundary of South St. Paul, thence north and west along the western and 
southern boundaries of South St. Paul to the southeastern corner of West 
St. Paul, thence west along the southern boundary of West St. Paul to 
County Highway 63, thence south along County Highway 63 to its junction 
with County Highway 63A, thence west along County Highway 63A to its 
junction with Minnesota Highway 49, thence north along Minnesota Highway 
49 to its junction with County Highway 28, thence west along County 
Highway 28 to its junction with Minnesota Highway 13, thence southwest 
along Minnesota Highway 13 to its junction with Minnesota Highway 36, 
thence north and northwest along Minnesota Highway 36 to the Minnesota 
River, the point of beginning.

                        Sec. 27  New Orleans, La.

    The zone adjacent to and commercially a part of New Orleans, La., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised 
of all points in the area bounded as follows:

    Commencing at a point on the shore of Lake Pontchartrain where it is 
crossed by the Jefferson Parish-Orleans Parish line; thence easterly 
along the shore of Lake Pontchartrain to the Rigolets; thence through 
the Rigolets in an easterly direction to Lake Borgne; thence 
southwesterly along the shore of Lake Borgne to the Bayou Bienvenue; 
thence in a general westerly direction along the Bayou Bienvenue (which 
also constitutes the Orleans Parish-St. Bernard Parish line) to Paris 
Road; thence in a southerly direction along Paris Road to the Back 
Protection Levee; thence in a southeasterly direction along the Back 
Protection Levee (across Lake Borgne Canal) to a point 1 mile north of 
Louisiana Highway 46; thence in an easterly direction 1 mile north of 
Louisiana Highway 46 to longitude 89 deg.50' W.; thence south along 
longitude line 89 deg.50' W. (crossing Louisiana Highway 46 
approximately three-eighths of a mile east of Toca) to Forty Arpent 
Canal; thence westerly, northwesterly, and southerly along Forty Arpent 
Canal to Scarsdale Canal; thence northwesterly along Scarsdale Canal and 
beyond it in the same direction to the middle of the Mississippi River; 
thence southerly along the middle of the Mississippi River to the 
Augusta Canal; thence in a westerly direction along the Augusta Canal to 
the Gulf Intracoastal Waterway; thence in a northerly direction along 
the middle of the Gulf Intracoastal Waterway (Harvey Canal) to the point 
where Lapalco Boulevard runs perpendicular to the Gulf Intracoastal 
Waterway (Harvey Canal); thence in a westerly direction along Lapalco 
Boulevard to its junction with Barataria Boulevard; thence north on 
Barartaria Boulevard to a point approximately 2 miles south of the 
MississippiRiver where a high tension transmission line crosses 
Barataria Boulevard; thence in a westerly direction following such 
transmission line to the intersection thereof with U.S. Highway 90; 
thence westerly along U.S. Highway 90 to the Jefferson Parish-St. 
Charles Parish line; thence north along such parish line to the middle 
of the Mississippi River; thence westerly along the middle of the 
Mississippi River to a point south of Almedia Road; thence north to 
Almedia Road; thence in a northerly direction along Almedia Road to its 
junction with Highway

[[Page 1028]]

61; thence north to the shore of Lake Pontchartrain; thence along the 
shore of Lake Pontchartrain in an easterly direction to the Jefferson 
Parish-Orleans Parish line, the point of beginning.

                        Sec. 28  Pittsburgh, Pa.

    For the purpose of administration and enforcement of Part II of the 
Interstate Commerce Act, the zone adjacent to and commercially a part of 
Pittsburgh, Pa., in which transportation by motor vehicle in interstate 
or foreign commerce, not under a common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, will be partially exempt under section 203(b)(8) of the 
act (49 U.S.C. 303(b)(8)) from regulation, is hereby determined to 
include, and to be comprised of, the following:

    (a) All points in Allegheny County, Pa., except Forward, Elizabeth, 
South Versailles, Marshall (including the Borough of Bradford Woods), 
Pine Richland, West Deer and Fawn Townships and that part of Frazer 
Township north of a line made by extending easterly in a straight line 
the southern boundary of West Deer Township.
    (b) Borough of Trafford situated in both Alleghency and Westmoreland 
Counties;
    (c) Borough of Ambridge and Harmony Township located in Beaver 
County; and
    (d) The City of New Kensington and Borough of Arnold in Westmoreland 
County.

                        Sec. 29  Portland, Oreg.

    For the purpose of administration and enforcement of Part II of the 
Interstate Commerce Act, the zone adjacent to and commercially a part of 
Portland, Oreg., in which transportation by motor vehicle in interstate 
or foreign commerce, not under a common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, will be partially exempt under section 203(b)(8) of the 
act (49 U.S.C. 303(b)(8)) from regulation, is hereby determined to 
include, and to be comprised of, the following:
    (a) The municipality itself.
    (b) All points in Oregon within a line drawn 5 miles beyond the 
corporate limits of Portland.
    (c) All of any municipality any part of which is within the line 
described in (b) above.
    (d) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the city of Portland or by any 
municipality included under the terms of (c) above.

                        Sec. 30 Vancouver, Wash.

    For the purpose of administration and enforcement of Part II of the 
Interstate Commerce Act, the zone adjacent to and commercially a part of 
Vancouver, Wash., in which transportation by motor vehicle in interstate 
or foreign commerce, not under a common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, will be partially exempt under section 203(b)(8) of the 
act (49 U.S.C. 303(b)(8)) from regulation, is hereby determined to 
include, and to be comprised of, the following:

    (a) The municipality itself.
    (b) All points in Washington within a line drawn 4 miles beyond the 
corporate limits of Vancouver.
    (c) All of any municipality any part of which is within the line 
described in (b) above.
    (d) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the City of Vancouver or by any 
municipality included under the terms of (c) above.

                        Sec. 31  Charleston, S.C.

    The zone adjacent to and commercially a part of Charleston, S.C., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone is 
partially exempt, under section 203(b)(8) of the Interstate Commerce Act 
(49 U.S.C. 303(b)(8)), from regulation, includes and is comprised of, 
all points and places as follows:
    (a) The municipality of Charleston itself.
    (b) All points within a line drawn 4 miles beyond the boundaries of 
Charleston.
    (c) All points in that area north of the line described in paragraph 
(b) of this section, bounded by a line as follows: Beginning at the 
point where the line described in paragraph (b) of this section crosses 
Cooper River and extending in a northerly direction along the center of 
Cooper River to Goose Creek; thence north and west along the center of 
Goose Creek to the dam of the reservoir of the Charleston waterworks; 
thence northwesterly along the west bank of the Charleston waterworks 
reservoir for approximately one mile to an unnamed creek; thence 
westerly along the center of this unnamed creek for approximately one 
mile to U.S. Highway 52; thence northerly along U.S. Highway 52 to 
junction South Carolina Highway S-10-75; thence westerly along South 
Carolina Highway S-10-75 approximately one and one half miles to a point 
one quarter mile west of the track of the Southern Railway Company; 
thence southeasterly along a line one quarter of a mile west of, and 
parallel to, the track of the Southern Railway Company to the junction 
thereof with the line described in paragraph (b) of this section.
    (d) All of any municipality any part of which is within the limits 
of the combined

[[Page 1029]]

areas defined in paragraphs (1) and (c) of this section.
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the city of Charleston or by any 
municipality included under the terms of paragraph (d) of this section.

                       Sec. 32  Charleston, W. Va.

    That zone adjacent to and commercially a part of Charleston, W. Va., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone, is 
partially exempt, under section 203(b)(8) of the Interstate Commerce Act 
(49 U.S.C. 303(b)(8)), from regulation, includes, and is comprised of, 
all points and places as follows:
    (a) The municipality of Charleston, W. Va., itself.
    (b) All points within a line drawn 4 miles beyond the corporate 
limits of Charleston, W. Va.
    (c) All points in that area northwest of those described in (b) 
above, bounded by a line as follows: Beginning at a point on the line 
described in (b) above, one-half mile south of U.S. Highway 60 west of 
Charleston, thence westerly along a line one-half mile south of the 
junction of U.S. Highway 60 with West Virginia Highway 17 near 2\3/4\ 
Mile Creek, thence westerly along a line one-half mile south of and 
parallel to West Virginia Highway 17 to the Coal River, thence north 
along the center of the Coal River to West Virginia Highway 17, thence 
northerly along West Virginia Highway 17 to Scary Creek, near Scary, W. 
Va., thence east along Scary Creek to the center of the Kanawha River, 
thence northerly along the center of the Kanawha River to a point 
opposite the mouth of Blake Creek (between Nitro and Poca, W. Va.), 
thence easterly along a straight line drawn through the junction of U.S. 
Highway 35 and West Virginia Highway 25 to a point one-half mile beyond 
said junction, thence southerly along a line one-half mile northeast of 
and parallel to West Virginia Highway 25 to the junction of the line 
described in (b) above.
    (d) All points in that area southeast of those described in (b) 
above, bounded by a line as follows: Beginning at a point on the line 
described in (b) above one-half mile south of the Kanawha River, thence 
easterly along a line one-half mile south of, and parallel to, the 
Kanawha River to junction with a straight line intersecting the highway 
bridge at Chelyan, W. Va., thence northerly along said straight line 
across the Kanawha River to a point one-half mile north of the Kanawha 
River, thence westerly along a line one-half mile north of and parallel 
to the Kanawha River to the junction of the line described in (b) above.
    (e) All of any municipality any part of which is within the limits 
of the combined areas defined in (b), (c), and (d) above.

                         Sec. 33  Memphis, Tenn.

    That zone adjacent to and commercially a part of Memphis, Tenn., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone, is 
partially exempt, under section 203(b)(8) of the Interstate Commerce Act 
(49 U.S.C. 303(b)(8)) from regulation, includes, and is comprised of, 
all points as follows:
    (a) The municipality of Memphis, Tenn., itself.
    (b) All points within a line drawn 5 miles beyond the corporate 
limits of Memphis, Tenn.
    (c) All points in that part of Shelby County, Tenn., north of the 
line described in paragraph (b) of this section, bounded by a line as 
follows: Beginning at the intersection of the line described in 
paragraph (b) of this section and U.S. Highway 51 north of Memphis, 
thence northeasterly along U.S. Highway 51 for approximately 3 miles to 
its intersection with Lucy Road, thence easterly along Lucy Road for 
approximately 1.4 miles to its intersection with Chase Road, thence 
northerly along Chase Road for approximately 0.6 mile to its 
intersection with Lucy Road thence easterly along Lucy Road for 
approximately 0.8 mile to its intersection with Main Road, thence 
southereasterly along Main Road approximately 0.3 mile to its 
intersection with Amherst Road, thence southerly and easterly along 
Amherst Road for approximately 0.8 mile to its intersection with 
Raleigh-Millington Road, thence southerly along Raleigh-Millington Road 
for approximately 2 miles to its intersection with the line described in 
paragraph (b) of this section north of Memphis;
    (d) All of any municipality any part of which is within the limits 
of the combined areas described in paragraphs (b) and (c) of this 
section.

                         Sec. 34  Houston, Tex.

    The zone adjacent to, and commercially a part of Houston, Tex., and 
contiguous municipalities in which transportation by motor vehicle, in 
interstate or foreign commerce, not under common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, will be partially exempt under section 203(b)(8) of the 
act from regulation, is hereby defined to include the area which would 
result by application of the general formula promulgated in 
Sec. 372.241, and in addition thereto, the municipalities of Baytown, La 
Porte and Lomax, Tex.

[[Page 1030]]

                         Sec. 35  Pueblo, Colo.

    The zone adjacent to and commercially a part of Pueblo, Colo., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)), includes and is comprised 
of all points as follows:
    (a) the municipality of Pueblo, Colo., itself;
    (b) All points within a line drawn 4 miles beyond the corporate 
limits of Pueblo, Colo.:
    (c) All of the area known as the Pueblo Memorial Airport, consisting 
of about 3,500 acres, not within 4 miles of the corporate limits of 
Pueblo, Colo., and within an area located on the East of Pueblo, the 
nearest point being about 3.80 miles from the city limits of Pueblo, and 
bounded on the south by the tracks of the Santa Fe Railroad and the 
Missouri Pacific Railroad, and a public highway known as Baxter Road and 
designated as U.S. Highway 50 Bypass and Colorado Highway 96, with such 
property extending north, west, and east of the described southern base 
line.

                         Sec. 36  Warren, Ohio.

    The zone adjacent to and commercially a part of Warren, Ohio, within 
which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond the zone, is 
partially exempt, under section 203(b)(8) of the Interstate Commerce Act 
(49 U.S.C. 303(b)(8)) from regulation includes, and is comprised of, all 
points as follows:
    (a) The municipality of Warren, Ohio, itself.
    (b) All points within a line drawn 4 miles beyond the corporate 
limits of Warren, Ohio.
    (c) All points in that area, south of the line in paragraph (b) of 
this section, bounded by a line as follows: Beginning at the point where 
the line described in paragraph (b) of this section intersects 
Ellsworth-Baily Road, thence south along Ellsworth-Baily Road to the 
Ohio Turnpike, thence southeast along the Ohio Turnpike to New Hallock-
Young Road, thence northeast along New Hallock-Young Road to Hallock-
Young Road, thence east along Hallock-Young Road to junction Ohio 
Highway 45 (Salem-Warren Road), thence north along Ohio Highway 45 
(Salem-Warren Road) to its intersection with the line described in 
paragraph (b) of this section.

                         Sec. 37 Louisville, Ky.

    The zone adjacent to and commercially a part of Louisville, Ky., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised 
of all points as follows:
    (a) The municipality of Louisville, Ky., itself;
    (b) All other municipalities and unincorporated areas within 5 miles 
of the corporate limits of Louisville, Ky., and all of any municipality 
any part of which lies within 5 miles of such corporate limits; and
    (c) Those points not within 5 miles of the corporate limits of 
Louisville, Ky., and within an area bounded by a line beginning at the 
junction of Kentucky Highway 146 (LaGrange Road) and Kentucky Highway 
1447 (Westport Road), thence over Kentucky Highway 146 to the junction 
of Kentucky Highway 146 and Kentucky Highway 841 (Jefferson Freeway), 
thence over Kentucky Highway 841 to the junction of Kentucky Highway 841 
and Kentucky Highway 1447, thence over Kentucky Highway 1447 to junction 
Kentucky Highway 1447 and Kentucky Highway 146, the point of beginning, 
all within Jefferson County, Ky.

                       Sec. 38  Sioux City, Iowa.

    The zone adjacent to and commercially a part of Sioux City, Iowa, 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised 
of all points as follows:
    (a) The area which would result by application of the general 
formula promulgated in Sec. 372.241; and, in addition thereto,
    (b) That area bounded by a line beginning at the intersection of 
Interstate Highway 29 and the line described in paragraph (a) of this 
section, and extending southeasterly along Interstate Highway 29 to its 
intersection with the Liberty-Lakeport Township, Iowa, line, thence 
westerly along the Liberty-Lakeport Township, Iowa, line to the Missouri 
River, thence northerly along the east bank of the Missouri River to its 
intersection with the line described in paragraph (a) of this section, 
thence along the line described in paragraph (a) of this section, to the 
point of beginning.

[[Page 1031]]

                         Sec. 39  Beaumont, Tex.

    The zone adjacent to and commercially a part of Beaumont, Tex., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under a common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under section 203(b)(8) of the 
Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised 
of all points as follows:
    (a) The areas which would result by application of the general 
formula promulgated in Sec. 372.241 for Beaumont, Tex.; and in addition 
thereto,
    (b) That area bounded by a line beginning at that point where the 
west bank of Hillebrandt Bayou intersects the line described in 
paragraph (a) of this section; thence along the west bank of Hillebrandt 
Bayou to its confluence with Taylors Bayou: thence in a southeasterly 
direction along the west and south banks of Taylors Bayou to its 
confluence with the Intracoastal Waterway; thence along the west and 
north banks of the Intra-coastal Waterway to its confluence with Sabine 
River and Sabine Lake at a point immediately east of Groves; thence in a 
northeasterly direction along the north and west banks of Sabine Lake 
and Sabine River to the Orange-Newton County line; thence westerly along 
said county line to the west right-of-way line of State Highway 87; 
thence southerly along the west right-of-way line of State Highway 87 to 
the north right-of-way line of Interstate Highway 10; thence westerly 
along the north right-of-way line of Interstate Highway 10 to 
intersection with the line described in paragraph (a) of this section; 
thence along the line described in paragraph (a) of this section, to the 
point of beginning.

  Sec. 40  Metropolitian Government of Nashville and Davidson County, 
                                  Tenn.

    The zone adjacent to and commercially a part of the Metropolitan 
Government of Nashville and Davidson County, Tenn, within which 
transportation by motor vehicle, in interstate or foreign commerce, not 
under a common control, management, or arrangement for a continuous 
carriage or shipment to or from a point beyond the zone, is partially 
exempt from regulation under section 203(b)(8) of the Interstate 
Commerce Act (49 U.S.C. 303(b)(8)) includes and is comprised of all 
points as follows:
    (a) The Metropolitan Government of Nashville and Davidson County 
itself.
    (b) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the Metropolitan Government of Nashville 
and Davidson County.

            Sec. 41  Consolidated City of Indianapolis, Ind.

    The zone adjacent to and commercially a part of the Consolidated 
City of Indianapolis, Ind., within which transportation by motor 
vehicle, in interstate or foreign commerce, not under a common control, 
management, or arrangement for a continuous carriage or shipment to or 
from a point beyond the zone, is partially exempt from regulation under 
section 203(b)(8) of the Interstate Commerce Act (49 U.S.C. 303(b)(8) 
includes and is comprised of all points as follows:

    (a) The Consolidated City of Indianapolis, Ind., itself.
    (b) All of any municipality wholly surrounded or so surrounded 
except for a water boundary, by the Consolidated City of Indianapolis.

              Sec. 42  Lexington-Fayette Urban County, Ky.

    The zone adjacent to and commercially a part of Lexington-Fayette 
Urban County, Ky., within which transporation by motor vehicle, in 
interstate or foreign commerce, not under a common control, management, 
or arrangement for a continuous carriage or shipment to or from a point 
beyond the zone, is partially exempt from regulation under section 
203(b)(8) of the Interstate Commerce Act (49 U.S.C. 303(b)(8)) includes 
and is comprised of all points as follows:

    (a) Lexington-Fayette Urban County, Ky., itself.
    (b) All other municipalities and unincorporated areas within 5 miles 
of the intersection of U.S. Highway 27 (Nicholasville Road) with the 
corporate boundary line between Jessamine County, Ky., and Lexington-
Fayette Urban County, Ky.

                          Sec. 43  Definitions.

    For the purposes of this part, the following terms are defined:
    (a) ``Municipality'' means any city, town, village, or borough which 
has been created by special legislative act or which has been, 
otherwise, individually incorporated or chartered pursuant to general 
State laws, or which is recognized as such, under the Constitution or by 
the laws of the State in which located, and which has a local 
government. It does not include a town of the township or New England 
type.
    (b) ``Contiguous municipalities'' means municipalities, as defined 
in paragraph (a) of this section, which have at some point a common 
municipal or corporate boundary.
    (c) ``Unincorporated area'' means any area not within the corporate 
or municipal boundaries of any municipality as defined in paragraph (a) 
of this section.

[[Page 1032]]

    Sec. 44  Commercial zones determined generally, with exceptions.

    The commercial zone of each municipality in the United States, with 
the exceptions indicated in the note at the end of this section, within 
which the transportation of passengers or property, in interstate or 
foreign commerce, when not under a common control, management, or 
arrangement for a continuous carriage or shipment to or from a point 
without such zone, is exempt from all provisions of Part II, Interstate 
Commerce Act, except the provisions of section 204 relative to the 
qualifications and maximum hours of service of employees and safety of 
operation or standards of equipment shall be deemed to consist of:
    (a) The municipality itself, hereinafter called the base 
municipality;
    (b) All municipalities which are contiguous to the base 
municipality;
    (c) All other municipalities and all unincorporated area within the 
United States which are adjacent to the base municipality as follows:
    (1) When the base municipality has a population less than 2,500 all 
unincorporated areas within two miles of its corporate limits and all of 
any other municipality any part of which is within two miles of the 
corporate limits of the base municipality,
    (2) When the base municipality has a population of 2,500 but less 
than 25,000, all unincorporated areas within 3 miles of its corporate 
limits and all of any other municipality any part of which is within 3 
miles of the corporate limits of the base municipality,
    (3) When the base municipality has a population of 25,000 but less 
than 100,000, all unincorporated areas within 4 miles of its corporate 
limits and all of any other municipality any part of which is within 4 
miles of the corporate limits of the base municipality, and
    (4) When the base municipality has a population of 100,000 or more, 
all unincorporated areas within 5 miles of its corporate limits and all 
of any other municipality any part of which is within 5 miles of the 
corporate limits of the base municipality, and
    (d) All municipalities wholly surrounded, or so surrounded except 
for a water boundary, by the base municipality, by any municipality 
contiguous thereto, or by any municipality adjacent thereto which is 
included in the commercial zone of such base municipality under the 
provisions of paragraph (c) of this section.

    Note: Except: Municipalities the commercial zones of which have been 
or are hereafter individually or specially determined.

           Sec. 45  Controlling distances and population data.

    In the application of Sec. 372.241:
    (a) Air-line distances or mileages about corporate limits of 
municipalities shall be used.
    (b) The population of any municipality shall be deemed to be the 
highest figure shown for that municipality in any decennial census since 
(and including) the 1940 decennial census.

[53 FR 18058, May 19, 1988, as amended at 62 FR 49942, Sept. 24, 1997]

    Appendix G to Subchapter B--Minimum Periodic Inspection Standards

    A vehicle does not pass an inspection if it has one of the following 
defects or deficiencies:
    1. Brake System.
    a. Service brakes.--(1) Absence of braking action on any axle 
required to have brakes upon application of the service brakes (such as 
missing brakes or brake shoe(s) failing to move upon application of a 
wedge, S-cam, cam, or disc brake).
    (2) Missing or broken mechanical components including: shoes, 
lining, pads, springs, anchor pins, spiders, cam rollers, push-rods, and 
air chamber mounting bolts.
    (3) Loose brake components including air chambers, spiders, and cam 
shaft support brackets.
    (4) Audible air leak at brake chamber (Example-ruptured diaphragm, 
loose chamber clamp, etc.).
    (5) Readjustment limits. The maximum stroke at which brakes should 
be readjusted is given below. Any brake \1/4\" or more past the 
readjustment limit or any two brakes less than \1/4\" beyond the 
readjustment limit shall be cause for rejection. Stroke shall be 
measured with engine off and reservoir pressure of 80 to 90 psi with 
brakes fully applied.

                      Bolt Type Brake Chamber Data
------------------------------------------------------------------------
                                                                Maximum
                                                               stroke at
                                       Effective    Outside      which
                Type                   area (sq.  dia. (in.)    brakes
                                         in.)                  should be
                                                              readjusted
------------------------------------------------------------------------
A...................................          12    6\15/16\      1\3/8\
B...................................          24     9\3/16\      1\3/4\
C...................................          16     8\1/16\      1\3/4\
D...................................           6      5\1/4\      1\1/4\
E...................................           9     6\3/16\      1\3/8\
F...................................          36          11      2\1/4\
G...................................          30      9\7/8\           2
------------------------------------------------------------------------


[[Page 1033]]


                            Rotochamber Data
------------------------------------------------------------------------
                                                                Maximum
                                                               stroke at
                                       Effective    Outside      which
                Type                   area (sq.  dia. (in.)    brakes
                                         in.)                  should be
                                                              readjusted
------------------------------------------------------------------------
 9..................................           9     4\9/32\      1\1/2\
12..................................          12    4\13/16\      1\1/2\
16..................................          16    5\13/32\           2
20..................................          20    5\15/16\           2
24..................................          24    6\13/32\           2
30..................................          30     7\1/16\      2\1/4\
36..................................          36      7\5/8\      2\3/4\
50..................................          50      8\7/8\           3
------------------------------------------------------------------------


                      Clamp Type Brake Chamber Data
------------------------------------------------------------------------
                                                                Maximum
                                                               stroke at
                                       Effective    Outside      which
                Type                   area (sq.  dia. (in.)    brakes
                                         in.)                  should be
                                                              readjusted
------------------------------------------------------------------------
 6..................................           6      4\1/2\      1\1/4\
 9..................................           9      5\1/4\      1\3/8\
12..................................          12    5\11/16\      1\3/8\
16..................................          16      6\3/8\      1\3/4\
20..................................          20    6\25/32\      1\3/4\
24..................................          24     7\7/32\   \1\1\3/4\
30..................................          30     8\3/32\           2
36..................................          36           9      2\1/4\
------------------------------------------------------------------------
\1\(2" for long stroke design).

    Wedge Brake Data.-- Movement of the scribe mark on the lining shall 
not exceed \1/16\ inch.
    (6) Brake linings or pads.
    (a) Lining or pad is not firmly attached to the shoe;
    (b) Saturated with oil, grease, or brake fluid; or
    (c) Non-steering axles: Lining with a thickness less than \1/4\ inch 
at the shoe center for air drum brakes, \1/16\ inch or less at the shoe 
center for hydraulic and electric drum brakes, and less than \1/8\ inch 
for air disc brakes.
    (d) Steering axles: Lining with a thickness less than \1/4\ inch at 
the shoe center for drum brakes, less than \1/8\ inch for air disc 
brakes and \1/16\ inch or less for hydraulic disc and electric brakes.
    (7) Missing brake on any axle required to have brakes.
    (8) Mismatch across any power unit steering axle of:
    (a) Air chamber sizes.
    (b) Slack adjuster length.
    b. Parking Brake System. No brakes on the vehicle or combination are 
applied upon actuation of the parking brake control, including driveline 
hand controlled parking brakes.
    c. Brake Drums or Rotors.
    (1) With any external crack or cracks that open upon brake 
application (do not confuse short hairline heat check cracks with 
flexural cracks).
    (2) Any portion of the drum or rotor missing or in danger of falling 
away.
    d. Brake Hose.
    (1) Hose with any damage extending through the outer reinforcement 
ply. (Rubber impregnated fabric cover is not a reinforcement ply). 
(Thermoplastic nylon may have braid reinforcement or color difference 
between cover and inner tube. Exposure of second color is cause for 
rejection.
    (2) Bulge or swelling when air pressure is applied.
    (3) Any audible leaks.
    (4) Two hoses improperly joined (such as a splice made by sliding 
the hose ends over a piece of tubing and clamping the hose to the tube).
    (5) Air hose cracked, broken or crimped.
    e. Brake Tubing.
    (1) Any audible leak.
    (2) Tubing cracked, damaged by heat, broken or crimped.
    f. Low Pressure Warning Device missing, inoperative, or does not 
operate at 55 psi and below, or \1/2\ the governor cut-out pressure, 
whichever is less.
    g. Tractor Protection Valve. Inoperable or missing tractor 
protection valve(s) on power unit.
    h. Air Compressor.
    (1) Compressor drive belts in condition of impending or probable 
failure.
    (2) Loose compressor mounting bolts.
    (3) Cracked, broken or loose pulley.
    (4) Cracked or broken mounting brackets, braces or adapters.
    i. Electric Brakes.
    (1) Absence of braking action on any wheel required to have brakes.
    (2) Missing or inoperable breakaway braking device.
    j. Hydraulic Brakes. (Including Power Assist Over Hydraulic and 
Engine Drive Hydraulic Booster).
    (1) Master cylinder less than \1/4\ full.
    (2) No pedal reserve with engine running except by pumping pedal.
    (3) Power assist unit fails to operate.
    (4) Seeping or swelling brake hose(s) under application of pressure.
    (5) Missing or inoperative check valve.
    (6) Has any visually observed leaking hydraulic fluid in the brake 
system.
    (7) Has hydraulic hose(s) abraded (chafed) through outer cover-to-
fabric layer.
    (8) Fluid lines or connections leaking, restricted, crimped, cracked 
or broken.
    (9) Brake failure or low fluid warning light on and/or inoperative.
    k. Vacuum Systems. Any vacuum system which:
    (1) Has insufficient vacuum reserve to permit one full brake 
application after engine is shut off.
    (2) Has vacuum hose(s) or line(s) restricted, abraded (chafed) 
through outer cover to cord

[[Page 1034]]

ply, crimped, cracked, broken or has collapse of vacuum hose(s) when 
vacuum is applied.
    (3) Lacks an operative low-vacuum warning device as required.
    2. Coupling devices.
    a. Fifth Wheels.
    (1) Mounting to frame.
    (a) Any fasteners missing or ineffective.
    (b) Any movement between mounting components.
    (c) Any mounting angle iron cracked or broken.
    (2) Mounting plates and pivot brackets.
    (a) Any fasteners missing or ineffective.
    (b) Any welds or parent metal cracked.
    (c) More than \3/8\ inch horizontal movement between pivot bracket 
pin and bracket.
    (d) Pivot bracket pin missing or not secured.
    (3) Sliders.
    (a) Any latching fasteners missing or ineffective.
    (b) Any fore or aft stop missing or not securely attached.
    (c) Movement more than \3/8\ inch between slider bracket and slider 
base.
    (d) Any slider component cracked in parent metal or weld.
    (4) Lower coupler.
    (a) Horizontal movement between the upper and lower fifth wheel 
halves exceeds \1/2\ inch.
    (b) Operating handle not in closed or locked position.
    (c) Kingpin not properly engaged.
    (d) Separation between upper and lower coupler allowing light to 
show through from side to side.
    (e) Cracks in the fifth wheel plate.
    Exceptions: Cracks in fifth wheel approach ramps and casting 
shrinkage cracks in the ribs of the body of a cast fifth wheel.
    (f) Locking mechanism parts missing, broken, or deformed to the 
extent the kingpin is not securely held.
    b. Pintle Hooks.
    (1) Mounting to frame.
    (a) Any missing or ineffective fasteners (a fastener is not 
considered missing if there is an empty hole in the device but no 
corresponding hole in the frame or vice versa).
    (b) Mounting surface cracks extending from point of attachment 
(e.g., cracks in the frame at mounting bolt holes).
    (c) Loose mounting.
    (d) Frame cross member providing pintle hook attachment cracked.
    (2) Integrity.
    (a) Cracks anywhere in pintle hook assembly.
    (b) Any welded repairs to the pintle hook.
    (c) Any part of the horn section reduced by more than 20%.
    (d) Latch insecure.
    c. Drawbar/Towbar Eye.
    (1) Mounting.
    (a) Any cracks in attachment welds.
    (b) Any missing or ineffective fasteners.
    (2) Integrity.
    (a) Any cracks.
    (b) Any part of the eye reduced by more than 20%.
    d. Drawbar/Towbar Tongue.
    (1) Slider (power or manual).
    (a) Ineffective latching mechanism
    (b) Missing or ineffective stop.
    (c) Movement of more than \1/4\ inch between slider and housing.
    (d) Any leaking, air or hydraulic cylinders, hoses, or chambers 
(other than slight oil weeping normal with hydraulic seals).
    (2) Integrity.
    (a) Any cracks.
    (b) Movement of \1/4\ inch between subframe and drawbar at point of 
attachment.
    e. Safety Devices.
    (1) Safety devices missing.
    (2) Unattached or incapable of secure attachment.
    (3) Chains and hooks.
    (a) Worn to the extent of a measurable reduction in link cross 
section.
    (b) Improper repairs including welding, wire, small bolts, rope and 
tape.
    (4) Cable.
    (a) Kinked or broken cable strands.
    (b) Improper clamps or clamping.
    f. Saddle-Mounts.
    (1) Method of attachment.
    (a) Any missing or ineffective fasteners.
    (b) Loose mountings.
    (c) Any cracks or breaks in a stress or load bearing member.
    (d) Horizontal movement between upper and lower saddle-mount halves 
exceeds \1/4\ inch.
    3. Exhaust System.
    a. Any exhaust system determined to be leaking at a point forward of 
or directly below the driver/sleeper compartment.
    b. A bus exhaust system leaking or discharging to the atmosphere:
    (1) Gasoline powered--excess of 6 inches forward of the rearmost 
part of the bus.
    (2) Other than gasoline powered--in excess of 15 inches forward of 
the rearmost part of the bus.
    (3) Other than gasoline powered--forward of a door or window 
designed to be opened. (exception: Emergency exits).
    c. No part of the exhaust system of any motor vehicle shall be so 
located as would be likely to result in burning, charring, or damaging 
the electrical wiring, the fuel supply, or any combustible part of the 
motor vehicle.
    4. Fuel System.
    a. A fuel system with a visable leak at any point.
    b. A fuel tank filler cap missing.
    c. A fuel tank not securely attached to the motor vehicle by reason 
of loose, broken or missing mounting bolts or brackets (some

[[Page 1035]]

fuel tanks use springs or rubber bushings to permit movement).
    5. Lighting Devices. All lighting devices and reflectors required by 
Section 393 shall be operable.
    6. Safe Loading.
    a. Part(s) of vehicle or condition of loading such that the spare 
tire or any part of the load or dunnage can fall onto the roadway.
    b. Protection Against Shifting Cargo--Any vehicle without a front-
end structure or equivalent device as required.
    7. Steering Mechanism.
    a. Steering Wheel Free Play (on vehicles equipped with power 
steering the engine must be running).

------------------------------------------------------------------------
                                                   Manual       Power
            Steering wheel diameter               steering     steering
                                                   system       system
------------------------------------------------------------------------
16"...........................................           2"      4\1/2\"
18"...........................................      2\1/4\"      4\3/4\"
20"...........................................      2\1/2\"      5\1/4\"
22"...........................................      2\3/4\"      5\3/4\"
------------------------------------------------------------------------

    b. Steering Column.
    (1) Any absence or looseness of U-bolt(s) or positioning part(s).
    (2) Worn, faulty or obviously repair welded universal joint(s).
    (3) Steering wheel not properly secured.
    c. Front Axle Beam and All Steering Components Other Than Steering 
Column.
    (1) Any crack(s).
    (2) Any obvious welded repair(s).
    d. Steering Gear Box.
    (1) Any mounting bolt(s) loose or missing.
    (2) Any crack(s) in gear box or mounting brackets.
    e. Pitman Arm. Any looseness of the pitman arm on the steering gear 
output shaft.
    f. Power Steering. Auxiliary power assist cylinder loose.
    g. Ball and Socket Joints.
    (1) Any movement under steering load of a stud nut.
    (2) Any motion, other than rotational, between any linkage member 
and its attachment point of more than \1/4\ inch.
    h. Tie Rods and Drag Links.
    (1) Loose clamp(s) or clamp bolt(s) on tie rods or drag links.
    (2) Any looseness in any threaded joint.
    i. Nuts. Nut(s) loose or missing on tie rods, pitman arm, drag link, 
steering arm or tie rod arm.
    j. Steering System. Any modification or other condition that 
interferes with free movement of any steering component.
    8. Suspension.
    a. Any U-bolt(s), spring hanger(s), or other axle positioning 
part(s) cracked, broken, loose or missing resulting in shifting of an 
axle from its normal position. (After a turn, lateral axle displacement 
is normal with some suspensions. Forward or rearward operation in a 
straight line will cause the axle to return to alignment).
    b. Spring Assembly.
    (1) Any leaves in a leaf spring assembly broken or missing.
    (2) Any broken main leaf in a leaf spring assembly. (Includes 
assembly with more than one main spring).
    (3) Coil spring broken.
    (4) Rubber spring missing.
    (5) One or more leaves displaced in a manner that could result in 
contact with a tire, rim, brake drum or frame.
    (6) Broken torsion bar spring in a torsion bar suspension.
    (7) Deflated air suspension, i.e., system failure, leak, etc.
    c. Torque, Radius or Tracking Components. Any part of a torque, 
radius or tracking component assembly or any part used for attaching the 
same to the vehicle frame or axle that is cracked, loose, broken or 
missing. (Does not apply to loose bushings in torque or track rods.)
    9. Frame.
    a. Frame Members.
    (1) Any cracked, broken, loose, or sagging frame member.
    (2) Any loose or missing fasteners including fasteners attaching 
functional component such as engine, transmission, steering gear, 
suspension, body parts, and fifth wheel.
    b. Tire and Wheel Clearance. Any condition, including loading, that 
causes the body or frame to be in contact with a tire or any part of the 
wheel assemblies.
    c. (1) Adjustable Axle Assemblies (Sliding Subframes). Adjustable 
axle assembly with locking pins missing or not engaged.
    10. Tires.
    a. Any tire on any steering axle of a power unit.
    (1) With less than \4/32\ inch tread when measured at any point on a 
major tread groove.
    (2) Has body ply or belt material exposed through the tread or 
sidewall.
    (3) Has any tread or sidewall separation.
    (4) Has a cut where the ply or belt material is exposed.
    (5) Labeled ``Not for Highway Use'' or displaying other marking 
which would exclude use on steering axle.
    (6) A tube-type radial tire without radial tube stem markings. These 
markings include a red band around the tube stem, the word ``radial'' 
embossed in metal stems, or the word ``radial'' molded in rubber stems.
    (7) Mixing bias and radial tires on the same axle.
    (8) Tire flap protrudes through valve slot in rim and touches stem.
    (9) Regrooved tire except motor vehicles used solely in urban or 
suburban service (see exception in 393.75(e).
    (10) Boot, blowout patch or other ply repair.

[[Page 1036]]

    (11) Weight carried exceeds tire load limit. This includes 
overloaded tire resulting from low air pressure.
    (12) Tire is flat or has noticeable (e.g., can be heard or felt) 
leak.
    (13) Any bus equipped with recapped or retreaded tire(s).
    (14) So mounted or inflated that it comes in contact with any part 
of the vehicle.
    b. All tires other than those found on the steering axle of a power 
unit:
    (1) Weight carried exceeds tire load limit. This includes overloaded 
tire resulting from low air pressure.
    (2) Tire is flat or has noticeable (e.g., can be heard or felt) 
leak.
    (3) Has body ply or belt material exposed through the tread or 
sidewall.
    (4) Has any tread or sidewall separation.
    (5) Has a cut where ply or belt material is exposed.
    (6) So mounted or inflated that it comes in contact with any part of 
the vehicle. (This includes a tire that contacts its mate.)
    (7) Is marked ``Not for highway use'' or otherwise marked and having 
like meaning.
    (8) With less than \2/32\ inch tread when measured at any point on a 
major tread groove.
    11. Wheels and Rims.
    a. Lock or Side Ring. Bent, broken, cracked, improperly seated, 
sprung or mismatched ring(s).
    b. Wheels and rims. Cracked or broken or has elongated bolt holes.
    c. Fasteners (both spoke and disc wheels). Any loose, missing, 
broken, cracked, stripped or otherwise ineffective fasteners.
    d. Welds.
    (1) Any cracks in welds attaching disc wheel disc to rim.
    (2) Any crack in welds attaching tubeless demountable rim to 
adapter.
    (3) Any welded repair on aluminum wheel(s) on a steering axle.
    (4) Any welded repair other than disc to rim attachment on steel 
disc wheel(s) mounted on the steering axle.
    12. Windshield Glazing. (Not including a 2 inch border at the top, a 
1 inch border at each side and the area below the topmost portion of the 
steering wheel.) Any crack, discoloration or vision reducing matter 
except: (1) coloring or tinting applied at time of manufacture; (2) any 
crack not over \1/4\ inch wide, if not intersected by any other crack; 
(3) any damaged area not more than \3/4\ inch in diameter, if not closer 
than 3 inches to any other such damaged area; (4) labels, stickers, 
decalcomania, etc. (see 393.60 for exceptions).
    13. Windshield Wipers. Any power unit that has an inoperative wiper, 
or missing or damaged parts that render it ineffective.

  Comparison of Appendix G, and the new North American Uniform Driver-
Vehicle Inspection Procedure (North American Commercial Vehicle Critical 
          Safety Inspection Items and Out-Of-Service Criteria)

    The vehicle portion of the FHWA's North American Uniform Driver-
Vehicle Inspection Procedure (NAUD-VIP) requirements, CVSA's North 
American Commercial Vehicle Critical Safety Inspection Items and Out-Of-
Service Criteria and Appendix G of subchapter B are similar documents 
and follow the same inspection procedures. The same items are required 
to be inspected by each document. FHWA's and CVSA's out-of-service 
criteria are intended to be used in random roadside inspections to 
identify critical vehicle inspection items and provide criteria for 
placing a vehicle(s) out-of-service. Avehicle(s) is placed out-of-
service only when by reason of its mechanical condition or loading it is 
determined to be so imminently hazardous as to likely cause an accident 
or breakdown, or when such condition(s) would likely contribute to loss 
of control of the vehicle(s) by the driver. A certain amount of 
flexibility is given to the inspecting official whether to place the 
vehicle out-of-service at the inspection site or if it would be less 
hazardous to allow the vehicle to proceed to a repair facility for 
repair. The distance to the repair facility must not exceed 25 miles. 
The roadside type of inspection, however, does not necessarily mean that 
a vehicle has to be defect-free in order to continue in service.
    In contrast, the Appendix G inspection procedure requires that all 
items required to be inspected are in proper adjustment, are not 
defective and function properly prior to the vehicle being placed in 
service.

    Differences Between the Out-of-Service Criteria & FHWA's Annual 
                               Inspection

    1. Brake System.
    The Appendix G criteria rejects vehicles with any defective brakes, 
any air leaks, etc. The out-of-service criteria allows 20% defective 
brakes on non-steering axles and a certain latitude on air leaks before 
placing a vehicle out-of-service.
    2. Coupling Devices.
    Appendix G rejects vehicles with any fifth wheel mounting fastener 
missing or ineffective. The out-of-service criteria allows up to 20% 
missing or ineffective fasteners on frame mountings and pivot bracket 
mountings and 25% on slider latching fasteners. The out-of-service 
criteria also allows some latitude on cracked welds.
    3. Exhaust System.
    Appendix G follows Section 393.83 verbatim. The CVSA out-of-service 
criteria allows vehicles to exhaust forward of the dimensions given in 
Section 393.83 as long as

[[Page 1037]]

the exhaust does not leak or exhaust under the chassis.
    4. Fuel System.
    Same for Appendix G and the out-of-service criteria.
    5. Lighting Devices.
    Appendix G requires all lighting devices required by Section 393 to 
be operative at all times. The out-of-service criteria only requires one 
stop light and functioning turn signals on the rear most vehicle of a 
combination vehicle to be operative at all times. In addition one 
operative head lamp and tail lamp are required during the hours of 
darkness.
    6. Safe Loading.
    Same for both Appendix G and the out-of-service criteria.
    7. Steering Mechanism
    Steering lash requirements of Appendix G follows the new 
requirements of Sec. 393.209.
    8. Suspension
    Appendix G follows the new requirements of Sec. 393.207 which does 
not allow any broken leaves in a leaf spring assembly. The out-of-
service criteria allows up to 25% broken or missing leaves before being 
placed out-of-service.
    9. Frame
    The out-of-service criteria allows a certain latitude in frame 
cracks before placing a vehicle out-of-service. Appendix G follows the 
new requirements of 393.201 which does not allow any frame cracks.
    10. Tires
    Appendix G follows the requirements of 393.75 which requires a tire 
tread depth of \4/32\ inch on power unit steering axles and \2/32\ inch 
on all other axles. The out-of-service criteria only requires \2/32\ 
inch tire tread depth on power unit steering axles and \1/32\ inch on 
all other axles.
    11. Wheel and Rims
    The out-of-service criteria allows a certain amount latitude for 
wheel and rim cracks and missing or defective fasteners. Appendix G 
meets the requirements of the new 393.205 which does not allow defective 
wheels and rims non-effective nuts and bolts.
    12. Windshield Glazing
    The out-of-service criteria places in a restricted service condition 
any vehicle that has a crack or discoloration in the windshield area 
lying within the sweep of the wiper on the drivers side and does not 
address the remaining area of the windshield. Appendix G addresses 
requirements for the whole windshield as specified in 393.60.
    13. Windshield Wipers
    Appendix G requires windshield wipers to be operative at all times. 
The out-of-service criteria only requires that the windshield wiper on 
the driver's side to be inspected during inclement weather.

[53 FR 49411, Dec. 7, 1988; 53 FR 49968, Dec. 12, 1988]


[[Page 1039]]



                              FINDING AIDS




  --------------------------------------------------------------------

  A list of CFR titles, subtitles, chapters, subchapters and parts and 
an alphabetical list of agencies publishing in the CFR are included in 
the CFR Index and Finding Aids volume to the Code of Federal Regulations 
which is published separately and revised annually.

  Material Approved for Incorporation by Reference
  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected

[[Page 1041]]

            Material Approved for Incorporation by Reference

                     (Revised as of October 1, 1999)

  The Director of the Federal Register has approved under 5 U.S.C. 
552(a) and 1 CFR part 51 the incorporation by reference of the following 
publications. This list contains only those incorporations by reference 
effective as of the revision date of this volume. Incorporations by 
reference found within a regulation are effective upon the effective 
date of that regulation. For more information on incorporation by 
reference, see the preliminary pages of this volume.


49 CFR (PARTS 200-399)

FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF TRANSPORTATION
                                                                  49 CFR


American National Standards Institute (ANSI)

  11 West 42nd Street, New York, NY 10036 
  Telephone: (212) 642-4900
ANSI Z41-1991, American National Standard for                    214.115
  Personal Protection-Protective Footwear.
ANSI Z87.1-1989, Practice for Occupational and                   214.117
  Educational Eye and Face Protection.
ANSI Z89.1-1986, Protective Headwear for                         214.113
  Industrial Workers.


American Public Transit Association

  1201 New York Avenue NW., Washington, DC 20005
APTA Standard SS-M-005-98, Code of Tests for                     238.311
  Passenger Car Equipment Using Single Car Testing 
  Device (March 1998).


American Society for Testing and Materials

  100 Barr Harbor Drive, West Conshohocken, PA, 
  19428-2959, Telephone (610) 832-9585, FAX (610) 
  832-9555
  Federal Railroad Administration, Office of the 
  Associate Administrator, Nassif Bldg., 400 
  Seventh St. SW., Washington, DC 20590
ASTM 3574-95, Standard Test Methods for Flexible    Part 238, appendix B
  Cellular Materials--Slab, Bonded, and Molded 
  Urethane Foams.
ASTM 3675-95, Standard Test Method for Surface      Part 238, appendix B
  Flammability of Flexible Cellular Materials 
  Using Radiant Heat Energy Source.
ASTM C 90-70 Standard Specification for Hollow      Part 223, appendix A
  Load-Bearing Concrete Masonry Units.
ASTM C 33-77 Standard Specification for             Part 223, appendix A
  Lightweight Aggregates for Concrete Masonry 
  Units.
ASTM C 1166-91, Standard Test Method for Flame      Part 238, appendix B
  Propagation of Defense and Cellular Elastomeric 
  Gaskets and Accessories.
ASTM D 2724-87, Standard Test Methods for Bonded,   Part 238, appendix B
  Fused, and Laminated Apparel Fabrics.
ASTM D 3953-91 Standard Specification for                 393.7; 393.102
  Strapping, Flat Steel and Seals.
ASTM E 119-98, Standard Test Methods for Fire       Part 238, appendix B
  Tests of Building Construction and Materials.
ASTM E 162-98, Standard Test Method for Surface     Part 238, appendix B
  Flammability of Materials Using a Radiant Heat 
  Energy Source.
ASTM E 648-97, Standard Test Method for Critical    Part 238, appendix B
Radiant Flux of Floor-Covering Systems Using a 
[[Page 1042]] Energy Source.

ASTM E 662-97, Standard Test Method for Specific    Part 238, appendix B
  Optical Density of Smoke Generated by Solid 
  Materials.
ASTM E 1354-97, Standard Test Method for Heat and   Part 238, appendix B
  Visible Smoke Release Rates for Materials and 
  Products Using an Oxygen Consumption 
  Calorimeter.
ASTM E 1537-98, Standard Test Method for Fire       Part 238, appendix B
  Testing of Upholstered Seating Furniture.


American Society of Mechanical Engineers

  Three Park Avenue, New York, NY 10016-5990; 
  Telephone: (800) THE-ASME
Boiler and Pressure Vessel Code (1971 Ed.):
  Section II, Part B, page 123                              229.51(a)(1)
  Section VIII, Division I                                  229.51(a)(2)


Association of American Railroads

  1920 L St. NW, Washington, DC 20036
AAR Code of Rules for cars in interchange, 1979...             232.17(b)
AAR Code of Tests, Instruction Pamphlet No. 5039-              232.17(a)
  4, Sup. 1, Single Car Testing Device, 1974.
AAR Railway Signaling Principles and Practices,                235.12(b)
  Ch. 2: Symbols, Aspects and Indications, 1956.


Cordage Institute

  350 Lincoln Street, 115, Hingham, MA 02043
PETRS-2 Polyester Fiber Rope, 3-Strand and 8-             393.7; 393.102
  Strand Constructions, January, 1993.
PPRS-2 Polypropylene Fiber Rope, 3-Strand and 8-          393.7; 393.102
  Strand Constructions, August, 1992.
CRS-1 Polyester/Polypropylene Composite Rope              393.7; 393.102
  Specifications, Three- and Eight-Strand Standard 
  Construction, May 1979.
NRS-1 Nylon Rope Specifications, Three- and Eight-        393.7; 393.102
  Strand Standard Construction, May 1979.
C1 Double Braided Nylon Rope Specifications, DBN-         393.7; 393.102
  January 1984.


General Services Administration

  Federal Supply Service, Specification Section, 
  470 E. L'Enfant Plz. SW., Suite 8100, 
  Washington, DC 20407
FED-STD-19A, Textile Test Method 5830, Leaching     Part 238, appendix B
  Resistance of Cloth; Standard Method, July 20, 
  1978.


Illuminating Engineering Society (IES)

  Federal Railroad Administration, Office of the 
  Associate Administrator, Nassif Bldg., 400 
  Seventh St. SW., Washington, DC 20590
IES Guide for Calculating the Effective Intensity               221.5(h)
  of Flashing Signal Lights, Nov. 1964.


Institute of Electircal and Electronics Engineers, Inc. (IEEE)

  345 East 47th Street, New York, NY 10017
ANSI/IEEE Std. 383-1974, IEEE Standard for Type     Part 238, appendix B
  Test of Class 1E Electrical Cables, Field 
  Splices, and Connections for Nuclear Power 
  Generating Stations.


National Association of Chain Manufacturers

  P.O. Box 3143, York, PA 17402-0143
Welded Steel Chain Specifications, June 15, 1990..        393.7; 393.102


National Electrical Manufacturers Association (NEMA)

  1300 North 17th Street, Suite 1847, Rosslyn, VA 
  22209; Telephone: (703) 841-3200; FAX: (703) 
  841-3300

[[Page 1043]]

NEMA WC 3/ICEA S-19-1981, Rubber Insulated Wire     Part 238, appendix B
  and Cable for the Transmission and Distribution 
  of Electrical Energy (part 6, section 19, 
  paragraph 6) Revision 1, 6th edition, February 
  1994.


State of California Department of Consumer Affairs

  Bureau of Home Furnishings and Thermal 
  Insulation, 3485 Oranage Grove Ave., North 
  Highlands, CA 95660
California Technical Bulletin 133, Flammability     Part 238, appendix B
  Test Procedure for Seating Furniture for Use in 
  Public Occupancies, January 1991.


Underwriters Laboratories, Inc. (UL)

  333 Pfingsten Road, Northbrook, IL 60062-2096
UL 44, Standard for Safety of Thermoset-Insulated   Part 238, appendix B
  Wires and Cables, 14th edition, January 27, 
  1997.
UL 83, Standard for Safety for Thermoplastic-       Part 238, appendix B
  Insulated Wires and Cables, 12th edition, 
  September 29, 1998.
  Available from: Global Engineering Documents, 15 
  Inverness Way East, Englewood, CO 80112, 
  Telephone (800) 854-7179 or
  Global Engineering Documents, 7730 Carondelet 
  Ave., Suite 470, Clayton, MO 63105, Telephone 
  (800) 854-7179
UL 912 Highway Emergency Signals, fourth edition,          393.7; 393.95
  revised July 30, 1979.


Web Sling and Tiedown Association, Inc

  710 East Ogden Avenue, Suite 113, Naperville, IL 
  60563
 Recommended Standard Specification for Synthetic         393.7; 393.102
  Web Tiedowns, 1991 edition.


Wire Rope Technical Board

  Wire Rope Technical Committee, P.O. Box 849, 
  Stevensville, MD 21666
Wire Rope Users Manual (2nd Edition, November             393.7; 393.102
  1985).



[[Page 1045]]



                    Table of CFR Titles and Chapters




                     (Revised as of October 1, 1999)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
        IV  Miscellaneous Agencies (Parts 400--500)

                          Title 2--[Reserved]

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  General Accounting Office (Parts 1--99)
        II  Federal Claims Collection Standards (General 
                Accounting Office--Department of Justice) (Parts 
                100--299)

                   Title 5--Administrative Personnel

         I  Office of Personnel Management (Parts 1--1199)
        II  Merit Systems Protection Board (Parts 1200--1299)
       III  Office of Management and Budget (Parts 1300--1399)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
       VII  Advisory Commission on Intergovernmental Relations 
                (Parts 1700--1799)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Part 2100)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
        XV  Office of Administration, Executive Office of the 
                President (Parts 2500--2599)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Part 3201)

[[Page 1046]]

     XXIII  Department of Energy (Part 3301)
      XXIV  Federal Energy Regulatory Commission (Part 3401)
       XXV  Department of the Interior (Part 3501)
      XXVI  Department of Defense (Part 3601)
    XXVIII  Department of Justice (Part 3801)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  Overseas Private Investment Corporation (Part 4301)
      XXXV  Office of Personnel Management (Part 4501)
        XL  Interstate Commerce Commission (Part 5001)
       XLI  Commodity Futures Trading Commission (Part 5101)
      XLII  Department of Labor (Part 5201)
     XLIII  National Science Foundation (Part 5301)
       XLV  Department of Health and Human Services (Part 5501)
      XLVI  Postal Rate Commission (Part 5601)
     XLVII  Federal Trade Commission (Part 5701)
    XLVIII  Nuclear Regulatory Commission (Part 5801)
         L  Department of Transportation (Part 6001)
       LII  Export-Import Bank of the United States (Part 6201)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Part 6401)
      LVII  General Services Administration (Part 6701)
     LVIII  Board of Governors of the Federal Reserve System (Part 
                6801)
       LIX  National Aeronautics and Space Administration (Part 
                6901)
        LX  United States Postal Service (Part 7001)
       LXI  National Labor Relations Board (Part 7101)
      LXII  Equal Employment Opportunity Commission (Part 7201)
     LXIII  Inter-American Foundation (Part 7301)
       LXV  Department of Housing and Urban Development (Part 
                7501)
      LXVI  National Archives and Records Administration (Part 
                7601)
      LXIX  Tennessee Valley Authority (Part 7901)
      LXXI  Consumer Product Safety Commission (Part 8101)
     LXXIV  Federal Mine Safety and Health Review Commission (Part 
                8401)
     LXXVI  Federal Retirement Thrift Investment Board (Part 8601)
    LXXVII  Office of Management and Budget (Part 8701)

                          Title 6--[Reserved]


[[Page 1047]]



                         Title 7--Agriculture

            Subtitle A--Office of the Secretary of Agriculture 
                (Parts 0--26)
            Subtitle B--Regulations of the Department of 
                Agriculture
         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Nutrition Service, Department of Agriculture 
                (Parts 210--299)
       III  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 300--399)
        IV  Federal Crop Insurance Corporation, Department of 
                Agriculture (Parts 400--499)
         V  Agricultural Research Service, Department of 
                Agriculture (Parts 500--599)
        VI  Natural Resources Conservation Service, Department of 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)
      VIII  Grain Inspection, Packers and Stockyards 
                Administration (Federal Grain Inspection Service), 
                Department of Agriculture (Parts 800--899)
        IX  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Fruits, Vegetables, Nuts), Department 
                of Agriculture (Parts 900--999)
         X  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Milk), Department of Agriculture 
                (Parts 1000--1199)
        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Miscellaneous Commodities), Department 
                of Agriculture (Parts 1200--1299)
      XIII  Northeast Dairy Compact Commission (Parts 1300--1399)
       XIV  Commodity Credit Corporation, Department of 
                Agriculture (Parts 1400--1499)
        XV  Foreign Agricultural Service, Department of 
                Agriculture (Parts 1500--1599)
       XVI  Rural Telephone Bank, Department of Agriculture (Parts 
                1600--1699)
      XVII  Rural Utilities Service, Department of Agriculture 
                (Parts 1700--1799)
     XVIII  Rural Housing Service, Rural Business-Cooperative 
                Service, Rural Utilities Service, and Farm Service 
                Agency, Department of Agriculture (Parts 1800--
                2099)
      XXVI  Office of Inspector General, Department of Agriculture 
                (Parts 2600--2699)
     XXVII  Office of Information Resources Management, Department 
                of Agriculture (Parts 2700--2799)
    XXVIII  Office of Operations, Department of Agriculture (Parts 
                2800--2899)
      XXIX  Office of Energy, Department of Agriculture (Parts 
                2900--2999)
       XXX  Office of the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)

[[Page 1048]]

      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  Office of Procurement and Property Management, 
                Department of Agriculture (Parts 3200--3299)
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  Cooperative State Research, Education, and Extension 
                Service, Department of Agriculture (Parts 3400--
                3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     XXXVI  National Agricultural Statistics Service, Department 
                of Agriculture (Parts 3600--3699)
    XXXVII  Economic Research Service, Department of Agriculture 
                (Parts 3700--3799)
   XXXVIII  World Agricultural Outlook Board, Department of 
                Agriculture (Parts 3800--3899)
       XLI  [Reserved]
      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)

                    Title 8--Aliens and Nationality

         I  Immigration and Naturalization Service, Department of 
                Justice (Parts 1--599)

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 1--199)
        II  Grain Inspection, Packers and Stockyards 
                Administration (Packers and Stockyards Programs), 
                Department of Agriculture (Parts 200--299)
       III  Food Safety and Inspection Service, Department of 
                Agriculture (Parts 300--599)

                           Title 10--Energy

         I  Nuclear Regulatory Commission (Parts 0--199)
        II  Department of Energy (Parts 200--699)
       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 
                1000--1099)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)

[[Page 1049]]

                      Title 12--Banks and Banking

         I  Comptroller of the Currency, Department of the 
                Treasury (Parts 1--199)
        II  Federal Reserve System (Parts 200--299)
       III  Federal Deposit Insurance Corporation (Parts 300--399)
        IV  Export-Import Bank of the United States (Parts 400--
                499)
         V  Office of Thrift Supervision, Department of the 
                Treasury (Parts 500--599)
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)
        IX  Federal Housing Finance Board (Parts 900--999)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Department of the Treasury (Parts 1500--1599)
      XVII  Office of Federal Housing Enterprise Oversight, 
                Department of Housing and Urban Development (Parts 
                1700--1799)
     XVIII  Community Development Financial Institutions Fund, 
                Department of the Treasury (Parts 1800--1899)

               Title 13--Business Credit and Assistance

         I  Small Business Administration (Parts 1--199)
       III  Economic Development Administration, Department of 
                Commerce (Parts 300--399)

                    Title 14--Aeronautics and Space

         I  Federal Aviation Administration, Department of 
                Transportation (Parts 1--199)
        II  Office of the Secretary, Department of Transportation 
                (Aviation Proceedings) (Parts 200--399)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--499)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)

                 Title 15--Commerce and Foreign Trade

            Subtitle A--Office of the Secretary of Commerce (Parts 
                0--29)
            Subtitle B--Regulations Relating to Commerce and 
                Foreign Trade
         I  Bureau of the Census, Department of Commerce (Parts 
                30--199)
        II  National Institute of Standards and Technology, 
                Department of Commerce (Parts 200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)

[[Page 1050]]

        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Export Administration, Department of 
                Commerce (Parts 700--799)
      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)
        XI  Technology Administration, Department of Commerce 
                (Parts 1100--1199)
      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
            Subtitle C--Regulations Relating to Foreign Trade 
                Agreements
        XX  Office of the United States Trade Representative 
                (Parts 2000--2099)
            Subtitle D--Regulations Relating to Telecommunications 
                and Information
     XXIII  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                2300--2399)

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

             Title 17--Commodity and Securities Exchanges

         I  Commodity Futures Trading Commission (Parts 1--199)
        II  Securities and Exchange Commission (Parts 200--399)
        IV  Department of the Treasury (Parts 400--499)

          Title 18--Conservation of Power and Water Resources

         I  Federal Energy Regulatory Commission, Department of 
                Energy (Parts 1--399)
       III  Delaware River Basin Commission (Parts 400--499)
        VI  Water Resources Council (Parts 700--799)
      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

                       Title 19--Customs Duties

         I  United States Customs Service, Department of the 
                Treasury (Parts 1--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)

[[Page 1051]]

                     Title 20--Employees' Benefits

         I  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 1--199)
        II  Railroad Retirement Board (Parts 200--399)
       III  Social Security Administration (Parts 400--499)
        IV  Employees' Compensation Appeals Board, Department of 
                Labor (Parts 500--599)
         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  Employment Standards Administration, Department of 
                Labor (Parts 700--799)
       VII  Benefits Review Board, Department of Labor (Parts 
                800--899)
      VIII  Joint Board for the Enrollment of Actuaries (Parts 
                900--999)
        IX  Office of the Assistant Secretary for Veterans' 
                Employment and Training, Department of Labor 
                (Parts 1000--1099)

                       Title 21--Food and Drugs

         I  Food and Drug Administration, Department of Health and 
                Human Services (Parts 1--1299)
        II  Drug Enforcement Administration, Department of Justice 
                (Parts 1300--1399)
       III  Office of National Drug Control Policy (Parts 1400--
                1499)

                      Title 22--Foreign Relations

         I  Department of State (Parts 1--199)
        II  Agency for International Development (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  United States Information Agency (Parts 500--599)
       VII  Overseas Private Investment Corporation (Parts 700--
                799)
        IX  Foreign Service Grievance Board Regulations (Parts 
                900--999)
         X  Inter-American Foundation (Parts 1000--1099)
        XI  International Boundary and Water Commission, United 
                States and Mexico, United States Section (Parts 
                1100--1199)
       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)
      XIII  Board for International Broadcasting (Parts 1300--
                1399)
       XIV  Foreign Service Labor Relations Board; Federal Labor 
                Relations Authority; General Counsel of the 
                Federal Labor Relations Authority; and the Foreign 
                Service Impasse Disputes Panel (Parts 1400--1499)
        XV  African Development Foundation (Parts 1500--1599)
       XVI  Japan-United States Friendship Commission (Parts 
                1600--1699)
      XVII  United States Institute of Peace (Parts 1700--1799)

[[Page 1052]]

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)
        II  National Highway Traffic Safety Administration and 
                Federal Highway Administration, Department of 
                Transportation (Parts 1200--1299)
       III  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 1300--1399)

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                Development
         I  Office of Assistant Secretary for Equal Opportunity, 
                Department of Housing and Urban Development (Parts 
                100--199)
        II  Office of Assistant Secretary for Housing-Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
        IV  Office of Multifamily Housing Assistance 
                Restructuring, Department of Housing and Urban 
                Development (Parts 400--499)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)
      VIII  Office of the Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities Program) (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--999)
         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Interstate Land Sales 
                Registration Program) (Parts 1700--1799)
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

[[Page 1053]]

                           Title 25--Indians

         I  Bureau of Indian Affairs, Department of the Interior 
                (Parts 1--299)
        II  Indian Arts and Crafts Board, Department of the 
                Interior (Parts 300--399)
       III  National Indian Gaming Commission, Department of the 
                Interior (Parts 500--599)
        IV  Office of Navajo and Hopi Indian Relocation (Parts 
                700--799)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900)
        VI  Office of the Assistant Secretary-Indian Affairs, 
                Department of the Interior (Part 1001)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Part 1200)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--799)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Bureau of Alcohol, Tobacco and Firearms, Department of 
                the Treasury (Parts 1--299)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--199)
       III  Federal Prison Industries, Inc., Department of Justice 
                (Parts 300--399)
         V  Bureau of Prisons, Department of Justice (Parts 500--
                599)
        VI  Offices of Independent Counsel, Department of Justice 
                (Parts 600--699)
       VII  Office of Independent Counsel (Parts 700--799)

                            Title 29--Labor

            Subtitle A--Office of the Secretary of Labor (Parts 
                0--99)
            Subtitle B--Regulations Relating to Labor
         I  National Labor Relations Board (Parts 100--199)
        II  Office of Labor-Management Standards, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)
        IV  Office of Labor-Management Standards, Department of 
                Labor (Parts 400--499)
         V  Wage and Hour Division, Department of Labor (Parts 
                500--899)
        IX  Construction Industry Collective Bargaining Commission 
                (Parts 900--999)
         X  National Mediation Board (Parts 1200--1299)

[[Page 1054]]

       XII  Federal Mediation and Conciliation Service (Parts 
                1400--1499)
       XIV  Equal Employment Opportunity Commission (Parts 1600--
                1699)
      XVII  Occupational Safety and Health Administration, 
                Department of Labor (Parts 1900--1999)
        XX  Occupational Safety and Health Review Commission 
                (Parts 2200--2499)
       XXV  Pension and Welfare Benefits Administration, 
                Department of Labor (Parts 2500--2599)
     XXVII  Federal Mine Safety and Health Review Commission 
                (Parts 2700--2799)
        XL  Pension Benefit Guaranty Corporation (Parts 4000--
                4999)

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  Minerals Management Service, Department of the 
                Interior (Parts 200--299)
       III  Board of Surface Mining and Reclamation Appeals, 
                Department of the Interior (Parts 300--399)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
        VI  Bureau of Mines, Department of the Interior (Parts 
                600--699)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)

                 Title 31--Money and Finance: Treasury

            Subtitle A--Office of the Secretary of the Treasury 
                (Parts 0--50)
            Subtitle B--Regulations Relating to Money and Finance
         I  Monetary Offices, Department of the Treasury (Parts 
                51--199)
        II  Fiscal Service, Department of the Treasury (Parts 
                200--399)
        IV  Secret Service, Department of the Treasury (Parts 
                400--499)
         V  Office of Foreign Assets Control, Department of the 
                Treasury (Parts 500--599)
        VI  Bureau of Engraving and Printing, Department of the 
                Treasury (Parts 600--699)
       VII  Federal Law Enforcement Training Center, Department of 
                the Treasury (Parts 700--799)
      VIII  Office of International Investment, Department of the 
                Treasury (Parts 800--899)

                      Title 32--National Defense

            Subtitle A--Department of Defense
         I  Office of the Secretary of Defense (Parts 1--399)
         V  Department of the Army (Parts 400--699)
        VI  Department of the Navy (Parts 700--799)

[[Page 1055]]

       VII  Department of the Air Force (Parts 800--1099)
            Subtitle B--Other Regulations Relating to National 
                Defense
       XII  Defense Logistics Agency (Parts 1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)
      XXIX  Presidential Commission on the Assignment of Women in 
                the Armed Forces (Part 2900)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Corps of Engineers, Department of the Army (Parts 
                200--399)
        IV  Saint Lawrence Seaway Development Corporation, 
                Department of Transportation (Parts 400--499)

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (Parts 1--99)
            Subtitle B--Regulations of the Offices of the 
                Department of Education
         I  Office for Civil Rights, Department of Education 
                (Parts 100--199)
        II  Office of Elementary and Secondary Education, 
                Department of Education (Parts 200--299)
       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)
        IV  Office of Vocational and Adult Education, Department 
                of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599)
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799)
        XI  National Institute for Literacy (Parts 1100--1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

[[Page 1056]]

                        Title 35--Panama Canal

         I  Panama Canal Regulations (Parts 1--299)

             Title 36--Parks, Forests, and Public Property

         I  National Park Service, Department of the Interior 
                (Parts 1--199)
        II  Forest Service, Department of Agriculture (Parts 200--
                299)
       III  Corps of Engineers, Department of the Army (Parts 
                300--399)
        IV  American Battle Monuments Commission (Parts 400--499)
         V  Smithsonian Institution (Parts 500--599)
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
         X  Presidio Trust (Parts 1000--1099)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
       XIV  Assassination Records Review Board (Parts 1400--1499)

             Title 37--Patents, Trademarks, and Copyrights

         I  Patent and Trademark Office, Department of Commerce 
                (Parts 1--199)
        II  Copyright Office, Library of Congress (Parts 200--299)
        IV  Assistant Secretary for Technology Policy, Department 
                of Commerce (Parts 400--499)
         V  Under Secretary for Technology, Department of Commerce 
                (Parts 500--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--99)

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Rate Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--799)
         V  Council on Environmental Quality (Parts 1500--1599)
       VII  Environmental Protection Agency and Department of 
                Defense; Uniform National Discharge Standards for 
                Vessels of the Armed Forces (Parts 1700--1799)

          Title 41--Public Contracts and Property Management

            Subtitle B--Other Provisions Relating to Public 
                Contracts

[[Page 1057]]

        50  Public Contracts, Department of Labor (Parts 50-1--50-
                999)
        51  Committee for Purchase From People Who Are Blind or 
                Severely Disabled (Parts 51-1--51-99)
        60  Office of Federal Contract Compliance Programs, Equal 
                Employment Opportunity, Department of Labor (Parts 
                60-1--60-999)
        61  Office of the Assistant Secretary for Veterans 
                Employment and Training, Department of Labor 
                (Parts 61-1--61-999)
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       105  General Services Administration (Parts 105-1--105-999)
       109  Department of Energy Property Management Regulations 
                (Parts 109-1--109-99)
       114  Department of the Interior (Parts 114-1--114-99)
       115  Environmental Protection Agency (Parts 115-1--115-99)
       128  Department of Justice (Parts 128-1--128-99)
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System
       201  Federal Information Resources Management Regulation 
                (Parts 201-1--201-99) [Reserved]
            Subtitle F--Federal Travel Regulation System
       300  General (Parts 300-1--300.99)
       301  Temporary Duty (TDY) Travel Allowances (Parts 301-1--
                301-99)
       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Part 303-70)
       304  Payment from a Non-Federal Source for Travel Expenses 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Health Care Financing Administration, Department of 
                Health and Human Services (Parts 400--499)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1999)

                   Title 43--Public Lands: Interior

            Subtitle A--Office of the Secretary of the Interior 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Lands
         I  Bureau of Reclamation, Department of the Interior 
                (Parts 200--499)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)

[[Page 1058]]

       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10005)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency (Parts 0--399)
        IV  Department of Commerce and Department of 
                Transportation (Parts 400--499)

                       Title 45--Public Welfare

            Subtitle A--Department of Health and Human Services 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Welfare
        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)
       III  Office of Child Support Enforcement (Child Support 
                Enforcement Program), Administration for Children 
                and Families, Department of Health and Human 
                Services (Parts 300--399)
        IV  Office of Refugee Resettlement, Administration for 
                Children and Families Department of Health and 
                Human Services (Parts 400--499)
         V  Foreign Claims Settlement Commission of the United 
                States, Department of Justice (Parts 500--599)
        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)
         X  Office of Community Services, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 1000--1099)
        XI  National Foundation on the Arts and the Humanities 
                (Parts 1100--1199)
       XII  Corporation for National and Community Service (Parts 
                1200--1299)
      XIII  Office of Human Development Services, Department of 
                Health and Human Services (Parts 1300--1399)
       XVI  Legal Services Corporation (Parts 1600--1699)
      XVII  National Commission on Libraries and Information 
                Science (Parts 1700--1799)
     XVIII  Harry S. Truman Scholarship Foundation (Parts 1800--
                1899)
       XXI  Commission on Fine Arts (Parts 2100--2199)
     XXIII  Arctic Research Commission (Part 2301)
      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)
       XXV  Corporation for National and Community Service (Parts 
                2500--2599)

[[Page 1059]]

                          Title 46--Shipping

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Transportation (Parts 400--499)
        IV  Federal Maritime Commission (Parts 500--599)

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)
        II  Office of Science and Technology Policy and National 
                Security Council (Parts 200--299)
       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                300--399)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Department of Defense (Parts 200--299)
         3  Department of Health and Human Services (Parts 300--
                399)
         4  Department of Agriculture (Parts 400--499)
         5  General Services Administration (Parts 500--599)
         6  Department of State (Parts 600--699)
         7  United States Agency for International Development 
                (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)
         9  Department of Energy (Parts 900--999)
        10  Department of the Treasury (Parts 1000--1099)
        12  Department of Transportation (Parts 1200--1299)
        13  Department of Commerce (Parts 1300--1399)
        14  Department of the Interior (Parts 1400--1499)
        15  Environmental Protection Agency (Parts 1500--1599)
        16  Office of Personnel Management Federal Employees 
                Health Benefits Acquisition Regulation (Parts 
                1600--1699)
        17  Office of Personnel Management (Parts 1700--1799)
        18  National Aeronautics and Space Administration (Parts 
                1800--1899)
        19  United States Information Agency (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)
        21  Office of Personnel Management, Federal Employees 
                Group Life Insurance Federal Acquisition 
                Regulation (Parts 2100--2199)
        23  Social Security Administration (Parts 2300--2399)
        24  Department of Housing and Urban Development (Parts 
                2400--2499)
        25  National Science Foundation (Parts 2500--2599)
        28  Department of Justice (Parts 2800--2899)
        29  Department of Labor (Parts 2900--2999)

[[Page 1060]]

        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        35  Panama Canal Commission (Parts 3500--3599)
        44  Federal Emergency Management Agency (Parts 4400--4499)
        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199)
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)
        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement (Parts 5300--5399)
        54  Defense Logistics Agency, Department of Defense (Part 
                5452)
        57  African Development Foundation (Parts 5700--5799)
        61  General Services Administration Board of Contract 
                Appeals (Parts 6100--6199)
        63  Department of Transportation Board of Contract Appeals 
                (Parts 6300--6399)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement Policy, Office of Management and 
                Budget (Parts 9900--9999)

                       Title 49--Transportation

            Subtitle A--Office of the Secretary of Transportation 
                (Parts 1--99)
            Subtitle B--Other Regulations Relating to 
                Transportation
         I  Research and Special Programs Administration, 
                Department of Transportation (Parts 100--199)
        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Highway Administration, Department of 
                Transportation (Parts 300--399)
        IV  Coast Guard, Department of Transportation (Parts 400--
                499)
         V  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 500--599)
        VI  Federal Transit Administration, Department of 
                Transportation (Parts 600--699)
       VII  National Railroad Passenger Corporation (AMTRAK) 
                (Parts 700--799)
      VIII  National Transportation Safety Board (Parts 800--999)
         X  Surface Transportation Board, Department of 
                Transportation (Parts 1000--1399)
        XI  Bureau of Transportation Statistics, Department of 
                Transportation (Parts 1400--1499)

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)

[[Page 1061]]

        II  National Marine Fisheries Service, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 200--299)
       III  International Fishing and Related Activities (Parts 
                300--399)
        IV  Joint Regulations (United States Fish and Wildlife 
                Service, Department of the Interior and National 
                Marine Fisheries Service, National Oceanic and 
                Atmospheric Administration, Department of 
                Commerce); Endangered Species Committee 
                Regulations (Parts 400--499)
         V  Marine Mammal Commission (Parts 500--599)
        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

                      CFR Index and Finding Aids

            Subject/Agency Index
            List of Agency Prepared Indexes
            Parallel Tables of Statutory Authorities and Rules
            List of CFR Titles, Chapters, Subchapters, and Parts
            Alphabetical List of Agencies Appearing in the CFR



[[Page 1063]]





           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of October 1, 1999)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Advanced Research Projects Agency                 32, I
Advisory Commission on Intergovernmental          5, VII
     Relations
Advisory Committee on Federal Pay                 5, IV
Advisory Council on Historic Preservation         36, VIII
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development, United      22, II
     States
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Chief Financial Officer, Office of              7, XXX
  Commodity Credit Corporation                    7, XIV
  Cooperative State Research, Education, and      7, XXXIV
       Extension Service
  Economic Research Service                       7, XXXVII
  Energy, Office of                               7, XXIX
  Environmental Quality, Office of                7, XXXI
  Farm Service Agency                             7, VII, XVIII
  Federal Acquisition Regulation                  48, 4
  Federal Crop Insurance Corporation              7, IV
  Food and Nutrition Service                      7, II
  Food Safety and Inspection Service              9, III
  Foreign Agricultural Service                    7, XV
  Forest Service                                  36, II
  Grain Inspection, Packers and Stockyards        7, VIII; 9, II
       Administration
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Procurement and Property Management, Office of  7, XXXII
  Rural Business-Cooperative Service              7, XVIII, XLII
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force Department                              32, VII
  Federal Acquisition Regulation Supplement       48, 53
Alcohol, Tobacco and Firearms, Bureau of          27, I
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII
Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX

[[Page 1064]]

Architectural and Transportation Barriers         36, XI
     Compliance Board
Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Assassination Records Review Board                36, XIV
Benefits Review Board                             20, VII
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase From People Who Are
Board for International Broadcasting              22, XIII
Census Bureau                                     15, I
Central Intelligence Agency                       32, XIX
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X
Christopher Columbus Quincentenary Jubilee        45, XXII
     Commission
Civil Rights, Commission on                       45, VII
Civil Rights, Office for                          34, I
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce Department                               44, IV
  Census Bureau                                   15, I
  Economic Affairs, Under Secretary               37, V
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Export Administration, Bureau of                15, VII
  Federal Acquisition Regulation                  48, 13
  Fishery Conservation and Management             50, VI
  Foreign-Trade Zones Board                       15, IV
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II
  National Marine Fisheries Service               50, II, IV, VI
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Telecommunications and Information     15, XXIII; 47, III
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office                     37, I
  Productivity, Technology and Innovation,        37, IV
       Assistant Secretary for
  Secretary of Commerce, Office of                15, Subtitle A
  Technology, Under Secretary for                 37, V
  Technology Administration                       15, XI
  Technology Policy, Assistant Secretary for      37, IV
Commercial Space Transportation                   14, III
Commodity Credit Corporation                      7, XIV
Commodity Futures Trading Commission              5, XLI; 17, I
Community Planning and Development, Office of     24, V, VI
     Assistant Secretary for
Community Services, Office of                     45, X
Comptroller of the Currency                       12, I
Construction Industry Collective Bargaining       29, IX
     Commission
Consumer Product Safety Commission                5, LXXI; 16, II
Cooperative State Research, Education, and        7, XXXIV
     Extension Service
Copyright Office                                  37, II
Corporation for National and Community Service    45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Customs Service, United States                    19, I
Defense Contract Audit Agency                     32, I
Defense Department                                5, XXVI; 32, Subtitle A; 
                                                  40, VII
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII

[[Page 1065]]

  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 2
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Affairs, Under Secretary                 37, V
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Civil Rights, Office for                        34, I
  Educational Research and Improvement, Office    34, VII
       of
  Elementary and Secondary Education, Office of   34, II
  Federal Acquisition Regulation                  48, 34
  Postsecondary Education, Office of              34, VI
  Secretary of Education, Office of               34, Subtitle A
  Special Education and Rehabilitative Services,  34, III
       Office of
  Vocational and Adult Education, Office of       34, IV
Educational Research and Improvement, Office of   34, VII
Elementary and Secondary Education, Office of     34, II
Employees' Compensation Appeals Board             20, IV
Employees Loyalty Board                           5, V
Employment and Training Administration            20, V
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             5, XXIII; 10, II, III, X
  Federal Acquisition Regulation                  48, 9
  Federal Energy Regulatory Commission            5, XXIV; 18, I
  Property Management Regulations                 41, 109
Energy, Office of                                 7, XXIX
Engineers, Corps of                               33, II; 36, III
Engraving and Printing, Bureau of                 31, VI
Environmental Protection Agency                   5, LIV; 40, I, VII
  Federal Acquisition Regulation                  48, 15
  Property Management Regulations                 41, 115
Environmental Quality, Office of                  7, XXXI
Equal Employment Opportunity Commission           5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary  24, I
     for
Executive Office of the President                 3, I
  Administration, Office of                       5, XV
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                25, III, LXXVII; 48, 99
  National Drug Control Policy, Office of         21, III
  National Security Council                       32, XXI; 47, 2
  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II
  Trade Representative, Office of the United      15, XX
       States
Export Administration, Bureau of                  15, VII
Export-Import Bank of the United States           5, LII; 12, IV
Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV
Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1

[[Page 1066]]

Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               4, II
Federal Communications Commission                 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of   41, 60
Federal Crop Insurance Corporation                7, IV
Federal Deposit Insurance Corporation             5, XXII; 12, III
Federal Election Commission                       11, I
Federal Emergency Management Agency               44, I
  Federal Acquisition Regulation                  48, 44
Federal Employees Group Life Insurance Federal    48, 21
     Acquisition Regulation
Federal Employees Health Benefits Acquisition     48, 16
     Regulation
Federal Energy Regulatory Commission              5, XXIV; 18, I
Federal Financial Institutions Examination        12, XI
     Council
Federal Financing Bank                            12, VIII
Federal Highway Administration                    23, I, II; 49, III
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Board                     12, IX
Federal Labor Relations Authority, and General    5, XIV; 22, XIV
     Counsel of the Federal Labor Relations 
     Authority
Federal Law Enforcement Training Center           31, VII
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Pay, Advisory Committee on                5, IV
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Property Management Regulations System    41, Subtitle C
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
  Board of Governors                              5, LVIII
Federal Retirement Thrift Investment Board        5, VI, LXXVI
Federal Service Impasses Panel                    5, XIV
Federal Trade Commission                          5, XLVII; 16, I
Federal Transit Administration                    49, VI
Federal Travel Regulation System                  41, Subtitle F
Fine Arts, Commission on                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
Fishery Conservation and Management               50, VI
Food and Drug Administration                      21, I
Food and Nutrition Service                        7, II
Food Safety and Inspection Service                9, III
Foreign Agricultural Service                      7, XV
Foreign Assets Control, Office of                 31, V
Foreign Claims Settlement Commission of the       45, V
     United States
Foreign Service Grievance Board                   22, IX
Foreign Service Impasse Disputes Panel            22, XIV
Foreign Service Labor Relations Board             22, XIV
Foreign-Trade Zones Board                         15, IV
Forest Service                                    36, II
General Accounting Office                         4, I, II
General Services Administration                   5, LVII
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Property Management Regulations System  41, 101, 105
  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302

[[Page 1067]]

  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          5, XLV; 45, Subtitle A
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Health Care Financing Administration            42, IV
  Human Development Services, Office of           45, XIII
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Health Care Financing Administration              42, IV
Housing and Urban Development, Department of      5, LXV; 24, Subtitle B
  Community Planning and Development, Office of   24, V, VI
       Assistant Secretary for
  Equal Opportunity, Office of Assistant          24, I
       Secretary for
  Federal Acquisition Regulation                  48, 24
  Federal Housing Enterprise Oversight, Office    12, XVII
       of
  Government National Mortgage Association        24, III
  Housing--Federal Housing Commissioner, Office   24, II, VIII, X, XX
       of Assistant Secretary for
  Inspector General, Office of                    24, XII
  Multifamily Housing Assistance Restructuring,   24, IV
       Office of
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Human Development Services, Office of             45, XIII
Immigration and Naturalization Service            8, I
Independent Counsel, Office of                    28, VII
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
     Secretary
Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
Information Agency, United States                 22, V
  Federal Acquisition Regulation                  48, 19
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Intergovernmental Relations, Advisory Commission  5, VII
     on
Interior Department
  American Indians, Office of the Special         25, VII
       Trustee
  Endangered Species Committee                    50, IV
  Federal Acquisition Regulation                  48, 14
  Federal Property Management Regulations System  41, 114
  Fish and Wildlife Service, United States        50, I, IV
  Geological Survey                               30, IV
  Indian Affairs, Bureau of                       25, I, V
  Indian Affairs, Office of the Assistant         25, VI
       Secretary
  Indian Arts and Crafts Board                    25, II
  Land Management, Bureau of                      43, II
  Minerals Management Service                     30, II
  Mines, Bureau of                                30, VI

[[Page 1068]]

  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Reclamation, Bureau of                          43, I
  Secretary of the Interior, Office of            43, Subtitle A
  Surface Mining and Reclamation Appeals, Board   30, III
       of
  Surface Mining Reclamation and Enforcement,     30, VII
       Office of
Internal Revenue Service                          26, I
International Boundary and Water Commission,      22, XI
     United States and Mexico, United States 
     Section
International Development, United States Agency   22, II
     for
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
  International Development, United States        22, II; 48, 7
       Agency for
  Overseas Private Investment Corporation         5, XXXIII; 22, VII
International Fishing and Related Activities      50, III
International Investment, Office of               31, VIII
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
International Trade Administration                15, III; 19, III
International Trade Commission, United States     19, II
Interstate Commerce Commission                    5, XL
James Madison Memorial Fellowship Foundation      45, XXIV
Japan-United States Friendship Commission         22, XVI
Joint Board for the Enrollment of Actuaries       20, VIII
Justice Department                                5, XXVIII; 28, I
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             4, II
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration and Naturalization Service          8, I
  Offices of Independent Counsel                  28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department                                  5, XLII
  Benefits Review Board                           20, VII
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  Employment Standards Administration             20, VI
  Federal Acquisition Regulation                  48, 29
  Federal Contract Compliance Programs, Office    41, 60
       of
  Federal Procurement Regulations System          41, 50
  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Pension and Welfare Benefits Administration     29, XXV
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training, Office of    41, 61; 20, IX
       the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Library of Congress                               36, VII
  Copyright Office                                37, II
Management and Budget, Office of                  5, III, LXXVII; 48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II
Micronesian Status Negotiations, Office for       32, XXVII
Mine Safety and Health Administration             30, I
Minerals Management Service                       30, II
Mines, Bureau of                                  30, VI

[[Page 1069]]

Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
Multifamily Housing Assistance Restructuring,     24, IV
     Office of
National Aeronautics and Space Administration     5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National Archives and Records Administration      5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Bureau of Standards                      15, II
National Capital Planning Commission              1, IV
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National and Community Service, Corporation for   45, XII, XXV
National Council on Disability                    34, XII
National Credit Union Administration              12, VII
National Drug Control Policy, Office of           21, III
National Foundation on the Arts and the           45, XI
     Humanities
National Highway Traffic Safety Administration    23, II, III; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute for Literacy                   34, XI
National Institute of Standards and Technology    15, II
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV, VI
National Mediation Board                          29, X
National Oceanic and Atmospheric Administration   15, IX; 50, II, III, IV, 
                                                  VI
National Park Service                             36, I
National Railroad Adjustment Board                29, III
National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       5, XLIII; 45, VI
  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI
National Security Council and Office of Science   47, II
     and Technology Policy
National Telecommunications and Information       15, XXIII; 47, III
     Administration
National Transportation Safety Board              49, VIII
National Weather Service                          15, IX
Natural Resources Conservation Service            7, VI
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy Department                                   32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Dairy Compact Commission                7, XIII
Nuclear Regulatory Commission                     5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Offices of Independent Counsel                    28, VI
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Panama Canal Commission                           48, 35
Panama Canal Regulations                          35, I
Patent and Trademark Office                       37, I
Payment From a Non-Federal Source for Travel      41, 304
     Expenses
Payment of Expenses Connected With the Death of   41, 303
     Certain Employees
Peace Corps                                       22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension and Welfare Benefits Administration       29, XXV
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 45, VIII
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
     Acquisition Regulation
[[Page 1070]]

  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Postal Rate Commission                            5, XLVI; 39, III
Postal Service, United States                     5, LX; 39, I
Postsecondary Education, Office of                34, VI
President's Commission on White House             1, IV
     Fellowships
Presidential Commission on the Assignment of      32, XXIX
     Women in the Armed Forces
Presidential Documents                            3
Presidio Trust                                    36, X
Prisons, Bureau of                                28, V
Procurement and Property Management, Office of    7, XXXII
Productivity, Technology and Innovation,          37, IV
     Assistant Secretary
Public Contracts, Department of Labor             41, 50
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Regional Action Planning Commissions              13, V
Relocation Allowances                             41, 302
Research and Special Programs Administration      49, I
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII
Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of          32, XXIV
Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                17, II
Selective Service System                          32, XVI
Small Business Administration                     13, I
Smithsonian Institution                           36, V
Social Security Administration                    20, III; 48, 23
Soldiers' and Airmen's Home, United States        5, XI
Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
     Office of
State Department                                  22, I
  Federal Acquisition Regulation                  48, 6
Surface Mining and Reclamation Appeals, Board of  30, III
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Technology Administration                         15, XI
Technology Policy, Assistant Secretary for        37, IV
Technology, Under Secretary for                   37, V
Tennessee Valley Authority                        5, LXIX; 18, XIII
Thrift Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     5, L
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Commercial Space Transportation                 14, III
  Contract Appeals, Board of                      48, 63
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II; 49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 49, V
  Research and Special Programs Administration    49, I
  Saint Lawrence Seaway Development Corporation   33, IV

[[Page 1071]]

  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Surface Transportation Board                    49, X
  Transportation Statistics Bureau                49, XI
Transportation, Office of                         7, XXXIII
Transportation Statistics Brureau                 49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury Department                               5, XXI; 12, XV; 17, IV
  Alcohol, Tobacco and Firearms, Bureau of        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs Service, United States                  19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Law Enforcement Training Center         31, VII
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  International Investment, Office of             31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
  Thrift Supervision, Office of                   12, V
Truman, Harry S. Scholarship Foundation           45, XVIII
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training, Office of the  41, 61; 20, IX
     Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Vocational and Adult Education, Office of         34, IV
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I
World Agricultural Outlook Board                  7, XXXVIII

[[Page 1073]]





List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations which were 
made by documents published in the Federal Register since January 1, 
1986, are enumerated in the following list. Entries indicate the nature 
of the changes effected. Page numbers refer to Federal Register pages. 
The user should consult the entries for chapters and parts as well as 
sections for revisions.
For the period before January 1, 1986, see the ``List of CFR Sections 
Affected, 1949-1963, 1964-1972, and 1973-1985'' published in seven 
separate volumes.

                                  1986

49 CFR
                                                                   51 FR
                                                                    Page
Chapter II
212.221  (a) amendment suspended.....................................757
    (a) suspension removed..........................................3975
212.223  New (a)(2) addition suspended...............................757
    (a)(2) suspension removed.......................................3975
217.13  (d) suspended................................................757
    (d) suspension removed..........................................3975
217  Appendix amendment suspended....................................757
    Appendix suspension removed.....................................3975
218  Authority citation revised....................................25185
218.5  (a) Note revised............................................25186
219  Addition suspended..............................................757
    Suspension removed..............................................3975
219.11  (a) and (f) amended.........................................3975
219.201  (a) amended................................................3975
219.501  (a) amended................................................3975
221  Authority citation revised....................................25185
221.5  (i) added...................................................25185
221.13  Revised....................................................25185
221.14  Redesignated from 221.15 and revised.......................25185
221.15  Redesignated as 221.14; new 221.15 added...................25185
221.16  Added......................................................25185
221  Appendix C revised............................................25186
225  Authority citation revised....................................47019
225.5  (b)(2) revised..............................................47019
225.7  (a) revised.................................................47019
225.17  (d) revision suspended.......................................757
    (d) suspension removed..........................................3975
225.19  (b) and (c) amended........................................47019
225  Appendix A revised............................................47019
232.13  (b), (c)(1), and (d)(1) and (2)(i) revised; (g) and (h) 
        added......................................................17303
232.19  Added......................................................17303
Chapter III
301  Authority citation revised....................................12620
301.50  Revised....................................................12620
301.60  Revised....................................................12620
387  Authority citation revised....................................22083
387.5  Amended; interim............................................33856
387.7  (d)(1) and (2) amended; (d)(3) added; interim...............22083
387.15  Amended; interim...........................................33856
388  Authority citation revised....................................12621
388.4  Revised.....................................................12621
388.5  (b) nomenclature change.....................................12621
388.6  Nomenclature change.........................................12621
388.7  Amended.....................................................12621
388.8  Revised.....................................................12621
389  Authority citation revised....................................12621
389.1  Revised.....................................................12621
389.3  Amended.....................................................12621
389.11  Revised....................................................12621
390  Authority citation revised....................................12621
390.28  Revised....................................................12621
390.40  Introductory text revised..................................12621
391  Authority citation revised.............................12621, 17571
391.15  (c)(3)(ii) revised..........................................8200
391.41  (b)(12) revised............................................17571
391.49  (a), (b), (e)(1) introductory text, (i), and (ii), (g), 
        (h), (i), (j), and (k) nomenclature change.................12621
394  Authority citation revised..............................6125, 12622

[[Page 1074]]

394.3  (a) (2) and (3) revised......................................6125
394.9  (a) revised..................................................6125
    (d) amended....................................................12622
395  Authority citation revised....................................12622
395.8  (k)(2) amended..............................................12622
395.13  (c)(2) amended.............................................12622

                                  1987

49 CFR
                                                                   52 FR
                                                                    Page
Chapter II
219.5  (b) removed.................................................10575
219.205  (c) and (d) revised.......................................10576
219.211  (a)(1) revised............................................10576
219  Appendix B added..............................................10576
Chapter III
310  Removed.......................................................22474
383  Added.........................................................20587
383.37  Introductory text corrected................................32926
391.11  (b)(7) revised.............................................20589
391.21  (b)(10) amended; (b)(11) redesignated as (b)(12); new 
        (b)(11) added..............................................20589
391.27  (e) added..................................................20589
392  Authority citation revised....................................27201
392.5  (c), (d) and (e) added......................................27201
393  Authority citation revised.....................................2803
393.42  Revised.....................................................2803
394.3  (a)(3) revised...............................................7278
395  Authority citation revised....................................41721
395.1  Revised.....................................................41721
    (a) introductory text corrected................................44520
395.2  (a)(9) added................................................41721
395.3  (b), (c), and (e) revised...................................41721
395.8  (d) and (l)(1)(ii) revised; (l)(1) introductory text 
        republished................................................41721
350--399 (Subchapter B)  Appendix D heading revised; Appendix E 
        added......................................................20590

                                  1988

49 CFR
                                                                   53 FR
                                                                    Page
Chapter II
209  Authority citation revised....................................28596
    Authority citation revised.....................................52920
209.1  Introductory text, (a), (b) and (c) amended.................52920
209  Appendix A revised; interim...................................28596
    Appendix A revised.............................................52920
213  Authority citation revised....................................28598
213.15  (a) revised; interim.......................................28598
    (a) designation and (b) removed; section amended...............52924
213  Appendix B amended; interim...................................28599
    Appendix B revised.............................................52924
215  Authority citation revised....................................28599
215.7  Revised; interim............................................28599
    Amended........................................................52925
215  Appendix B amended; interim...................................28599
    Appendix B revised.............................................52925
216  Authority citation revised....................................28599
    Authority citation revised.....................................52927
216.7  Revised; interim............................................28599
217  Authority citation revised....................................28599
    Authority citation revised.....................................47131
217.5  Revised; interim............................................28599
    Amended........................................................52927
217.13  (d) introductory text revised; (d)(5) added................47131
217  Appendix A amended; interim...................................28599
    Appendix A revised.............................................52927
218  Authority citation revised....................................28599
218.3  (b)(2) revised; interim.....................................28599
218.9  Revised; interim............................................28599
    Amended........................................................52928
218.41  Revised....................................................52928
218  Appendix A amended; interim...................................28600
    Appendix A revised.............................................52928
219  Authority citation revised....................................28600
219.3  (a)(2) amended; interim.....................................28600
    (c) added......................................................47128
219.9  (d) added; interim..........................................28600
    (a)(1) revised; (a)(5) redesignated as (a)(7); (a) 
introductory text and new (7) republished; (a) (5) and (6) added 
                                                                   47128
    (d) amended....................................................52928
219.102  Added.....................................................47128
219.601--219.609 (Subpart G)  Added................................47128
219.701--219.711 (Subpart H)  Added................................47130
219  Appendix A amended; interim...................................28600
    Appendix A amended.............................................47131
    Appendix B revised.............................................47819
    Appendix A revised.............................................52928
220  Authority citation revised....................................28600
220.3  (b)(2) revised; interim.....................................28600
220.7  Revised; interim............................................28600
    Amended........................................................52930

[[Page 1075]]

220  Appendix C amended; interim...................................28600
    Appendix C revised.............................................52930
221  Authority citation revised....................................28600
221.3  (b)(3) revised; interim.....................................28600
221.7  Revised; interim............................................28600
    Amended........................................................52930
221  Appendix C amended; interim...................................28600
    Appendix C revised.............................................52930
223  Authority citation revised....................................28600
223.3  (b)(2) revised; interim.....................................28600
223.7  Revised; interim............................................28601
    Amended........................................................52930
223  Appendix B amended; interim...................................28601
    Appendix B revised.............................................52930
225  Authority citation revised....................................28601
225.1  Amended; interim............................................28601
225.5  (a) revised; interim........................................28601
    Introductory text and (b) introductory text republished; 
(b)(2) revised.....................................................48548
225.19  (b) and (c) amended........................................48548
225.29  Revised; interim...........................................28601
    Amended........................................................52931
225  Appendix B amended; interim...................................28601
    Appendix A revised.............................................48548
    Appendix B revised.............................................52931
228  Authority citation revised....................................28601
    Authority citation revised.....................................52931
228  Interim rules following 228.107 removed; Appendix A amended; 
        interim....................................................28601
228.21  Revised....................................................52931
228.23  Revised....................................................52931
228  Appendix B added..............................................52931
229  Authority citation revised....................................28601
229.7  (b) revised; interim........................................28601
    (b) amended....................................................52931
229  Appendix B amended; interim...................................28601
    Appendix B revised.............................................52931
230  Authority citation revised....................................28602
230.0  (a) revised; interim........................................28602
231  Authority citation revised....................................28602
231.0  Added; interim..............................................28602
    Amended........................................................52933
231  Appendix A added; interim.....................................28602
    Appendix A added...............................................52933
232  Authority citation revised....................................28602
    Authority citation revised.....................................52934
232.0  Added; interim..............................................28602
    Amended........................................................52934
232  Appendix designated as Appendix B; Appendix A added; interim 
                                                                   28602
    Appendix A revised.............................................52934
233  Authority citation revised....................................28602
233.11  Revised; interim...........................................28602
    Amended........................................................52936
233  Appendix A added..............................................52936
235  Authority citation revised....................................28602
235.9  Revised; interim............................................28602
    Amended........................................................52936
235  Appendix A added..............................................52936
236  Authority citation revised....................................28603
236.0  Heading revised; (f) added..................................52936
236.110  Revised; eff. 12-21-88....................................37313
236.587  (d) revised; eff. 12-21-88................................37313
236  Appendix A revised; interim...................................28603
    Appendix A revised.............................................52936
Chapter III
301.60  Removed.....................................................2035
350  Auhority citation revised.....................................15846
350.21  (e)(2) revised.............................................15846
383  Waivers granted in part.......................................37313
383.1  (b) (4) and (5) amended; (b) (6) through (11) added.........27648
383.5  Amended.....................................................27648
    Amended........................................................39050
383.23  Added; eff. 4-1-92.........................................27649
383.51  (b) revised; (d) added.....................................39050
383.71--383.77 (Subpart E)  Added..................................27649
383.72  Added......................................................39051
383.91--383.95 (Subpart F)  Added..................................27651
383.110--383.121 (Subpart G)  Added................................27654
383.131--383.135 (Subpart H)  Added................................27657
383.131  (a)(1) revised............................................39051
383.151--383.155 (Subpart J)  Added................................27657
385  Revised.......................................................50968
386  Authority citation revised.....................................2036
386.1  Amended......................................................2036
386.2  Amended......................................................2036
386.11  (a) nomenclature change.....................................2036
386.48  Nomenclature change.........................................2036
386.54  (b)(6) revised..............................................2036
386.72  (b) (1) and (2) amended.....................................2036
    (b)(2) revised.................................................50970
387  Authority citation revised....................................47543
387.5  Amendment at 51 FR 33856 confirmed..........................12160

[[Page 1076]]

387.15  Amendment at 51 FR 33856 confirmed.........................12160
387.41  Revised....................................................47543
389  Authority citation revised.....................................2036
389.1  Amended......................................................2036
389.3  Amended......................................................2036
389.5  Amended......................................................2036
389.7  Amended......................................................2036
389.11  Amended.....................................................2036
389.13  Nomenclature change.........................................2036
389.17  (b) nomenclature change.....................................2036
389.25  Nomenclature change.........................................2036
389.27  (b) nomenclature change.....................................2036
389.29  Nomenclature change.........................................2036
389.31  (a) nomenclature change; (b)(1) amended.....................2036
389.33  Nomenclature change; (a) revised............................2036
389.35  Nomenclature change; (a) amended............................2036
389.37  Nomenclature change.........................................2036
389.38  Removed.....................................................2036
390  Revised; eff. 11-15-88........................................18052
390.5  Amended..............................................39051, 47543
390.21  (b)(2) correctly revised; eff. 11-15-88....................27689
    (b)(4) revised.................................................47543
390.27  Revised....................................................47543
391  Authority citation revised....................................18056
    Waivers granted in part........................................37313
391.1  (b) removed; (c) redesignated as (b); eff. 11-15-88.........18057
391.2  (a), (b), (c), and (f) removed; (d) and (e) redesignated as 
        (a) and (b); eff. 11-15-88.................................18057
    (c) reinstated.................................................47544
391.3  Removed; eff. 11-15-88......................................18057
391.5  Removed; eff. 11-15-88......................................18057
391.7  Removed; eff. 11-15-88......................................18057
391.15  (c)(2)(i) footnote 1 amended; eff. 11-15-88................18057
    (c) revised....................................................39051
391.35  (e) footnote 1 amended; eff. 11-15-88......................18057
391.41  (b)(12) footnote 1 amended; eff. 11-15-88..................18057
    (b)(12) revised................................................47154
391.43  (e) amended; eff. 11-15-88.................................18057
    (c) and (e) amended............................................47154
391.51  (g) amended; eff. 11-15-88.................................18057
391.61  Amended; eff. 11-15-88.....................................18057
391.62  Removed; eff. 11-15-88.....................................18057
391.63  (a) amended; eff. 11-15-88.................................18057
391.65  (a)(2)(iii) revised; eff. 11-15-88.........................18057
391.67  Introductory text amended; eff. 11-15-88...................18057
391.69  (b) amended; eff. 11-15-88.................................18057
391.71  (a), (b) introductory text, and (1) amended; eff. 11-15-88
                                                                   18057
391.81--391.123 (Subpart H)  Added.................................47151
392  Authority citation revised....................................18057
392.1  Revised; eff. 11-15-88......................................18057
392.4  (a)(1) footnote 1 amended; eff. 11-15-88....................18057
392.5  (a)(2) revised..............................................39052
393  Authority citation revised....................................18057
    Authority citation revised.....................................49384
393.1  Revised; eff. 11-15-88......................................18057
393.1--393.5 (Subpart A)  Revised..................................49384
393.2  Removed; eff. 11-15-88......................................18057
393.11  Revised....................................................49385
393.12--393.16  Removed............................................49385
393.18  Removed....................................................49397
393.19  Revised....................................................49397
393.24  (c) footnote amended.......................................49397
393.25  (c) introductory text, (2), (3), and (d) introductory text 
        amended; (e) removed; (f) and (g) redesignated as (e) and 
        (f)........................................................49397
393.26  (d) removed; (e) redesignated as (d); (b) and (c) revised 
                                                                   49397
393.27  Revised....................................................49397
393.28  Revised....................................................49397
393.31  Existing text designated as (a) and (b); new (b) revised 
                                                                   49397
393.41  (a) revised................................................49398
393.42  Amended....................................................49398
393.44  Revised....................................................49400
393.45  (b), (c), and (d) revised..................................49400
393.46  (f) added..................................................49400
393.50  (a) revised; (c) removed...................................49400
393.51  (c) introductory text, (d) introductory text, and (e) 
        amended; (g) removed.......................................49400
393.67  (f) revised................................................49400
393.69  (a) introductory text amended..............................49400
393.71  (h) (7) and (9) revised; (i) removed.......................49400
393.75  (f)(1) revised; eff. 11-15-88..............................18057

[[Page 1077]]

    (a) and (f), and footnote 1 revised; Table I removed; Table II 
redesignated as Table I............................................49401
393.76  (e)(2)(iv) revised; (e)(2)(v) removed......................49401
393.77  (a) removed; (b) and (c) redesignated as (a) and (b); new 
        (b) (5) and (11) revised...................................49401
393.83  Revised....................................................49401
393.84  Revised....................................................49401
393.87  Revised....................................................49401
393.89  Amended....................................................49402
393.91  Revised....................................................49402
393.201--393.209 (Subpart J)  Added................................49402
394  Authority citation revised....................................18057
394.1  (c) revised; eff. 11-15-88..................................18057
394.3  (b)(3) amended; eff. 11-15-88...............................18057
    (a) introductory text correctly revised; eff. 11-15-88.........27689
394.5  Removed; eff. 11-15-88......................................18058
394.7  (a) amended; eff. 11-15-88..................................18058
    (b)(11) added..................................................47154
394.9  (a) and (d) amended.........................................18058
    (b) revised....................................................47154
394.20  (a) and (b) amended........................................47154
395  Authority citation revised.............................18058, 38670
395.1  Removed; eff. 11-15-88......................................18058
395.2  (f) and (j) removed; (g) through (i) redesignated as (f) 
        through (h); eff. 11-15-88.................................18058
    (k) correctly designated as (i)................................44589
    (k) redesignated as (i)........................................47544
    (k) added; eff. 10-31-88.......................................38670
395.3  (a)(3) amended; eff. 11-15-88...............................18058
395.8  (f)(11), (h)(2), (k)(2) amended; (l)(2) removed; (l)(3) 
        redesignated as (l)(2); eff. 11-15-88......................18058
    (a) and (e) revised; eff. 10-31-88.............................38670
395.13  (c)(2) amended; eff. 11-15-88..............................18058
    (b)(2) revised; eff. 10-31-88..................................38670
    (b)(2) revised.................................................47544
395.15  Added; eff. 10-31-88.......................................38670
396  Authority citation revised....................................18058
    Authority citation revised.....................................49410
396.1  (a) designation and (b) removed; eff. 11-15-88..............18058
396.3  (c) removed; (d) redesignated as (c); eff. 11-15-88.........18058
396.11  (d) revised; eff. 11-15-88.................................18058
396.15  Heading and (a) revised; eff. 3-7-90.......................49410
    Eff. date corrected to 12-7-89.................................49968
396.17  Added; eff. 3-7-90.........................................49410
    Eff. date corrected to 12-7-89.................................49968
396.19  Added; eff. 3-7-90.........................................49410
    Eff. date corrected to 12-7-89.................................49968
396.21  Added; eff. 3-7-90.........................................49410
    Eff. date corrected to 12-7-89.................................49968
396.23  Added; eff. 3-7-90.........................................49410
    Eff. date corrected to 12-7-89.................................49968
397  Authority citation revised....................................18058
397.1  (c) removed; eff. 11-15-88..................................18058
397.19  (b) amended; eff. 11-15-88.................................18058
397.21  Removed; eff. 11-15-88.....................................18058
350--399 (Subchapter B)  Appendix F added; eff. 11-15-88...........18058
    Appendix G added; eff. 3-7-90..................................49411
    Appendix G effective date corrected to 12-7-89.................49968

                                  1989

49 CFR
                                                                   54 FR
                                                                    Page
Chapter II
209.1  (b) revised.................................................42905
209.3  (e) revised; (f) through (i) added..........................42906
209.5  (d) and (e) revised.........................................42906
209.6  Added.......................................................42906
209.7  (a) and (b) revised.........................................42906
209.8  Added.......................................................42906
209.9  Revised.....................................................42906
209.13  Revised....................................................42906
209.15  Revised....................................................42907
209.17  Added......................................................42907
209.301--209.335 (Subpart D)  Added................................42907
210.3  (a) revised.................................................33228
215.5  (f) revised.................................................33228
216.1  (a)(2) revised..............................................33229
217  Authority citation revised....................................53279
217.3  (b)(2) revised..............................................33229
217.13  (d) revised................................................53279
218.5  (n) added; eff. 1-1-90......................................39545
218.51--218.61 (Subpart D)  Added...................................5492
218.71--218.80 (Subpart E)  Added; eff. 1-1-90.....................39545
218  Appendix A amended; Appendix B added...........................5492
219  Random drug testing implementation guidance availability......35879
    Revised........................................................53259

[[Page 1078]]

219.3  (c) revised.................................................22284
    (c) revised....................................................52945
219.102  Revised...................................................22284
219.601  (a) and (d)(2) revised....................................22284
    (b) introductory text republished; (b)(1) revised; eff. 1-16-
90.................................................................39644
219.701  (a) revised........................................22285, 39645
219.711  (c)(1) revised.....................................22285, 39645
219  Appendix A revised; eff. 10-1-89..............................39716
    Appendix B corrected...........................................40879
225.1  Amended.....................................................33229
225.17  (d) revised................................................53279
228.3  Revised.....................................................33229
228.5  Revised.....................................................33229
229.3  Revised.....................................................33229
229.5  (c) revised; (l) redesignated as (m); new (l) added.........33229
231.0  Revised.....................................................33229
232.0  Revised.....................................................33230
Chapter III
325.7  Table 1 revised.............................................50385
325.13  Nomenclature change........................................50385
325.33  (a) amended................................................50385
325.53  (a)(1) amended.............................................50385
325.73  Table 2 amended............................................50385
383  Waiver granted in part........................................33230
383.1  (b) (2) and (5) revised.....................................40787
383.5  Amended.....................................................40787
383.23  (b) amended; footnote 1 added..............................22285
383.31  (a), (b), and (c)(4) revised...............................40787
383.33  Revised....................................................40788
383.51--383.53 (Subpart D)  Heading revised........................40788
383.51  (b)(1), (3) (i) through (v), and (c) (1) and (2) revised 
                                                                   40788
383.73  (g) revised................................................40788
383.91  (c)(3) revised; figure 1 amended...........................47989
385  Determination of status........................................7191
386  Determination of status........................................7191
387.7  (b)(3) added................................................49092
387.15  Introductory text revised..................................49092
387.31  (b)(3) added...............................................49092
387.39  Introductory text amended..................................49093
390  Determination of status........................................7191
    Comment time extended..........................................28818
390.3  (f)(6), (g), and (h) removed; (f)(7) redesignated as (f)(6)
                                                                   12202
391  Determination of status........................................7191
    Comment time extended..........................................28818
391.2  (d) added...................................................12202
391.15  (c)(2)(iv) revised.........................................40788
391.43  (c), (d), and (e) redesignated as (d), (e), and (f); new 
        (c) added; new (f)(3) revised..............................12202
391.45  Introductory text, (a), and (b) revised....................12202
391.83  (c) revised.........................................39547, 53295
391.93  (b) and (c) revised........................................46618
392  Determination of status........................................7191
393  Determination of status........................................7191
    Comment time extended..........................................28818
393.1  Revised.....................................................12202
    Revised; interim...............................................48617
393.42  (b)(4) added; interim......................................48617
394  Determination of status........................................7191
395  Determination of status........................................7191
396  Determination of status........................................7191
    State periodic inspection programs.............................50726
396.17  (c) revised................................................50725
396.21  Revised....................................................50725
398  Determination of status........................................7191
399  Determination of status........................................7191

                                  1990

49 CFR
                                                                   55 FR
                                                                    Page
Chapter II
217  Authority citation revised....................................22794
217.13  (d)(6) revised.............................................22794
219.23  Heading corrected..........................................22793
219.104  (e)(1) amended............................................22793
219.203  (b)(4) revised; (d)(2) corrected..........................22793
219.301  (f)(4) correctly revised..................................22793
219.303  (d)(1) amended............................................22794
219  Appendix B corrected..........................................22793
    Appendix B revised.............................................22794
    Appendix A and C amended.......................................22794
225  Authority citation revised....................................37826
225.5  (j) added; eff. 12-1-90.....................................37827
    Introductory text and (b) introductory text republished; 
(b)(2) revised.....................................................52847
225.7  (b) amended; eff. 12-1-90...................................37827
225.12  Added; eff. 12-1-90........................................37827
    (g)(3) corrected...............................................39538
225.13  Amended; eff. 12-1-90......................................37828
225.19  (b) and (c) amended........................................52847
225.21  (g) and (h) added; eff. 12-1-90............................37828
225.27  (a) amended; eff. 12-1-90..................................37828
225  Appendix A revised............................................52847
    Appendix B amended; eff. 12-1-90...............................37828

[[Page 1079]]

228  Appendix A amended............................................30893
    Appendix C added...............................................30893
240  Removed........................................................4178
Chapter III
383.51  (b)(3)(iv) corrected........................................6727
383.77  (a) revised................................................25606
387.7  Regulation at 51 FR 22083 confirmed.........................40663
390.5  Amended..............................................32916, 35435
390.21  Heading revised; (e) added..................................6993
391.41  (c) added; (b)(12) revised; interim.........................3554
391.43  (a) redesignated as (a)(1); (a)(2) added; (d) and (f) 
        amended; interim............................................3555
391.81--391.123(Subpart H)  Heading revised.........................3555
391.85  Amended; interim............................................3555
391.87  (a) through (g) redesignated as (b) through (h); new (a) 
        added; new (c)(2) and (f) revised; new (g) and (h)(2) 
        amended; interim............................................3555
391.97  (a) amended; (b) redesignated as (d); new (b) and (c) 
        added; interim..............................................3555
391.99  (b) amended; (c) revised; interim...........................3556
391.101  (b) revised; interim.......................................3556
391.103  (d) revised; interim.......................................3556
391.105  (a) and (c) revised; interim...............................3556
391.107  (b) revised; interim.......................................3556
391.109  (a) and (b) redesignated as (b) and (c); new (a) and (d) 
        added; interim..............................................3556
391.111  (b) revised; interim.......................................3556
391.113  (a) revised; (c) added; interim............................3556
391.115  (b) revised; new (c) added; interim........................3557
391.119  (a)(2) revised; interim....................................3557
391.121  (b)(2) amended; (d) redesignated as (c); interim...........3557
395.3  (b) introductory text revised...............................32916

                                  1991

49 CFR
                                                                   56 FR
                                                                    Page
Chapter II
209.337  Added (OMB numbers).......................................66791
219.3  (c) revised.................................................18991
229  Authority citation revised....................................66792
230  Authority citation revised....................................66792
231  Authority citation revised....................................66792
232  Authority citation revised....................................66792
234  Added.........................................................33728
    Regulation at 56 FR 33728 eff. 12-1-91.........................49417
    Regulation at 56 FR 33738 effective date revised to 1-1-92.....61169
234.13  OMB number pending.........................................49417
240  Added.........................................................28254
    Meetings.......................................................55240
245  Added; interim; eff. 10-30-91.................................49425
    Meetings.......................................................59893
Chapter III
385  Authority citation revised.............................40805, 51344
385.1  Revised; interim............................................40805
385.3  Amended; interim............................................40805
385.11  Revised; interim...........................................40806
385.13  Revised; interim...........................................40806
385.15  Revised; interim...........................................40806
385.17  Revised; interim...........................................40806
385.19  Revised....................................................51344
385  Appendix revised...............................................5365
386  Authority citation revised....................................10182
386.2  Amended.....................................................10182
386.11  (b) introductory text, (2), (c) introductory text and (3) 
        revised; (c)(4) added......................................10182
386.14  (a), (b)(1), (2), (3), (c) and (e) revised; (f) added......10183
386.15  Removed....................................................10183
386.16  (c)(1) introductory text and (v) revised; (c)(1)(vi) 
        added; (c)(1)(iv) amended..................................10183
386.21--386.23 (Subpart C)  Heading revised........................10183
386.21  Redesignated as 386.22; new 386.21 added...................10183
386.22  Redesignated as 386.23; (a) introductory text and (b) 
        revised; new 386.22 redesignated from 386.21...............10183
386.23  Redesignated from 386.22; (a) introductory text and (b) 
        revised....................................................10183
386.72  (b)(2) amended; (b)(3) and (4) added.......................10184
386.81--386.82 (Subpart G)  Added..................................10184
386  Appendix A added..............................................10184
391.83  (c) revised................................................18995
391.85  Amended; eff. 11-14-91 and 1-1-92..........................40809

[[Page 1080]]

391.93  (b) and (c) revised; (d) redesignated as (e); new (d) 
        added; eff. 11-14-91 and 1-1-92............................40809
396.25  Added........................................................491
494.9  (c) revised.................................................49429

                                  1992

49 CFR
                                                                   57 FR
                                                                    Page
Chapter II
212  Authority citation revised....................................28115
212.3  (d)(5) and (6) revised; (e) redesignated as (g); (d)(7), 
        new (e) and (f) added......................................28115
212.101  (b)(1) and (c) revised....................................28115
212.105  (e)(1)(i) revised.........................................28115
212.109  Revised...................................................28115
212.201  (d)(5) and (f) revised....................................28115
212.227  Redesignated as 212.231; new 212.227 added................28115
212.229  Added.....................................................28116
212.231  Redesignated from 212.227.................................28115
214  Added.........................................................28127
    Regulation at 57 FR 28127 effective date corrected.............29561
    Regulations at 57 FR 28127 and 29561 effective date delayed to 
8-24-92............................................................30429
214.103  Suspended.................................................45327
214.105  Suspended.................................................45327
219.3  (c) revised.................................................31279
245  Revised.......................................................30602
255  Removed.......................................................52734
268  Removed.......................................................52735
Chapter III
350  Revised; eff. 10-8-92.........................................40956
355  Added; eff. 10-8-92...........................................40962
383  Waivers................................................13650, 31457
383.23  (b) amended................................................31457
383.51  (c)(3) removed.............................................53295
390.5  Amended..............................................33278, 33646
390.21  (a) revised.................................................3142
390.23  Revised....................................................33647
390.25  Added......................................................33647
391  Waivers.........................................10295, 31458, 45002
391.43  (a)(1) revised; (c) through (f) redesignated as (d) 
        through (g); new (c) added; newly redesignated (d) through 
        (g) amended................................................33278
391.83  (c) revised................................................31278
395.1  Added.......................................................33647
395.2  Revised.....................................................33648
395.3  Revised.....................................................33649
395.7  Removed.....................................................33649
395.8  (k)(2) and (l) removed; (k)(3) redesignated as (k)(2).......33649
395.10  Removed....................................................33649
395.11  Removed....................................................33649
395.12  Removed....................................................33649
396  Authority citation revised....................................40964
396.9  (d)(3)(ii) revised; eff. 10-8-92............................40964
397  Authority citation revised....................................44131
397.101--397.103 (Subpart D)  Added; interim.......................44131
397.201--397.225 (Subpart E)  Added; interim.......................44132

                                  1993

49 CFR
                                                                   58 FR
                                                                    Page
Chapter II
217  Common preamble...............................................68194
217.13  (d) removed................................................68235
218  Nomenclature change...........................................43292
    Appendix B redesignated as Appendix C; Appendix A and new 
Appendix C amended; new Appendix B added...........................43293
218.5  Revised.....................................................43292
218.22  Added......................................................43293
218.51  (b)(3) revised; eff. 11-5-93...............................36613
218.61  (c) revised; eff. 11-5-93..................................36613
219  Common preamble...............................................68194
219.803 (Subpart I)  Added.........................................68235
219  Appendix D added..............................................68237
    Appendix D2 added..............................................68250
228  Authority citation revised....................................18165
228  Appendix A amended............................................18165
229  Authority citation revised..............................6902, 36613
229.4  (b) revised; eff. 11-5-93...................................36613
229.5  (g) through (m) redesignated as (h) through (o); new (g) 
        and (i) added; eff. 11-5-93................................36613
229.25  (e) added; eff. 11-5-93....................................36614
229.133  Added; interim.............................................6902
229.135  Added; effective 11-5-93..................................36614
    Technical correction...........................................40468
229  Appendix B amended; eff. 11-5-93..............................36615
240.5  (a) revised; interim........................................19002
240.7  Amended; interim............................................19002
240.13  (a) revised; interim.......................................19003
240.117  (d), (e) and (h) revised; (i) added; interim..............19003
240.215  (j) added; interim........................................19003
240.217  (b) revised; interim......................................19003
240.223  (a)(7) revised; interim...................................19003

[[Page 1081]]

240.229  (a) revised; (f) added; interim...........................19003
240.305  Heading, (a) and (c) revised; interim.....................19004
240.307  Revised; interim..........................................19004
240.401  (a) revised; interim......................................19005
Chapter III
    Chapter III Interpretation.....................................60734
350  Appendix C amended............................................33776
    Appendix C amended; interim....................................40600
355  Appendix A amended............................................33776
385.5  (f) revised.................................................33776
385.7  (f) revised.................................................33776
390.3  (f)(2) revised..............................................33776
390.5  Introductory text revised; section amended...................6729
    Amended..........................................33777, 59196, 67375
390.15  Added.......................................................6729
390.27  Table amended..............................................44464
391  Waivers.......................................................40690
    Common preamble................................................68194
391.43  Amended; (e) introductory text and (g) revised.............59196
391.85  Amended....................................................33777
391.87  (h) revised................................................68222
391.89  Revised....................................................33777
391.113  (a) revised...............................................33777
392.71  Added......................................................67375
394  Removed........................................................6729
395.1  (i)(1) revised..............................................33777
395.8  (f) revised.................................................33777

                                  1994

49 CFR
                                                                   59 FR
                                                                    Page
Chapter II
207  Added..........................................................6587
209  Authority citation revised....................................43675
209.3  Revised; eff. 1-1-95........................................43676
209.401--209.409 (Subpart E)  Added; eff. 1-1-95...................43676
212  Authority citation revised....................................50104
212.231  Redesignated as 212.235; new 212.231 added; eff. 1-1-95 
                                                                   50104
212.233  Added; eff. 1-1-95........................................50105
212.235  Redesignated from 212.231; eff. 1-1-95....................50104
214.103  (b) and (c) revised.......................................30883
214.111  Revised...................................................30883
214.113  (b) revised; (c) removed..................................30883
214.115  (b) revised...............................................30883
214.117  (b) revised...............................................30884
217  Authority citation revised....................................43070
    Technical correction...........................................46703
217.4  Added; eff. 11-21-94........................................43070
217.7  Revised; eff. 11-21-94......................................43070
217.9  (a), (b) introductory text, (5), (c) and (d) revised; (e) 
        added; eff. 11-21-94.......................................43070
217.11  Heading, (a), (b) introductory text, (4) and (c) revised; 
        eff. 11-21-94..............................................43071
217.13  Removed; new 217.13 redesignated from 217.15; new (b)(4) 
        removed; eff. 11-21-94.....................................43071
217.15  Redesignated as 217.13; eff. 11-21-94......................43071
217  Appendix A revised; eff. 11-21-94.............................43071
219  Nomenclature change; eff. 1-1-95...............................7457
    Authority citation revised.......................60563, 62228, 62239
    Announcement...................................................67641
219.3  (a) introductory text and (c) revised; (b)(3) added; eff. 
        1-1-95......................................................7457
219.5  Amended; eff. 1-1-95.........................................7457
    Amended........................................................62228
219.9  (a) amended; (c) added; eff. 1-1-95..........................7458
219.11  (b)(2) revised; (g) redesignated as (h); (c)(4) and new 
        (g) added; eff. 1-1-95......................................7458
219.15  Removed; eff. 1-1-95........................................7458
219.23  Heading, (a) and (b) revised; (d), (e) and (f) added; eff. 
        1-1-95......................................................7458
219.101  (a)(2)(ii) revised; (a)(3) and (4) added; eff. 1-1-95......7459
219.104  (a), (d) and (e) revised; (f) and (g) added; eff. 1-1-95 
                                                                    7459
219.107  Added; eff. 1-1-95.........................................7460
219.201  (a)(1)(iii), (2)(ii) and (b) revised; eff. 1-1-95..........7460
219.203  (a)(1) revised; (d)(2) amended; eff. 1-1-95................7460
219.205  (a) revised; eff. 1-1-95...................................7460
219.206  Added; eff. 1-1-95.........................................7461
219.209  (a)(1) amended; (c) added; eff. 1-1-95.....................7461
    Corrected......................................................50699
219.211  (a), (c) and (d) amended; (e) and (h) revised; eff. 1-1-
        95..........................................................7461
219.213  (a) and (b) revised; eff. 1-1-95...........................7461
219.300  Added; eff. 1-1-95.........................................7461
    (d) added......................................................62239
219.301--219.309 (Subpart D)  Heading revised; eff. 1-1-95..........7461

[[Page 1082]]

219.301  (b)(1), (f) and (g) removed; (b) introductory text, (2) 
        introductory text and (c) introductory text revised; eff. 
        1-1-95......................................................7461
219.302  Added; eff. 1-1-95.........................................7462
    (f) removed....................................................62239
219.303  Revised; eff. 1-1-95.......................................7462
    Revised........................................................60563
219.307  Removed; eff. 1-1-95.......................................7462
219.309  Removed; eff. 1-1-95.......................................7462
219.501--219.505 (Subpart F)  Heading revised; eff. 1-1-95..........7462
219.501  Revised; eff. 1-1-95.......................................7462
    (e) removed; (a) through (d) redesignated as (b) through (e); 
new (a) added; new (b) through (e) revised.........................60564
219.503  Revised; eff. 1-1-95.......................................7462
219.505  Heading revised; (a) designation and (b) removed; eff. 1-
        1-95........................................................7462
219.601--219.605 (Subpart G)  Heading revised; eff. 1-1-95..........7462
219.601  Heading, (b)(2)(iii) concluding text and (7) revised; (c) 
        amended; eff. 1-1-95........................................7462
219.602  Added.....................................................62228
219.603  Heading revised; (a) designation, (b) and (c) removed; 
        eff. 1-1-95.................................................7463
219.605  Heading revised; (b) amended; eff. 1-1-95..................7463
219.607  Added; eff. 1-1-95.........................................7463
219.608  Added; eff. 1-1-95.........................................7464
219.609  Added; eff. 1-1-95.........................................7464
219.611  Added; eff. 1-1-95.........................................7464
219.701--219.713 (Subpart H)  Heading revised; eff. 1-1-95..........7464
219.703  Heading revised; eff. 1-1-95...............................7464
219.707  Heading revised; (a) amended...............................7464
219.708  Added......................................................7464
219.713  Removed; eff. 1-1-95.......................................7464
219.715  Added; eff. 1-1-95.........................................7464
219.801  Added; eff. 1-1-95.........................................7465
    Corrected......................................................50699
219.901--219.905 (Subpart J)  Added; eff. 1-1-95....................7466
219  Appendix D3 added; eff. 1-1-95.................................7468
    Appendix D4 added; eff. 1-1-95..................................7477
220  Authority citation revised....................................43071
    Technical correction...........................................46703
220.5  (d) and (e) added; eff. 11-21-94............................43071
220.21  Heading and (b) revised; eff. 11-21-94.....................43072
229  Authority citation revised....................................24963
229.133  (b) revised; interim......................................24963
    (b)(2)(iii) corrected..........................................39705
234  Authority citation revised....................................50105
234.1--234.6 (Subpart A)  Designated as Subpart A; heading added; 
        eff. 1-1-95................................................50105
234.1  Revised; eff. 1-1-95........................................50105
234.3  Revised; eff. 1-1-95........................................50105
234.4  Added; eff. 1-1-95..........................................50105
234.5  Amended; eff. 1-1-95........................................50105
234.6  (a) and (b) redesignated from 234.15 and 234.17; heading 
        added; new (a) revised; eff. 1-1-95........................50105
234.7--234.13 (Subpart B)  Designated as Subpart B; heading added; 
        eff. 1-1-95................................................50105
234.15  Redesignated as 234.6(a); eff. 1-1-95......................50105
234.17  Redesignated as 234.6(b); eff. 1-1-95......................50105
234.101--234.109 (Subpart C)  Added; eff. 1-1-95...................50106
234.201--234.273 (Subpart D)  Added; eff. 1-1-95...................50107
Chapter III
Chapter III  Nomenclature change...................................60323
350.11  (a) revised; interim........................................5264
350.21  (d)(3) added; interim.......................................5264
350  Appendix C amended; interim....................................5264
382  Added..........................................................7505
    Authority citation revised..............................49586, 60323
382.101  OMB number................................................49586
382.107  Amended............................................60323, 62229
382.303  (b)(2) redesignated as (b)(4); new (b)(2) and (3) added 
                                                                   62240
382.305  Revised...................................................62229
382.307  (e)(2) and (3) redesignated as (e)(4) and (5); new (e)(2) 
        and new (3) added..........................................62240
383  Authority citation revised....................................26028
383.5  Amended.....................................................26028
383.37  (a) and (b) amended; (c) added.............................26028
383.51  (d) redesignated as (e); new (d) added.....................26028
383.53  Revised....................................................26028
384  Added.........................................................26039
387.3  (c) revised.................................................63923

[[Page 1083]]

387.5  Amended.....................................................63923
387.7  (d)(3) revised..............................................63923
387.9  Revised.....................................................63923
387.15  Amended....................................................63924
387.17  Revised....................................................63924
390  Authority citation revised.............................60323, 67554
390.3  (f)(6) removed; eff. 1-1-95..................................8752
    (b) through (f) redesignated as (c) through (g); new (b) added
                                                                   67554
390.5  Amended; eff. 1-1-95.........................................8752
    Amended.................................................26028, 60323
390.50--390.60 (Subpart C)  Added..................................67554
391  Authority citation revised.............................49586, 60323
    Determination..................................................59386
391.11  (b)(11) removed; (b)(12) redesignated as (b)(11)...........60323
391.15  (d) added..................................................26028
391.31  (a) revised; eff. 1-1-95....................................8752
391.35  (a) revised; eff. 1-1-95....................................8752
    Removed........................................................60323
391.37  Removed....................................................60323
391.51  (a) revised; eff. 1-1-95....................................8752
    (b)(2), (c)(3), (4) and (d)(2) amended; (c)(5) and (d)(3) 
removed; (d)(4) redesignated as (d)(3).............................60323
391.61  Revised....................................................60323
391.67  Revised....................................................60324
391.68  Added; eff. 1-1-95..........................................8752
    Revised........................................................60324
391.69  Revised....................................................60324
391.71  (a) amended................................................60324
    Heading, (a)(1) and (b)(3) revised.............................63924
391.73  Added; eff. 1-1-95..........................................8752
    Revised........................................................60324
391.83  (a) revised; eff. 1-1-95....................................8753
391.87  OMB number.................................................49586
391.93  Revised.....................................................7514
391.125  Added......................................................7514
392  Authority citation revised......................34711, 60324, 63924
392.5  Heading, (a)(1), (2), (3) and (b)(2) revised.................7515
392.9a  Removed....................................................60324
392.10  (a)(2) through (5) and (b)(1) revised......................63924
392.12  Removed....................................................60324
392.18  Removed....................................................60324
392.21  Removed....................................................60324
392.22  (b)(1) introductory text, (2)(i) and (ii) revised; 
        (b)(1)(iv) added; (b)(2)(vii) and authority citation 
        removed....................................................34711
392.25  Revised....................................................63925
392.30  Removed....................................................60324
392.31  Removed....................................................60324
392.32  Removed....................................................60324
392.40  Removed....................................................60324
392.41  Removed....................................................60324
392.42 (Subpart E)  Heading revised................................60324
392.61  Removed....................................................60324
392.62  Removed....................................................60324
392.65  Removed....................................................60324
392.69  Removed....................................................60324
393  Authority citation revised....................................34712
393.7  Added.......................................................34712
    (b)(2) through (6) added.......................................34718
393.42  (b)(4) removed.............................................25574
393.67  (a)(6) added; eff. 1-1-95...................................8753
393.95  (f)(2), (g) and (j) revised; (f)(3) added..................34712
393.102  (b) revised; (g) removed..................................34718
    (b)(6) table corrected.........................................43898
395  Authority citation revised....................................60324
395.2  Amended...............................................7515, 60324
395.8  (a) introductory text revised; eff. 1-1-95...................8753
396  Authority citation revised....................................60324
396.3  (b)(4) removed; (b)(5) redesignated as (b)(4); (b)(3) 
        amended....................................................60324
396.3  (b) introductory text revised; eff. 1-1-95...................8753
396.11  (d) revised; eff. 1-1-95....................................8753
397  Authority citation revised.............................51830, 63925
397.5  Revised.....................................................63925
397.7  Revised.....................................................63925
397.9  Removed.....................................................51830
397.13  Revised....................................................63925
397.19  Revised....................................................63925
397.61--397.77 (Subpart C)  Added..................................51830
397.201  (a) revised; (c) amended..................................51834
397.203  (a)(3) revised............................................51834
350--399 (Subchapter B)  Appendix H added..........................67556
Chapter  III Appendixes A and C removed............................60324

[[Page 1084]]

                                  1995

49 CFR
                                                                   60 FR
                                                                    Page
Chapter II
209  Authority citation revised....................................53136
209.321  (a) revised; interim......................................53136
213  Policy statement..............................................20654
218  Authority citation revised....................................11049
218.5  Amended.....................................................11049
218.22  (c)(3), (4), (d) and (e) amended...........................11050
218.24  Added......................................................11050
    Stayed.........................................................30469
218  Appendix A amended............................................11050
219.501  (f) added.................................................24766
219  Appendix B revised............................................61665
    Appendix C revised.............................................19539
229  Authority citation revised....................................27905
229.5  (i) revised.................................................27905
229.25  (e)(2) revised.............................................27905
229.135  (a) through (d) revised...................................27905
240  Authority citation revised....................................53136
240.7  Amended; interim............................................53136
240.119  (d)(4)(ii) amended; interim...............................53136
240.203  (a)(1) revised; interim...................................53136
240.205  Heading revised; interim..................................53136
240.217  (c)(1) revised; interim...................................53137
240.307  (a) revised; interim......................................53137
240.407  Revised; interim..........................................53137
240.409  Revised; interim..........................................53137
240.411  (a) revised; interim......................................53138
240  Appendix A amended; interim...................................53138
Chapter III
Chapter III  Nomenclature change...................................38742
325.13  (d)(3) amended.............................................38743
325.93  (b) revised................................................38743
350  Authority citation revised....................................38743
350--399 (Subchapter B)  Request for comments......................27700
350.3  Amended.....................................................38743
350  Appendix C amended............................................38743
382  Authority citation revised..............................2032, 38743
382.103  Revised; eff. 10-23-95....................................49325
382.115  (a) revised................................................2032
    Revised; eff. 10-23-95.........................................49325
382.301  (e) added.................................................24766
382.401  (b)(1)(vi) revised........................................13370
382.403  (a) revised...............................................13370
383  Waiver denied.................................................34188
384  Authority citation revised....................................57545
384.231  (b)(2) revised............................................57545
385  Authority citation revised....................................38743
385.23  Amended....................................................38743
387  Authority citation revised....................................38743
387.31  (b)(3)(i) removed; (b)(3)(ii) and (iii) redesignated as 
        (b)(3)(i) and (ii).........................................38743
388.5  (a) amended.................................................38743
390  Authority citation revised....................................38743
390.3  Regulation at 59 FR 67554 eff. date extended to 9-27-95.....26002
    Regulation at 59 FR 67554 eff. date extended to 9-1-96.........40761
390.5  Amended..............................................38743, 44440
390.7  (a)(3) removed; (a)(4) redesignated as (a)(3)...............38744
390.15  (b)(1)(vi) amended.........................................38744
    OMB number.....................................................44441
390.19  Amended....................................................38744
390.21  (b)(1), (2), (4), (5), (c)(1), (3), (d), (e)(1), (2) 
        introductory text, (ii), (iv)(B)(2), (iv)(C) and (v) 
        amended....................................................38744
390.23  (a)(3)(i) and (b) amended..................................38744
390.27  Heading revised............................................38744
390.33  Amended; heading revised...................................38744
390.50--390.60 (Subpart C)  Regulation at 59 FR 67554 eff. date 
        extended to 9-27-95........................................26002
    Regulation at 59 FR 67554 eff. date extended to 9-1-96.........40761
391  Authority citation revised....................................38744
391.1  (a) amended.................................................38744
391.2  (a), (b), (c) and (d)(4) revised............................38745
391.11  (a), (b) introductory text, (3) through (6) and (9) 
        amended....................................................38744
    (b)(7) revised.................................................38745
391.15  (c)(2)(ii) and (v) amended.................................38744
    (c)(2)(ii) Footnote 1, (iii) Footnote 1 and (d)(2)(iv) revised
                                                                   38745
391.21  (a) and (b)(5) amended.....................................38744
391.25  Amended....................................................38744
391.27  (c) amended................................................38745
391.31  (a), (b), (c) introductory text and (3) through (8) 
        amended....................................................38744
391.31--391.37 (Subpart D)  Heading revised........................38746
391.33  (a) introductory text and (1) amended......................38744
391.41  (a), (b) introductory text, (2)(ii) and (5) through (9) 
        amended....................................................38744
    (b)(12) amended................................................38745
391.43  (e) and (f) amended........................................38745

[[Page 1085]]

    (g) introductory text revised..................................38746
391.47  (c), (d)(1), (2) and (f) amended...........................38746
391.49  (a), (d)(3)(i)(A), (e)(4) and (g) amended..................38745
    (c)(2)(v), (3) introductory text, (vii) and (viii) revised.....38746
391.51  (b)(1), (5), (d)(1), (3), (e) and (h)(1) amended...........38745
391.61  Amended....................................................38745
391.63  (a) introductory text and (b) amended......................38745
391.65  (a)(2), (iv) and (vii) amended.............................38745
391.67  Introductory text amended..................................38745
    Heading revised; (d) removed; (e) redesignated as (d)..........38746
391.68  Revised....................................................38746
391.69  Amended....................................................38745
391.71  (a) introductory text and (b) introductory text amended....38745
    Heading revised................................................38746
391.73  Amended....................................................38745
391.83  (c) revised...................................................56
391.85  Amended....................................................38746
391.87  (h)(1) amended; (h)(3) revised; (h)(4) added...............13370
392  Heading revised...............................................38746
392.1  Amended.....................................................38746
392.2  Amended.....................................................38746
392.3  Amended.....................................................38746
392.4  (a)(1) footnote 1 revised; (a)(4) and (c) amended...........38746
392.6  Amended.....................................................38746
392.7  Amended.....................................................38746
392.8  Amended.....................................................38746
392.9  (a) introductory text, (1), (2), (3), (b)(1), (2), (3) 
        introductory text, (ii), (iii) and (4) amended.............38746
392.10  (a) introductory text, (2) and (3) amended.................38746
    (b)(3) amended.................................................38747
392.10--392.18 (Subpart B)  Heading revised........................38746
392.11  Amended....................................................38747
392.13  Amended; heading revised...................................38747
392.14  Amended....................................................38747
392.15  (a) through (e) amended....................................38747
392.16  Amended....................................................38747
392.20  Amended; heading revised...................................38747
392.20--392.25 (Subpart C)  Heading revised........................38746
392.22  Heading revised; (a), (b)(1) introductory text, (i), (ii), 
        (iii), (2)(i) through (vi) amended.........................38747
392.24  Amended....................................................38747
392.25  Amended....................................................38747
392.33  Amended....................................................38747
392.50  (a), (b) and (c) amended...................................38747
392.51  Amended....................................................38747
392.60  Revised....................................................38747
392.63  Amended....................................................38747
392.64  Amended; heading revised...................................38747
392.66  Revised....................................................38747
392.67  Amended; heading revised...................................38747
392.68  Amended....................................................38747
393  Waiver........................................................12146
    Authority citation revised.....................................46245
393.53  Added; eff. 10-6-95........................................46245
395  Authority citation revised....................................38748
395.1  (b) revised; (d)(2) amended.................................38748
395.2  Amended.....................................................38748
395.3  Heading and (b) revised.....................................38748
395.8  (f)(5), (6), (h)(2), (3) and (4) revised; (k)(2) amended....38748
395.13  (c)(1)(i), (ii), (d)(1), (2) and (4) amended...............38748
395.15  (d)(2), (g) introductory text, (i)(2), (4), (7) and 
        (j)(2)(iv) revised.........................................38748
396  Authority citation revised....................................38749
396.23  (a) revised................................................38749
397.1  (a) revised.................................................38749
350--399 (Subchapter B)  Regulation at 59 FR 67556 eff. date 
        extended to 9-27-95........................................26002
    Appendix B amended......................................38743, 38749
    Regulation at 59 FR 67556 eff. date extended to 9-1-96.........40761

                                  1996

49 CFR
                                                                   61 FR
                                                                    Page
Chapter II
209.101  (a) revised...............................................38646
209.103  Revised...................................................38646
209.105  (a) and (c) revised.......................................38646
209.131  Revised...................................................38647
209.133  Revised...................................................38647
209.201  Revised...................................................38647
209  Appendix B added..............................................38647
212.301  Removed...................................................26125
212.303  Removed...................................................26125

[[Page 1086]]

212.305  Removed...................................................26125
212.307  Removed...................................................26125
212  Appendices A, B and C removed.................................26125
214  Authority citation revised....................................65975
214.4  Added.......................................................65975
214.7  Amended.....................................................65975
214.301--214.355 (Subpart C)  Added................................65976
214  Appendix A amended............................................65981
219  Authority citation revised....................................60634
219.5  Amended.......................................37224, 60634, 67490
219.201  (a)(1) introductory text, (2) introductory text and (4) 
        revised....................................................60634
225  Authority citation revised.............................30967, 59371
    Meetings.......................................................37842
225.1  Revised; eff. 1-1-97........................................30967
225.3  Revised; eff. 1-1-97........................................30967
    Introductory text, (a), (b), (c) introductory text and (1) 
through (4) redesignated as (a) introductory text, (1), (2), (3) 
introductory text and (i) through (iv); new (a) introductory text 
revised; new (b), new (c) and (d) added............................67490
225.5  Revised; eff. 1-1-97........................................30968
    Amended.................................................59371, 67490
225.7  Amended; eff. 1-1-97........................................30969
225.11  Revised; eff. 1-1-97.......................................30969
225.12  (a) and (g)(3) amended; (h)(1) and (2) revised; eff. 1-1-
        97.........................................................30969
    (b)(2)(iii) amended; eff. 1-1-97...............................30973
225.13  Amended; eff. 1-1-97.......................................30973
225.15  (a) amended; eff. 1-1-97...................................30973
225.19  (b) and (c) amended; (d) revised; (e) added; eff. 1-1-97 
                                                                   30969
    (a) and (b) amended; eff. 1-1-97...............................30973
    (e) revised....................................................60634
    (c) amended....................................................67490
225.21  (b) amended; (f) removed; (g) and (h) redesignated as (f) 
        and (g); new (h) and (i) added; eff. 1-1-97................30969
    (e) amended; eff. 1-1-97.......................................30973
225.25  Revised; eff. 1-1-97.......................................30970
    (c) revised....................................................59371
    (h) introductory text amended; (h)(12) and (13) revised; 
(h)(15) added......................................................67491
225.27  (a) amended; eff. 1-1-97...................................30971
    (a) amended....................................................67491
225.29  Amended; eff. 1-1-97.......................................30971
225.31  (f) revised; eff. 1-1-97...................................30971
225.33  Added; eff. 1-1-97.........................................30972
    (a)(10)(ii) amended............................................59371
    (a) introductory text amended..................................67491
225.35  Added; eff. 1-1-97.........................................30972
    Amended........................................................59371
225.37  Added; eff. 1-1-97.........................................30972
225  Appendix A removed; Appendix B redesignated as Appendix A; 
        new Appendix A revised; eff. 1-1-97........................30973
    Appendix B added...............................................60634
228  Authority citation revised....................................20495
    Appendix A amended.............................................20495
229  Authority citation revised.....................................8887
229.9  (a) introductory text revised................................8887
229.125  Heading revised; (d) through (h) added.....................8887
229.133  (c) revised................................................8887
229  Appendix B amended.............................................8888
233.9  Revised; interim............................................33872
234  Revised; interim..............................................31806
235.7  (c)(24)(vi) added; interim..................................33872
236.590  Revised; interim..........................................33873
251  Removed........................................................4938
258  Removed........................................................4938
Chapter III
365  Authority citation added......................................54707
    Heading redesignated from Part 1160 heading....................54707
365.101--365.123 (Subpart A)  Redesignated from 1160.1--1160.12 
        (Subpart A)................................................54707
365.201--365.207 (Subpart B)  Redesignated from 1160.40--1160.43 
        (Subpart B)................................................54707
365.301--365.309 (Subpart C)  Redesignated from 1160.60--1160.64 
        (Subpart C)................................................54707
365.401--365.413 (Subpart D)  Redesignated from Part 1181..........54707
366  Redesignated from Part 1044...................................54707
367  Redesignated from Part 1023...................................54707
367.5  Regulation at 60 FR 30012 stayed through 1-1-98; regulation 
        at 60 FR 39875 eff. date extended through 12-31-97.........64295
368  Redesignated from Part 1171...................................54707
369  Redesignated from Part 1167...................................54707

[[Page 1087]]

371  Redesignated from Part 1045...................................54707
372  Heading added.................................................54708
    Authority citation added.......................................54708
372.101--372.117 (Subpart A)  Redesignated from Part 1047..........54708
372.115  Heading revised...........................................54708
372.201--372.243 (Subpart B)  Redesignated from Part 1048..........54708
372.301--372.303 (Subpart C)  Redesignated from Part 1049..........54708
373  Heading added.................................................54708
    Authority citation added.......................................54708
373.101--373.105 (Subpart A)  Redesignated from Part 1051; heading 
        revised....................................................54708
373.101  Heading revised...........................................54708
373.201 (Subpart B)  Redesignated from Part 1081; heading revised 
                                                                   54708
373.201  Heading revised...........................................54708
374  Heading added.................................................54709
    Authority citation added.......................................54709
374.101--374.113 (Subpart A)  Redesignated from Part 1055..........54709
374.201 (Subpart B)  Redesignated from Part 1061...................54709
374.301--374.319 (Subpart C)  Redesignated from Part 1063..........54709
374.401--374.405 (Subpart D)  Redesignated from Part 1064..........54709
374.501--374.505 (Subpart E)  Redesignated from Part 1054..........54709
375  Redesignated from Part 1056...................................54707
376  Redesignated from Part 1057...................................54707
377  Heading added.................................................54708
    Authority citation added.......................................54708
377.101--377.105 (Subpart A)  Redesignated from Part 1052..........54708
377.201--377.217 (Subpart B)  Redesignated from Part 1320; heading 
        revised....................................................54709
378  Redesignated from Part 1008...................................54707
382  Revised........................................................9553
382.107  Introductory text amended..................................1843
    Amended........................................................37224
383  Authority citation revised..............................9564, 14679
383.3  Revised......................................................9564
    (d) introductory text corrected................................14677
    (d) heading and introductory text revised; (d)(3) added........14679
383.5  Amended...............................................9566, 14679
383.91  (a) revised.................................................9566
385.17  (a) amended.................................................1843
387  Authority citation revised....................................54709
387.301--387.323 (Subpart C)  Redesignated from Part 1043..........54709
    Heading revised................................................54710
387.317  Heading revised...........................................54710
387.401--387.419 (Subpart D)  Redesignated from Part 1084; heading 
        revised....................................................54710
387.415  Heading revised...........................................54710
390  Authority citation revised....................................54710
390.3  Regulation at 59 FR 67554 effective date extended to 1-2-97
                                                                   42822
390.5  Amended......................................................9566
390.27  Revised.....................................................9566
390.50--390.60 (Subpart C)  Regulation at 59 FR 67554 effective 
        date extended to 1-2-97....................................42822
390.401--390.407 (Subpart D)  Redesignated from Part 1058..........54710
391.2  (d) redesignated as 391.62..................................13346
    Corrected......................................................17253
391.43  (e), (f) and (g) redesignated as (f), (g) and (h); new (e) 
        added; new (f) introductory text and new (h) amended.......13347
391.45  (b)(2) revised.............................................13347
391.49  (b) amended.................................................1843
391.62  Redesignated from 391.2(d) and revised.....................13346
    Corrected......................................................17253
391.64  Added......................................................13346
391.85  Amended.....................................................9567
391.125  Revised....................................................9567
392.4  Revised......................................................9567
392.5  (a) revised..................................................9567
393.25  (b) amended.................................................1843
393.42  (b)(2) amended..............................................1843
395  Authority citation revised....................................14679
395.1  (a) revised; (l) through (o) added..........................14679
395.2  Amended.....................................................14679
397  Authority citation revised....................................20497
    Report availability............................................54744
397.1--397.19 (Subpart A)  Heading added............................1843
350--399 (Subchapter B)  Appendix B amended.........................1843
    Regulation at 59 FR 67556 effective date extended to 1-2-97....42822

[[Page 1088]]

                                  1997

49 CFR
                                                                   62 FR
                                                                    Page
Chapter II
214  Reconsideration petitions.....................................19234
219  Determination.................................................13349
219.5  Amended..............................................63466, 63676
219.19  Removed....................................................63466
219.101  (a)(5) added; (c) amended.................................63466
219.104  (a)(3)(ii) amended........................................63466
219.201  (b) amended...............................................63466
    (a)(1) introductory text, (2) introductory text and (4) 
revised............................................................63676
219.203  (d)(2) amended............................................63467
219.205  (c)(1) amended............................................63467
219.207  (b) revised; (d) amended..................................63467
219.209  (a)(1) amended............................................63467
219.303  (c), (d) and (e) removed..................................63467
219.601  (b)(2)(i) amended; (b)(2)(ii) and (iii) removed...........63467
219.603  Amended...................................................63467
219.703  (d) removed...............................................63467
219.709  Removed...................................................63467
219.803  (a) amended...............................................63467
219  Appendix B amended............................................63467
225.19  (c) amended; (e) revised...................................63676
225  Appendix B revised............................................63676
232  Authority citation revised......................................294
    Reconsideration petitions......................................30461
232.19  Heading and (a) revised; (h) removed.........................294
232.21  Added........................................................294
232.23  Added........................................................294
232.25  Added........................................................295
232  Appendix A amended..............................................295
240.119  (d)(3) amended; (d)(4) and (5) removed; (d)(6) 
        redesignated as (d)(4).....................................63467
Chapter III
Chapter  III Regulatory guide......................................16370
355  Authority citation revised....................................37151
355  Appendix A amended............................................37151
356  Added.........................................................32041
365.101  (e) and (f) amended.......................................49940
365.107  (c) and (e)(2) amended....................................49940
365.205  (d) amended...............................................49940
365.405  (a)(2), (b)(1)(vii), (viii) and (2)(ii) amended...........49940
365.409  (a) and (c) amended.......................................49940
365.413  (a) introductory text amended.............................49940
366  Authority citation revised....................................49940
366.1  Amended.....................................................49940
366.3  Amended.....................................................49940
366.6  Amended.....................................................49940
367  Authority citation revised....................................15420
367.1  (a), (b) and (c) amended....................................15420
367.3  (c) amended.................................................15420
367.4  (a), (b) introductory text, (c)(2), (3), (d) and (h) 
        amended....................................................15420
367.5  (a) introductory text and (b) amended.......................15420
367.6  (c) amended.................................................15420
367  Appendix A amended............................................15420
368  Heading and authority citation revised........................15420
368.1  Revised.....................................................15420
368.2  (a), (b)(1), (2), (c)(2), (d), (e) and (f) revised..........15421
368.3  (a) and (c) revised; (d) removed............................15421
368.5  Revised.....................................................15421
368.6  Amended; heading and (b) introductory text revised; (b)(2) 
        amended; (c) removed.......................................15421
368.7  Revised.....................................................15421
369  Removed.......................................................38035
370  Added.........................................................32042
371  Authority citation revised....................................15421
371.1  Amended.....................................................15421
371.3  (a) introductory text revised; (a)(2) amended; (a)(6) 
        concluding text removed....................................15421
371.7  Amended.....................................................15421
371.10  Amended....................................................15421
372.101  Amended...................................................15421
372.103  Amended...................................................15421
372.105  Removed...................................................15421
372.109  Introductory text amended.................................49940
372.111  (a) and (b) amended.......................................38036
    (b)(8) and (9)(iii) amended....................................49940
372.113  Removed...................................................38036
372.115  Amended...................................................15421
372.117  (a), (c), (d)(1), (2) and (3) amended.....................15421
372.201  Introductory text amended.................................15422
372.203  Introductory text amended.................................15422
372.205  Introductory text amended.................................15422
372.207  Introductory text amended.................................15422
372.209  Introductory text amended.................................15422
372.211  Introductory text amended.................................15422
372.213  Introductory text amended.................................15422

[[Page 1089]]

372.215  Introductory text amended.................................15422
372.217  Introductory text amended.................................15422
372.219  Introductory text amended.................................15422
372.221  Introductory text amended.................................15422
372.223  Introductory text amended.................................15422
372.225  Introductory text amended.................................15422
372.227  Introductory text amended.................................15422
372.229  Introductory text amended.................................15422
372.231  Introductory text amended.................................15422
372.233  Introductory text amended.................................15422
372.235  Introductory text amended.................................15422
372.237  (a) and (b) amended.......................................15422
372.241  Introductory text amended.................................15422
372.243  Introductory text amended.................................15422
372.300--372.303 (Subpart C)  Note removed.........................49940
372.300  Added.....................................................15422
372.301  Revised...................................................15422
372.303  Introductory text and (a) revised.........................15423
373.101  (e) amended...............................................15423
373.103  Amended...................................................15423
373.105  Amended...................................................15423
374.101  Amended...................................................15423
374.103  Amended...................................................15423
374.105  Amended...................................................15423
374.107  Amended...................................................15423
374.109  Amended...................................................15423
374.111  Amended...................................................15423
374.113  (b) amended...............................................15423
374.201  (a) and (c) amended.......................................15423
374.307  (c)(1), (2)(iv) and (g) amended...........................15423
374.311  (b) amended...............................................15423
374.319  (a) and (b) amended.......................................15423
374.401  (a) introductory text and (3) amended.....................15423
374.403  (a) and (b) amended.......................................15423
374.405  Amended...................................................15423
374.501  Amended...................................................15423
374.505  (d) amended...............................................15423
375  Authority citation revised....................................49940
375.2  (a) introductory text amended...............................49940
    (a)(2), (3) and (b)(2) amended.................................49941
375.3  (a) and (b) amended.........................................49941
375.4  (a) amended.................................................49941
375.5  (a) introductory text amended...............................49941
375.6  (a) and (b)(4) amended......................................49941
375.7  (a) introductory text amended...............................49941
375.8  (a)(1) and (3) amended......................................49941
375.11  (a) amended................................................49941
375.12  (a) amended................................................49941
375.13  (a) amended................................................49941
375.15  (a) and (b) amended........................................49941
375.16  (a) introductory text and (b) amended......................49941
375.17  (a) and (c) amended........................................49941
375.18  (a) amended................................................49941
375.19  Amended....................................................49941
376  Authority citation revised....................................15423
376.1  Introductory text, (a) and (c) amended......................15423
376.2  (a) amended.................................................15424
376.11  Introductory text, (a) and (c)(1) amended..................15424
376.12  Introductory text, (b), (c)(3), (4), (j)(1) and (l) 
        amended....................................................15424
376.21  Introductory text and (b) amended..........................15424
376.22  (a), (c)(2) and (4) amended................................15424
376.26  Amended....................................................15424
376.31  (b) and (d)(1) amended.....................................15424
376.42  Amended....................................................15424
377.101  Amended...................................................15424
377.103  Amended...................................................15424
377.105  Amended...................................................15424
377.201  (a) amended...............................................15424
377.205  (d)(3) amended; (e) removed...............................15424
377.211  Amended...................................................15424
377.213  Removed...................................................15424
377.215  (a) and (b)(1) amended....................................15424
377.217  Amended...................................................15424
378  Authority citation revised....................................15424
378.1  Amended.....................................................15424
378.2  (a), (b) and (d) amended....................................15424
378.4  (a) and (d) amended.........................................15424
378.5  (a) amended.................................................15424
    (b) and (c) amended............................................15425
378.6  Amended.....................................................15425
379  Added.........................................................32044
382.103  (c) revised................................................1296
382.115  Revised...................................................37151

[[Page 1090]]

382.401  (c)(6)(iii) and (iv) amended; (c)(6)(v) removed; (e)(1) 
        revised....................................................37151
383  Authority citation revised.....................................1296
383.3  (b) revised..................................................1296
383.5  Amended.....................................................37151
383.51  (b)(2)(ii) and (v) revised; (b)(3)(i), (ii) and (d)(2)(iv) 
        amended....................................................37151
383.111  (a) amended...............................................37151
384.101  Revised...................................................37152
384.301  Revised...................................................37152
384.305  (b) revised (OMB number)..................................37152
384.309  Revised...................................................37152
385.3  Amended.....................................................60042
385.9  Existing text designated as (a); (b) added; interim; eff. 
        5-28-97 through 11-28-97...................................28809
    Revised........................................................60042
385.11  Revised....................................................60042
385.13  Revised....................................................60042
385.15  Revised....................................................60043
385.17  Revised....................................................60043
385.19  Revised....................................................60043
385  Appendix designated as Appendix A; Appendix B added; interim; 
        eff. 5-28-97 through 11-28-97..............................28809
    Appendix B revised.............................................60043
387  Authority citation revised....................................16709
387.5  Amended.....................................................16709
387.301  (a)(1), (2) and (b) amended...............................49941
387.303  (b)(1) introductory text, (i), (2) and (4) amended........49941
387.309  (a)(2) and (b) amended....................................49941
387.311  (a) and (b) amended.......................................49941
387.313  (a)(2), (3), (4) and (d) amended..........................49941
387.317  Amended...................................................49942
387.321  Amended...................................................49942
387.323  (c) amended...............................................49942
387.403  (a) and (b) amended.......................................49942
387.405  Amended...................................................49942
387.407  (a) amended...............................................49942
387.411  (b) amended...............................................49942
387.413  (a) amended...............................................49942
387.417  (a) and (b) amended.......................................49942
387.419  Amended...................................................49942
389  Authority citation revised....................................37152
389.1  Revised.....................................................37152
389.3  Revised.....................................................37152
389.11  Revised....................................................37152
390  Authority citation revised.....................................1296
390.3  (b) removed; (c) through (g) redesignted as (b) through (f)
                                                                    1296
390.5  Amended..............................................16709, 49942
390.21  (a) amended................................................49942
390.50--390.60 (Subpart C)  Removed.................................1296
390.401  (a) amended...............................................49942
391.15  (c)(2)(ii) and (iii) revised...............................37152
391.41  (b)(12) revised; (c) removed...............................37152
391.43  Amended; (a)(1) designation and (2) removed................37153
391.81--391.125 (Subpart H)  Removed...............................37152
392.4  (a)(1) revised..............................................37153
395.8  (f)(5) revised..............................................16709
350--399 (Subchapter B)  Appendix H removed.........................1296
    Appendixes D and E removed.....................................37153
390  Appendix F Amended............................................49942

                                  1998

49 CFR
                                                                   63 FR
                                                                    Page
Chapter II
209  Authority citation revised....................................11619
209.103  Amended...................................................11619
209.335  (b) amended...............................................11619
209.409  Amended...................................................11619
209  Appendix A amended............................................11619
213  Authority citation revised....................................11620
    Revised........................................................34029
    Technical correction...........................................49382
213.15  Amended....................................................11620
213.53  (g)(4) corrected...........................................45959
213.57  (g)(4) corrected...........................................54078
213.63  Table corrected............................................45959
213.109  (e)(4) and (f) corrected..................................46102
213.113  (a)(2) table corrected....................................51638
213.119  Introductory text corrected...............................46102
213.305  (b)(1)(ii) corrected......................................45959
213.329  (b)(1) corrected..........................................46102
213.333  Table corrected...........................................46102
213.337  (a)(2) table corrected....................................51638
213.343  Corrected.................................................45959
213.345  (d) corrected.............................................54078
213.365  (e) corrected.............................................45959
213  Appendix B amended............................................11620
    Corrected......................................................45959
214  Authority citation revised....................................11620
214.5  Amended.....................................................11620
214  Appendix A amended............................................11620
215  Authority citation revised....................................11620
215.7  Amended.....................................................11620

[[Page 1091]]

215  Appendix B amended............................................11620
216  Authority citation revised....................................11620
216.7  Amended.....................................................11620
217  Authority citation revised....................................11620
217.5  Amended.....................................................11620
217  Appendix A amended............................................11620
218  Authority citation revised....................................11621
218.9  Amended.....................................................11621
218  Appendix A amended............................................11621
219  Determination...........................................8142, 71789
    Authority citation revised.....................................11621
219.5  Amended; interim............................................71791
219.9  (a) amended.................................................11621
219.201  (a)(1) introductory text, (2) and (4) revised; interim....71791
219  Appendix A amended............................................11621
220  Authority citation revised....................................11621
    Revised; eff. 1-4-99...........................................47195
220.7  Amended.....................................................11621
220  Appendix C amended............................................11621
221  Authority citation revised....................................11621
221.7  Amended.....................................................11621
223  Authority citation revised.............................11621, 24674
223.5  Revised.....................................................24675
    Corrected......................................................36376
223.7  Amended.....................................................11621
223.9  (d) added...................................................24675
223  Appendix B amended............................................11621
    Appendix B revised.............................................24676
225  Authority citation revised....................................11621
225.19  (c) amended; interim.......................................71791
225.29  Amended....................................................11622
225  Appendix A amended............................................11622
    Appendix B amended; interim....................................71791
228  Authority citation revised....................................11622
228.21  Amended....................................................11622
228  Appendix A amended............................................11622
229  Authority citation revised....................................11622
229.7  (b) amended.................................................11622
229  Appendix B amended............................................11622
230  Authority citation revised....................................11622
230.0  Amended..............................................11622, 11623
231  Authority citation revised....................................11623
231.0  (e) amended.................................................11623
231  Appendix A amended............................................11623
232  Authority citation revised.............................11623, 24134
    Technical correction...........................................27213
232.0  (e) amended.................................................11623
232.23  (e) introductory text, (8) and (9) revised; (e)(10), (11), 
        (g)(2) and (h) added; (g) introductory text amended........24134
232  Appendix A amended.....................................11623, 24135
233  Authority citation revised....................................11623
233.11  Revised....................................................11623
233  Appendix A amended............................................11623
234  Authority citation revised....................................11623
234.6  (a) amended.................................................11623
234  Appendix A amended............................................11623
235  Authority citation revised....................................11623
235.9  Revised.....................................................11623
236  Authority citation revised....................................11624
236.0  (f) amended.................................................11624
236  Appendix A amended............................................11624
239  Added.........................................................24676
240  Authority citation revised....................................11624
240.11  Amended....................................................11624
240  Appendix A amended............................................11624
268  Added; interim................................................54606
Chapter III
365.401--365.413 (Subpart D)  Authority citation removed...........28287
372.101--372.117 (Subpart A)  Authority citation removed...........28287
372.201--372.243 (Subpart B)  Authority citation removed...........28287
372.300--372.303 (Subpart C)  Authority citation removed...........28287
373.101--373.105 (Subpart A)  Authority citation removed...........28287
373.201 (Subpart B)  Authority citation removed....................28287
374.101--374.113 (Subpart A)  Authority citation removed...........28287
374.201 (Subpart B)  Authority citation removed....................28287
374.301--374.319 (Subpart C)  Authority citation removed...........28287
374.401--374.405 (Subpart D)  Authority citation removed...........28287
376.22  (d) added..................................................40838
376.31  (d)(3) added...............................................40838
377.101--377.105 (Subpart A)  Authority citation removed....11624, 28287
377.201--377.217 (Subpart B)  Authority citation removed....11624, 28287
381  Added; interim................................................67608
382  Controlled substances and alcohol testing rates................2172
383.7  Removed; interim............................................67612
385  Appendix B amended............................................62959
386  Authority citation revised....................................12414
386  Appendix A amended; Appendix B added..........................12414
387.5  Amended.....................................................33275
387.27  (b)(2) and (3) amended; (b)(4) added.......................33275
387.29  Amended....................................................33276

[[Page 1092]]

390  Authority citation revised....................................33276
390.3  (f)(2) revised..............................................33276
390.5  Amended.....................................................33276
390.29  Added......................................................33276
391.11  Heading and (b) revised....................................33276
391.13  Added......................................................33277
391.15  (b) revised................................................33277
391.25  Revised....................................................33277
391.33  (a)(1) revised.............................................33277
391.51  Revised....................................................33277
391.61  Revised....................................................33278
391.63  Revised....................................................33278
391.65  (b) and (c) revised........................................33278
391.67  Revised....................................................33278
391.68  Revised....................................................33278
391.69  Removed; new 391.69 redesignated from 391.73 and revised 
                                                                   33278
391.71  Removed....................................................33278
391.73  Redesignated as 391.69.....................................33278
392.9  (c) redesignated as 392.62..................................33278
392.9b  Removed....................................................33279
392.13  Removed....................................................33279
392.15  Removed....................................................33279
392.20  Removed....................................................33279
392.22  (b)(1) revised.............................................33279
392.25  Heading revised............................................33279
392.42  Removed....................................................33279
392.51  Revised....................................................33279
392.52  Removed....................................................33279
392.62  Redesignated from 392.9 and revised........................33278
392.68  Removed....................................................33279
393.5  Amended; eff. 11-16-98.......................................8339
    Amended........................................................24465
393.55  Added......................................................24465
393.60  Revised.....................................................1387
393.75  (f) revised; (g) and (h) added; authority citation 
        removed; eff. 11-16-98......................................8339
395  Interpretation................................................16697
    Deadline extension.............................................71791
395.1  (g) removed; (h) through (o) redesignated as (g) through 
        (n)........................................................33279
395.2  Amended.....................................................33279
395.8  (k)(1) revised..............................................33279
396.11  (b), (c) and (d) revised...................................33279
396.13  (b) revised................................................33280
397.19  (b) revised................................................33280

                                  1999

  (Regulations published from January 1, 1999, through October 1, 1999)

49 CFR
                                                                   64 FR
                                                                    Page
Chapter II
216  Authority citation revised....................................25659
216.1  (a) revised.................................................25659
216.3  (b) amended.................................................25659
216.5  (c) amended.................................................25659
216.11--216.17 (Subpart B)  Nomenclature change....................25659
216.13  (a) amended................................................25659
216.14  Added......................................................25659
216.17  (a) amended................................................25659
223  Authority citation revised....................................25659
223.8  Added.......................................................25659
229  Authority citation revised....................................25659
229.3  (a) revised; (c), (d) and (e) added.........................25659
231  Authority citation revised....................................25660
231.0  (a) revised; (c), (d) and (e) redesignated as (d), (e) and 
        (f); new (c) added.........................................25660
232  Authority citation revised....................................25660
232.0  (a) revised; (c), (d) and (e) redesignated as (d), (e) and 
        (f); new (c) added.........................................25660
238  Added.........................................................25660
261  Added.........................................................29753
268.3  (b) through (f) revised; interim.............................7134
268.13  Revised; interim............................................7134
Chapter III
360  Added..........................................................7137
383  Authority citation revised....................................48110
383.21  Revised; eff. 10-4-99......................................48110
383.37  Revised; eff. 10-4-99......................................48110
383.51  (e) redesignated as (f); new (e) added; eff. 10-4-99.......48111
383.53  (c) added; eff. 10-4-99....................................48111
384.223  (c) added; eff. 10-4-99...................................48111
390.3  (f)(5) amended; (f)(6) added; interim.......................48516
390.5  Amended; interim............................................48516
393.5  Amended.....................................................47707
393.13  Added......................................................15605
395  Deadline extension............................................37689
396.19  (b) reinstated; CFR correction.............................45207


                                  
